-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SftJt4pSSCfAjlS9EPxdFT+90TKvmuzve76W2XTt9B+uNzKyTJHQTNpNiI7wH1Vu +dFR2qnvZjaeN11dSrx9tw== 0000950131-97-001024.txt : 19970222 0000950131-97-001024.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950131-97-001024 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD GROUP MEMBERS: DAVERMAN JAMES E GROUP MEMBERS: JED LIMITED PARTNERSHIP GROUP MEMBERS: LDR LIMITED PARTNERSHIP GROUP MEMBERS: LLOYD D RUTH GROUP MEMBERS: MARQUETTE GENERAL II LP GROUP MEMBERS: MARQUETTE VENTURE PARTNER II LP GROUP MEMBERS: MVP II AFFILIATES FUND LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLLAGENEX PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001012270 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 521758016 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47825 FILM NUMBER: 97533888 BUSINESS ADDRESS: STREET 1: 301 SOUTH STATE ST CITY: NEWTON STATE: PA ZIP: 18940 BUSINESS PHONE: 2155797388 MAIL ADDRESS: STREET 1: 301 SOUTH STATE ST CITY: NEWTON STATE: PA ZIP: 18940 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVERMAN JAMES E CENTRAL INDEX KEY: 0001033489 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 500 CORPORATE CENTRE STREET 2: 520 LAKE COOK ROAD SUITE 450 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8474058396 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ___________ SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. _____)/1/ CollaGenex Pharmaceuticals, Inc. -------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value Per Share --------------------------------------- (Title of Class of Securities) 19419B100 ----------------------- (CUSIP Number) ___________ _______________________ /1/ The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 15 Pages - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 2 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Marquette Venture Partners II, L.P. 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3820302 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 890,860 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 890,860 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 890,860 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 3 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: MVP II AFFILIATES FUND, L.P. 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3871877 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 DELAWARE - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF NONE SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 25,453 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING NONE PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 25,453 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 25,453 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ------------------ CUSIP NO. 19419B100 13G Page 4 of 15 Pages - ------------------- ------------------ 1 NAME OF REPORTING PERSON: Marquette General II, L.P. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3820303 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[_] (b)[_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OR ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF None SHARES ------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 916,313 OWNED BY ------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH None REPORTING ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 916,313 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 916,313 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 5 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: JED Limited Partnership 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3760173 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 916,313 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 916,313 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 916,313 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 6 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: LDR Limited Partnership 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3760176 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 916,313 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 916,313 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 916,313 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 7 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: James E. Daverman 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 916,313 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 916,313 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 916,313 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! - ----------------------- --------------------- CUSIP NO. 19419B100 13G PAGE 8 OF 15 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: Lloyd D. Ruth 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 916,313 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 916,313 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 916,313 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: -------------- CollaGenex Pharmaceuticals, Inc. ("CollaGenex") Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 301 S. State Street Newtown, PA 18940 Item 2(a) Name of Person Filing: --------------------- This Schedule 13G is being jointly filed by each of the following persons pursuant to Rule 13d-1(f) promulgated by the Securities and Exchange Commission pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the "Act"): (i) Marquette Venture Partners II, L.P. ("MVP II"), a Delaware limited partnership, by virtue of its direct beneficial ownership of 890,860 shares of common stock, par value $0.01 per share (the "Common Stock"), of CollaGenex; (ii) MVP II Affiliates Fund, L.P. ("MVP II Affiliates"), a Delaware limited partnership, by virtue of its direct beneficial ownership of 25,453 shares of Common Stock; (iii) Marquette General II, L.P. ("MG II"), a Delaware limited partnership, as the sole general partner of MVP II and MVP II Affiliates; (iv) JED Limited Partnership ("JED"), a Delaware limited partnership, as a general partner of MG II; (v) LDR Limited Partnership ("LDR"), a Delaware limited partnership, as a general partner of MG II; (vi) James E. Daverman ("Mr. Daverman"), an individual, as the sole general partner of JED; and (vii) Lloyd D. Ruth ("Mr. Ruth"), an individual, as the sole general partner of LDR. MVP II, MVP II Affiliates, MG II, JED, LDR, Mr. Daverman and Mr. Ruth are hereinafter collectively referred to as the "Reporting Persons." The Reporting Persons have entered into a Joint Filing Agreement, dated February 13, 1997, a copy of which is filed with this Schedule 13G as Exhibit A, pursuant to which the Reporting Persons have agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(f)(1) under the Act. Item 2(b) Address of Principal Business Office or, if none, Residence: ----------------------------------------------- The address of the principal business office of each of the Reporting Persons is: Corporate 500 Centre 520 Lake Cook Road, Suite 450 Deerfield, Illinois 60015 Page 9 of 15 pages Item 2(c) Citizenship ----------- MVP II, MVP II Affiliates, MG II, JED and LDR are limited partnerships organized under the laws of Delaware. Mr. Daverman and Mr. Ruth are United States citizens. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock, $0.01 par value per share. Item 2(e) CUSIP No.: --------- 19419B100 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the persons filing is a: ---------------------------------------------------- The persons filing are not described in any category listed under this item. Item 4 Ownership --------- MG II is the sole general partner of both MVP II and MVP II Affiliates; JED and LDR are the general partners of MG II; Mr. Daverman is the sole general partner of JED; and Mr. Ruth is the sole general partners of LDR. As a result of such relationships, (i) MG II, JED, LDR and both Messrs. Daverman and Ruth may be deemed to share voting and dispositive power with respect to the shares held by MVP II and MVP II Affiliates, and (ii) each of the Reporting Persons may be deemed beneficially to own the following number of shares:
(a) Amount Beneficially (b) Percent of Class: Owned: MVP II 890,860 11.8% MVP II Affiliates 25,453 0.3% MG II 916,313 12.2% JED 916,313 12.2% LDR 916,313 12.2% Daverman 916,313 12.2% Ruth 916,313 12.2%
Page 10 of 15 Pages (c) Number of shares as to which such person has: (i) Sole power to vote or (ii) Shared power to vote or direct the vote: to direct the vote:
MVP II None 890,860 MVP II Affiliates None 25,453 MG II None 916,313 JED None 916,313 LDR None 916,313 Daverman None 916,313 Ruth None 916,313 (iii) Sole power to dispose or to (iv) Shared power to dispose or direct the disposition of: to direct the disposition of: MVP II None 890,860 MVP II Affiliates None 25,453 MG II None 916,313 JED None 916,313 LDR None 916,313 Daverman None 916,313 Ruth None 916,313
Each Reporting Person expressly disclaims beneficial ownership of any shares of Common Stock beneficially owned by each other Reporting Person. Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6 Ownership of More Than Five Percent on Behalf of Another Person: ------------------------------------------------ No other person has the right to receive or the power to direct the receipt of dividends from, or other proceeds from the sale, of the shares. Page 11 of 15 Pages Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: -------------------------------------------------------- Not applicable. Item 8 Identification and Classification of Members of the Group: ------ Not applicable. Item 9 Notice of Dissolution of Group: ------------------------------ Not applicable. Item 10 Certification: ------------- Not applicable. Page 12 of 15 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 1997 MARQUETTE VENTURE PARTNERS II, L.P. MVP II AFFILIATES FUND, L.P. MARQUETTE GENERAL II, L.P. LDR LIMITED PARTNERSHIP By: /s/ Lloyd D. Ruth ------------------- Lloyd D. Ruth as authorized signatory JED LIMITED PARTNERSHIP By: /s/ James E. Daverman ------------------------ James E. Daverman as authorized signatory /s/ James E. Daverman ------------------------ JAMES E. DAVERMAN /s/ Lloyd D. Ruth ------------------- LLOYD D. RUTH Page 13 of 15 Pages Exhibit A --------- AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G --------------------- The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13G (the "Schedule 13G") to which this Exhibit is attached, and such Schedule 13G is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13G and any subsequent amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. Date: February 13, 1997 MARQUETTE VENTURE PARTNERS II, L.P. MVP II AFFILIATES FUND, L.P. MARQUETTE GENERAL II, L.P. LDR LIMITED PARTNERSHIP By: /s/ Lloyd D. Ruth -------------------- Lloyd D. Ruth as authorized signatory JED LIMITED PARTNERSHIP By: /s/ James E. Daverman ------------------------ James E. Daverman as authorized signatory Page 14 of 15 Pages /s/ James E. Daverman ------------------------ JAMES E. DAVERMAN /s/ Lloyd D. Ruth -------------------- LLOYD D. RUTH Page 15 of 15 pages -----END PRIVACY-ENHANCED MESSAGE-----