-----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, ARwte4IMfuonbZldMjwWAQUGLhWiq5A40SHBahPh4y4KEF+o4yFhglS9XFv9opo0 sQNCZNiVEdjcaBAEwqrAXg== 0001177254-05-000012.txt : 20050204 0001177254-05-000012.hdr.sgml : 20050204 20050204095101 ACCESSION NUMBER: 0001177254-05-000012 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050204 DATE AS OF CHANGE: 20050204 GROUP MEMBERS: CHAI TRUST COMPANY, L.L.C. GROUP MEMBERS: EGI-FUND (02-04) INVESTORS, L.L.C. GROUP MEMBERS: EGI-FUND (05-07) INVESTORS, L.L.C. GROUP MEMBERS: EGI-MANAGING MEMBER (02-04), L.L.C. 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: 05575358 BUSINESS ADDRESS: STREET 1: 41 UNIVERSITY DRIVE CITY: NEWTON STATE: PA ZIP: 18940 BUSINESS PHONE: 2155797388 MAIL ADDRESS: STREET 1: 41 UNIVERSITY DRIVE CITY: NEWTON STATE: PA ZIP: 18940 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SZ INVESTMENTS LLC CENTRAL INDEX KEY: 0001093566 IRS NUMBER: 364150443 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: TWO NORTH RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3124541800 MAIL ADDRESS: STREET 1: TWO NORTH RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 thirteeng.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response .........11 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CollaGenex Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 19419B100 - -------------------------------------------------------------------------------- (CUSIP Number) February 4, 2005 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) * 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 the 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 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). CUSIP No. 19419B100 13G Page 2 of 10 Pages - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). EGI-Fund (02-04) Investors, L.L.C. FEIN: 40-0002819 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 418,500 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 0 WITH _________________________________________________________________ 8. Shared Dispositive Power 418,500 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 418,500 - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 2.9% (1) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- (1) Calculated based upon 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. CUSIP No. 19419B100 13G Page 3 of 10 Pages - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). EGI-Fund (05-07) Investors, L.L.C. FEIN: 20-2062590 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 631,500 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 0 WITH _________________________________________________________________ 8. Shared Dispositive Power 631,500 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 631,500 - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.4% (1) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- (1) Calculated based upon 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. CUSIP No. 19419B100 13G Page 4 of 10 Pages - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). EGI-Managing Member (02-04), L.L.C. FEIN: 40-0002816 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 418,500 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 0 WITH _________________________________________________________________ 8. Shared Dispositive Power 418,500 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 418,500 - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 2.9% (1) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- (1) Calculated based upon 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. CUSIP No. 19419B100 13G Page 5 of 10 Pages - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). SZ Investments, L.L.C. FEIN: 36-4150443 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 1,050,000 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 0 WITH _________________________________________________________________ 8. Shared Dispositive Power 1,050,000 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,050,000 - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 7.3% (1) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) 00 - -------------------------------------------------------------------------------- (1) Calculated based upon 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. CUSIP No. 19419B100 13G Page 6 of 10 Pages - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Chai Trust Company, L.L.C. FEIN: 36-6934216 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [X] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Illinois - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 1,050,000 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 0 WITH _________________________________________________________________ 8. Shared Dispositive Power 1,050,000 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,050,000 - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (11) 7.3% (1) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) 00 - -------------------------------------------------------------------------------- (1) Calculated based upon 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. CUSIP No. 19419B100 13G Page 7 of 10 Pages - -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: CollaGenex Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 41 University Drive, Newtown, Pennsylvania 18940 - -------------------------------------------------------------------------------- Item 2(a). Names of Persons Filing: This Schedule 13G is being filed by the following entities: EGI-Fund (02-04) Investors, L.L.C., a Delaware limited liability company EGI-Fund (05-07) Investors, L.L.C., a Delaware limited liability company EGI-Managing Member (02-04), L.L.C., a Delaware limited liability company SZ Investments, L.L.C., a Delaware limited liability company Chai Trust Company, L.L.C., an Illinois limited liability company - -------------------------------------------------------------------------------- Item 2(b). Address of Principal Business Offices, or if None, Residences: The address for each of the Reporting Persons is: Two North Riverside Plaza, Suite 600, Chicago, Illinois 60606 - -------------------------------------------------------------------------------- Item 2(c). Citizenship: EGI-Fund (02-04) Investors, L.L.C. -- Delaware EGI-Fund (05-07) Investors, L.L.C. -- Delaware EGI-Managing Member (02-04), L.L.C. -- Delaware SZ Investments, L.L.C. -- Delaware Chai Trust Company, L.L.C. -- Illinois - -------------------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock, par value $0.01 per share - -------------------------------------------------------------------------------- Item 2(e). CUSIP Number: 19419B100 - -------------------------------------------------------------------------------- CUSIP No. 19419B100 13G Page 8 of 10 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d(1)(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [_] Broker or dealer registered under Section 15 of the Act (b) [_] Bank as defined in Section 3(a)(6) of the Act (c) [_] Insurance company as defined in Section 3(a)(19) of the Act (d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E) (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F) (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G) (h) [_] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [_] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J) Not applicable. CUSIP No. 19419B100 13G Page 9 of 10 Pages ITEM 4. OWNERSHIP. To the best knowledge of each of the Reporting Persons, there were 14,385,377 shares of Common Stock outstanding as of November 1, 2004, as reported by the Issuer on its Form 10-Q for the period ending September 30, 2004. Fund 02-04 and Managing Member share beneficial ownership of, the power to vote or to direct the vote of, and the power to dispose or direct the disposition of, 418,500 shares of Common Stock, representing 2.9% of the Issuer's issued and outstanding Common Stock. Fund 05-07 shares beneficial ownership of, the power to vote or to direct the vote of, and the power to dispose or direct the disposition of, 631,500 shares of Common Stock, representing 4.4% of the Issuer's issued and outstanding Common Stock. SZ Investments and Chai Trust share beneficial ownership of, the power to vote or to direct the vote of, and the power to dispose or direct the disposition of, the 1,050,000 shares of Common Stock held by Fund 02-04 and Fund 05-07, representing 7.3% of the Issuer's issued and outstanding Common Stock. 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. Not applicable. 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 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 19419B100 13G Page 10 of 10 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. DATED: February 4, 2005 EGI-FUND (02-04) INVESTORS, L.L.C. EGI-FUND (05-07) INVESTORS, L.L.C. EGI-MANAGING MEMBER (02-04), L.L.C. SZ INVESTMENTS, L.L.C. Each by: /s/ DONALD J. LIEBENTRITT - ------------------------------------- Name: Donald J. Liebentritt Title: Vice President CHAI TRUST COMPANY, L.L.C. By: /s/ DONALD J. LIEBENTRITT - ------------------------------------- Name: Donald J. Liebentritt Title: President The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13G-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (See 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----