-----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, V6S/hktldwOkJc23/3yURH9w2h9S2ajdxs8tbQ+WlWOkcOSl/eeHjWEsGWF7oTS6 Mcolc7tS9f0dNLmpLMS2nA== 0000950144-04-001219.txt : 20040213 0000950144-04-001219.hdr.sgml : 20040213 20040213114400 ACCESSION NUMBER: 0000950144-04-001219 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040213 GROUP MEMBERS: BATH STREET NOMINEES LTD. GROUP MEMBERS: THOMPSON CLIVE INVESTMENTS PLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENITOPE CORP CENTRAL INDEX KEY: 0001028358 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770436313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79329 FILM NUMBER: 04596005 BUSINESS ADDRESS: STREET 1: 525 PENOBSCOT DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6504822000 MAIL ADDRESS: STREET 1: 525 PENOBSCOT DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HSBC INTERNATIONAL TRUSTEE CENTRAL INDEX KEY: 0001279604 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 1 GREENVILLE STREET STREET 2: ST HELIER JERSEY JE4 9PF CITY: UNITED KINGDOM STATE: X0 ZIP: 0000 SC 13G 1 g87200sc13g.htm GENITOPE CORPORATION Genitope Corporation
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

Genitope Corporation
(Name of Issuer)

COMMON STOCK , par value $0.001 per share
(Title of Class of Securities)

37229P507
(CUSIP Number)

OCTOBER 30, 2003
(Date of Event Which Requires Filing of this Statement)

     Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

  o Rule 13d-1(b)
o Rule 13d-1(c)
þ 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 (“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).

(Continued on following page(s))

Page 1 of 10 Pages

 

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 2 of 10 Pages
     
             
  1. Name of Reporting Person:
 
Thompson Clive Investments plc		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) þ Joint Filing
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
 
England, UK
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
733,298
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
733,298
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
733,298
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
þ(1)
  11.Percent of Class Represented by Amount in Row (9):
4.4%(2)
  12.Type of Reporting Person:
CO (Public Limited Company)

(1)  Excludes 300,974 shares of Common Stock held by Thompson Clive International and 116,809 shares of Common Stock held by Thompson Clive Growth Industries Fund. Thompson Clive Investment plc expressly disclaims any beneficial ownership of any of these shares.

(2)  Calculated based on 16,820,191 shares of outstanding Common Stock, par value $.001 per share, of the Issuer on November 30, 2003, as reported in the Issuer’s Form 10-Q for the period ended September 30, 2003 and filed with the Securities and Exchange Commission on December 11, 2003.

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 3 of 10 Pages
     
             
  1. Name of Reporting Person:
 
Thompson Clive International (registered name HSBC International re TC Int)		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) þ Joint Filing
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
 
Jersey, UK
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
300,974
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
300,974
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
300,974
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
þ(3)
  11.Percent of Class Represented by Amount in Row (9):
1.8%(2)
  12.Type of Reporting Person:
CO (Jersey Unit Trust)

(2)  Calculated based on 16,820,191 shares of outstanding Common Stock, par value $.001 per share, of the Issuer on November 30, 2003, as reported in the Issuer’s Form 10-Q for the period ended September 30, 2003 and filed with the Securities and Exchange Commission on December 11, 2003.

(3)  Excludes 733,298 shares of Common Stock held by Thompson Clive Investments plc and 116,809 shares of Common Stock held by Thompson Clive Growth Industries Fund. Thompson Clive International expressly disclaims any beneficial ownership of any of these shares.

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 4 of 10 Pages
     
             
  1. Name of Reporting Person:
 
Thompson Clive Growth Industries Fund (registered name Bath Street Nominees Ltd)		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) þ Joint Filing
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
Jersey, UK
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
116,809
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
116,809
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
116,809
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
þ(4)
  11.Percent of Class Represented by Amount in Row (9):
0.7%(2)
  12.Type of Reporting Person:
CO (Jersey Unit Trust)

(2)  Calculated based on 16,820,191 shares of outstanding Common Stock, par value $.001 per share, of the Issuer on November 30, 2003, as reported in the Issuer’s Form 10-Q for the period ended September 30, 2003 and filed with the Securities and Exchange Commission on December 11, 2003.

(4)  Excludes 733,298 shares of Common Stock held by Thompson Clive Investments plc and 300,974 shares of Common Stock held by Thompson Clive International. Thompson Clive Growth Industries Fund expressly disclaims any beneficial ownership of any of these shares.

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 5 of 10 Pages
     

     This Schedule 13G relates to the shares of common stock, par value $0.001 per share (“Common Stock”), of Genitope Corporation, a Delaware corporation (the “Issuer”), held by (1) Thompson Clive Investments plc (“Thompson Clive Investments”), Thompson Clive International (registered name HSBC International re TC Int) (“Thompson Clive International”), and Thompson Clive Growth Industries Fund (registered name Bath Street Nominees Ltd) (“Thompson Clive Growth Industries”). Each of Thompson Clive Investments, Thompson Clive International and Thompson Clive Growth Industries (collectively, the “Reporting Persons”) hereby expressly (a) disclaims beneficial ownership of the shares of Common Stock held by the other Reporting Persons and (b) disclaims membership in a “group” under Section 13(d) of the Securities Exchange Act of 1934 and the rules and regulations thereunder with respect to the shares of Common Stock reported herein, and this Schedule 13G shall not be deemed to be an admission that any such Reporting Person (i) is the beneficial owner of the shares owned by the other Reporting Persons or (ii) is a member of such a group.

Item 1

    (a) Name of Issuer
 
    Genitope Corporation
 
    (b) Address of Issuer’s Principal Executive Offices
 
    525 Penobscot Drive, Redwood City, CA 94063

Item 2

    (a) Name of Person Filing
 
    This statement is filed jointly pursuant to rule 13d-1(k)(1) on behalf of Thompson Clive Investments, Thomspon Clive International and Thompson Clive Growth Industries.
 
    (b) Address of Principal Business Office or, if none, Residence
 
    Thompson Clive Investment’s principal business office address is 24 Old Bond Street, London W1S 4AW, England.
 
    Thompson Clive International’s principal business office address is HSBC International Trustee Ltd, 1 Grenville Street, St Helier, Jersey JE4 9PF, United Kingdom.
 
    Thompson Clive Growth Industries’ principal business office address R&H Fund Services (Jersey) Ltd, Ordnance House, 31 Pier Road, St Helier, Jersey JE4 8PW, United Kingdom.

 

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 6 of 10 Pages
     

    (c) Citizenship
 
    Thompson Clive Investment is a public limited company organized under the laws of England, UK.
 
    Thompson Clive International is a Jersey unit trust organized under the laws of Jersey, UK.
 
    Thompson Clive Growth Industries is a Jersey unit trust organized under the laws of Jersey, UK.
 
    (d) Title of Class of Securities
 
    Common stock, par value $0.001 per share (“Common Stock”)
 
    (e) CUSIP Number
 
    37229P507

Item 3

    Not applicable.

Item 4 Ownership

    (a) Amount Beneficially Owned
 
    Thompson Clive Investment is the beneficial owner of 733,298 shares of Common Stock.
 
    Thompson Clive International is the beneficial owner of 300,974 shares of Common Stock.
 
    Thompson Clive Growth Industries is the beneficial owner of 116,809 shares of Common Stock.
 
    (b) Percent of Class:
 
    Based on 16,820,191 shares of outstanding Common Stock, par value $.001 per share, of the Issuer on November 30, 2003, as reported in the Issuer’s Form 10-Q for the period ended September 30, 2003 and filed with the Securities and Exchange Commission on December 11, 2003:

      Such 733,298 shares of Common Stock beneficially owned by Thompson Clive Investment is 4.4% of the Issuer’s Common Stock.
 
      Such 300,974 shares of Common Stock beneficially owned by Thompson Clive International is 1.8% of the Issuer’s Common Stock.
 
      Such 116,809 shares of Common Stock beneficially owned by Thompson Clive International is 0.7% of the Issuer’s Common Stock.

    (c) Number of Shares as to which such Person has:

  A.   With respect to Thompson Clive Investment:

     
(i)   sole power to vote or to direct the vote: 733,298
(ii)   shared power to vote or to direct the vote: 0
(iii)   sole power to dispose or to direct the disposition of: 733,298
(iv)   shared power to dispose or to direct the disposition of: 0

 

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 7 of 10 Pages
     

  B.   With respect to Thompson Clive International:

     
(i)   sole power to vote or to direct the vote: 300,974
(ii)   shared power to vote or to direct the vote: 0
(iii)   sole power to dispose or to direct the disposition of: 300,974
(iv)   shared power to dispose or to direct the disposition of: 0

  C.   With respect to Thompson Clive Growth Industries:

     
(i)   sole power to vote or to direct the vote: 116,809
(ii)   shared power to vote or to direct the vote: 0
(iii)   sole power to dispose or to direct the disposition of: 116,809
(iv)   shared power to dispose or to direct the disposition of: 0

Item 5 Ownership of Five Percent or Less of a Class

    Not Applicable.

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

    This statement is filed jointly pursuant to rule 13d-1(k)(1) on behalf of Thomspon Clive Investments, Thompson Clive International and Thompson Clive Growth Industries.

Item 9 Notice of Dissolution of Group

    Not Applicable

Item 10 Certification

    Not Applicable

 

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 8 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.

         
Date: February 14, 2004        
         
    THOMPSON CLIVE INVESTMENTS PLC
         
    By:   /s/ C. E. Fitzherbert
       
    Name: C. E. Fitzherbert
    Title: Alternate Director
         
    By:   /s/ S. A. Thompson
       
    Name: S. A. Thompson
    Title: Company Secretary
         
         
    HSBC INTERNATIONAL TRUSTEE FOR
    THOMPSON CLIVE INTERNATIONAL
 
    By:   /s/ Paul J. LeMoine
       
    Name: Paul J. Lemoine
    Title: Authorized Signatory
 
    By:   /s/ Julie F. Cameron
       
    Name: Julie F. Cameron
    Title: Authorized Signatory
         
         
    BATH STREET NOMINEES LTD.
FOR THOMPSON CLIVE GROWTH INDUSTRIES FUND
    CUSTODY BANK LTD. FOR
         
    By:   /s/ W. T. Chatterley
       
    Name: W. T. Chatterley
    Title: Authorized Signatory
         
    By:   /s/ S. Chittenden
       
    Name: S. Chittenden
    Title: Authorized Signatory
         
         
    THOMPSON CLIVE (JERSEY NO. 3) LTD.
AS MANAGER OF THOMPSON CLIVE GROWTH INDUSTRIES FUND
 
    By:   /s/ M. W. Richardson
       
    Name: M. W. Richardson
    Title: Director
 
    By:   /s/ Graeme Ross
       
    Name: Graeme Ross
    Title: Secretary

 

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 9 of 10 Pages
     

EXHIBIT INDEX

     
Exhibit Number   Description
 
     
99.01   Joint Filing Agreement Thompson Clive Investments, Thompson Clive International and Thompson Clive Growth Industries

  EX-99.01 3 g87200exv99w01.htm EX-99.01 JOINT FILING AGREEMENT Ex-99.01 Joint Filing Agreement

 

         
     
CUSIP No. 37229P507   Schedule 13G   Page 10 of 10 Pages
     

EXHIBIT 99.01

JOINT FILING AGREEMENT

     Each of the undersigned hereby agrees and consents that the Schedule 13G filed herewith (the “Schedule 13G”) is filed on behalf of each of them pursuant to the authorization of the undersigned to make such filing and that such Schedule 13G is filed jointly on behalf of each of them, pursuant to Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, as amended, and the rules promulgated thereunder, including Rule 13d-1(k)(1). Each of the undersigned hereby agrees that such Schedule 13G is, and any further amendments to the Schedule 13G will be, filed on behalf of each of the undersigned. Each of the persons is not responsible for the completeness or accuracy of the information concerning the other persons making this filing unless such person knows or has reason to believe that such information is inaccurate. This agreement may be signed in counterparts. This agreement is effective as of February 14, 2004.

         
         
    THOMPSON CLIVE INVESTMENTS PLC
         
    By:   /s/ C. E. Fitzherbert
       
    Name: C. E. Fitzherbert
    Title: Alternate Director
         
    By:   /s/ S. A. Thompson
       
    Name: S. A. Thompson
    Title: Company Secretary
         
         
    HSBC INTERNATIONAL TRUSTEE FOR
    THOMPSON CLIVE INTERNATIONAL
 
    By:   /s/ Paul J. LeMoine
       
    Name: Paul J. LeMoine
    Title: Authorized Signatory
 
    By:   /s/ Julie F. Cameron
       
    Name: Julie F. Cameron
    Title: Authorized Signatory
         
         
    BATH STREET NOMINEES LTD.
FOR THOMPSON CLIVE GROWTH INDUSTRIES FUND
 
    By:   /s/ W. T. Chatterley
       
    Name: W. T. Chatterley
    Title: Authorized Signatory
         
    By:   /s/ S. Chittenden
       
    Name: S. Chittenden
         
         
    THOMPSON CLIVE (JERSEY NO. 3) LTD.
AS MANAGER OF THOMPSON CLIVE GROWTH INDUSTRIES FUND
 
    By:   /s/ M. W. Richardson
       
    Name: M. W. Richardson
    Title: Director
 
    By:   /s/ Graeme Ross
       
    Name: Graeme Ross
    Title: Secretary

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