0000950005-05-000249.txt : 20120628
0000950005-05-000249.hdr.sgml : 20120628
20050302170613
ACCESSION NUMBER: 0000950005-05-000249
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050302
DATE AS OF CHANGE: 20050302
GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P.
GROUP MEMBERS: ALTA CALIFORNIA PARTNERS, L.P.
GROUP MEMBERS: ALTA EMBARCADERO PARTNERS, LLC
GROUP MEMBERS: ALTA PARTNERS
GROUP MEMBERS: GARRETT GRUENER
GROUP MEMBERS: GUY NOHRA
GROUP MEMBERS: JEAN DELEAGE
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: DYNAVAX TECHNOLOGIES CORP
CENTRAL INDEX KEY: 0001029142
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 330728374
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80035
FILM NUMBER: 05655095
BUSINESS ADDRESS:
STREET 1: 717 POTTER STREET, SUITE 100
CITY: BERKELEY
STATE: CA
ZIP: 94710
BUSINESS PHONE: 5108485100
MAIL ADDRESS:
STREET 1: 9500 GILMAN DR
STREET 2: UNIVERSITY OF CALIFORNIA
CITY: LA JOLLA
STATE: CA
ZIP: 92093-0663
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: ALTA PARTNERS
CENTRAL INDEX KEY: 0001060013
IRS NUMBER: 943238854
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: STE 4050
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4153624022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER
STREET 2: STE 4050
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
SC 13G/A
1
p19206_13ga.txt
SCHEDULE 13G/A #1
United States
Securities and Exchange Commission
WASHINGTON, D.C. 20549
Schedule 13G
(Amendment No. _1_)*
UNDER THE SECURITIES EXCHANGE ACT OF 1934
DYNAVAX TECHNOLOGIES CORPORATION
--------------------------------
(Name of Issuer)
Common Stock
--------------------------------
(Title of Class of Securities)
268158102
--------------------------------
(CUSIP Number)
February 23, 2005
--------------------------------------------------------------------------------
(Date of Event That 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 ("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).
CUSIP No. 268158102 Page 2 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Partners
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned ---------------------------------------------------
By Each Reporting (6) Shared Voting Power -0-
Person With ---------------------------------------------------
(7) Sole Dispositive Power -0-
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
-0- Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 3 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta California Partners, L. P.
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned ---------------------------------------------------
By Each Reporting (6) Shared Voting Power -0-
Person With ---------------------------------------------------
(7) Sole Dispositive Power -0-
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
-0- Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
--------------------------------------------------------------------------------
CUSIP No. 268158102 Page 4 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta California Management Partners, L. P.
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned ---------------------------------------------------
By Each Reporting (6) Shared Voting Power -0-
Person With ---------------------------------------------------
(7) Sole Dispositive Power -0-
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
-0- Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
--------------------------------------------------------------------------------
CUSIP No. 268158102 Page 5 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Embarcadero Partners, LLC
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned ---------------------------------------------------
By Each Reporting (6) Shared Voting Power -0-
Person With ---------------------------------------------------
(7) Sole Dispositive Power -0-
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
-0- Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 268158102 Page 6 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Jean Deleage
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power 36,956
Beneficially Owned See Attachment A
By Each Reporting ---------------------------------------------------
Person With (6) Shared Voting Power -0-
---------------------------------------------------
(7) Sole Dispositive Power 36,956
See Attachment A
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
36,956 Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0.15% Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 7 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Garrett Gruener
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power 63,271
Beneficially Owned See Attachment A
By Each Reporting ---------------------------------------------------
Person With (6) Shared Voting Power -0-
---------------------------------------------------
(7) Sole Dispositive Power 63,271
See Attachment A
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
63,271 Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0.26 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 8 of 13 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Guy Nohra
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
--------------------------------------------------------------------------------
Exit Filing -- Please see Attachment A
Number Of Shares (5) Sole Voting Power 62,089
Beneficially Owned See Attachment A
By Each Reporting ---------------------------------------------------
Person With (6) Shared Voting Power -0-
---------------------------------------------------
(7) Sole Dispositive Power 62,089
See Attachment A
---------------------------------------------------
(8) Shared Dispositive Power -0-
--------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
62,089 Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0.25 % Exit Filing -- Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 9 of 13 Pages
Item 1.
(a) Name of Issuer: Dynavax Technologies Corporation ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
2929 7th Street, Suite 130
Berkeley, CA 94710
Item 2.
(a) Name of Person Filing:
Alta Partners ("AP")
Alta California Partners, L.P. ("ACP")
Alta California Management Partners, L.P. ("ACMP")
Alta Embarcadero Partners, LLC ("AEP")
Jean Deleage ("JD")
Garrett Gruener ("GG")
Guy Nohra ("GN")
(b) Address of Principal Business Office:
One Embarcadero Center, Suite 4050
San Francisco, CA 94111
(c) Citizenship/Place of Organization:
Entities: AP - California
ACP - Delaware
ACMP Delaware
AEP California
Individuals: JD United States
GG United States
GN United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 268158102
Item 3. Not applicable.
Page 10 of 13 Pages
Item 4 Ownership.
Exit Filing -- Please see Attachment A
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
AP ACP ACMP AEP JD GG GN
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
(a) Beneficial -0- -0- -0- -0- 36,956 63,271 62,089
Ownership
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
(b) Percentage of 0 % 0 % 0 % 0 % 0.15 % 0.26 % 0.25 %
Class
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
(c) Sole Voting Power -0- -0- -0- -0- 36,956 63,271 62,089
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Shared Voting -0- -0- -0- -0- -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Sole Dispositive -0- -0- -0- -0- 36,956 63,271 62,089
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Shared -0- -0- -0- -0- -0- -0- -0-
Dispositive Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Item 5. Ownership of Five Percent or Less of a Class
Exit Filing
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
No reporting person is a member of a group as defined in Section
240.13d-1(b)(1)(ii)(H) of the Act.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below we certify that, to the best of our knowledge and belief, the
securities referred to above were acquired and are held in the ordinary course
of business and 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.
EXHIBITS
A: Joint Filing Statement
Page 11 of 13 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: March 2, 2005
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.
By: /s/ Jean Deleage By: /s/ Guy Nohra
----------------------------------------- -----------------------------------------
Jean Deleage, President Guy Nohra, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Guy Nohra By: /s/ Jean Deleage
----------------------------------------- -----------------------------------------
Guy Nohra, General Partner Jean Deleage, Member
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------------- --------------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener
-------------------------------------------
Garrett Gruener
Page 12 of 13 Pages
EXHIBIT A
AGREEMENT OF JOINT FILING
We, the undersigned, hereby express our agreement that the attached
Schedule 13G is filed on behalf of us.
Date: March 2, 2005
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.
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.
By: /s/ Jean Deleage By: /s/ Guy Nohra
----------------------------------------- -----------------------------------------
Jean Deleage, President Guy Nohra, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Guy Nohra By: /s/ Jean Deleage
----------------------------------------- -----------------------------------------
Guy Nohra, General Partner Jean Deleage, Member
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------------- --------------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener
--------------------------------------------
Garrett Gruener
Attachment A
EXIT FILING
Alta Partners provides investment advisory services to several venture capital
funds including, Alta California Partners L.P. and Alta Embarcadero Partners,
LLC. On 2/23/05, Alta California Partners, L.P. distributed 1,486,714 shares of
Common Stock and Alta Embarcadero Partners, LLC distributed 35,472 shares of
Common Stock. The respective general partners and members of Alta California
Partners L.P. and Alta Embarcadero Partners, LLC exercise sole voting and
investment power in respect to the shares owned by such funds.
Certain principals of Alta Partners are general partners of Alta California
Management Partners, L.P. (which is a general partner of Alta California
Partners, L.P.), and members of Alta Embarcadero Partners, LLC. As general
partners and members of such entities, they may be deemed to share voting and
investment powers over the shares held by such funds. The principals of Alta
Partners disclaim beneficial ownership of all such shares held by the foregoing
funds, except to the extent of their proportionate pecuniary interests therein.
Mr. Garrett Gruener is a general partner of Alta California Management Partners,
L.P. (which is the general partner of Alta California Partners, L.P.) and a
member of Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of
all such shares held by the foregoing funds except to the extent of his
proportionate pecuniary interests therein. As a result of the 2/23/05 Stock
Distribution, he received 63,271 shares of Common Stock; of which 62,089 shares
were received from Alta California Management Partners, L.P. and 1,182 shares
were received from Alta Embarcadero Partners, LLC.
Mr. Jean Deleage is a general partner of Alta California Management Partners,
L.P. (which is the general partner of Alta California Partners, L.P.) and a
member of Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of
all such shares held by the foregoing funds except to the extent of his
proportionate pecuniary interests therein. See below for disclosure of share
ownership:
As of February 23, 2005 - Common Stock Ownership: Shares Owned By/Affiliated
with Jean Deleage
Beneficial Owner (issued in the name of) # of Shares Date Acquired
---------------------------------------- ----------- -------------
Jean Deleage 36,956 (2) 2/23/05
Deleage Children's Trust FBO Andre Deleage (1) 9,239 (3) 2/23/05
Deleage Children's Trust FBO Emmanuel Deleage (1) 9,239 (3) 2/23/05
Deleage Children's Trust FBO Philippe Deleage (1) 9,239 (3) 2/23/05
Deleage Children's Trust FBO Michel Deleage (1) 9,239 (3) 2/23/05
(1) Of which Mr. Deleage , a principal of Alta Partners (a venture capital
firm) is neither a trustee nor claims beneficial ownership.
(2) As a result of the 2/23/05 Stock Distribution, Mr. Deleage received
36,956 shares of Common Stock; of which 31,044 shares were received
from Alta California Management Partners, L.P. and 5,912 shares were
received from Alta Embarcadero Partners, LLC.
(3) As a result of the 2/23/05 Stock Distribution, each of the Deleage
Children's Trusts received 9,239 shares of Common Stock; of which 7,761
shares were received from Alta California Management Partners, L.P. and
1,478 shares were received from Alta Embarcadero Partners, LLC.
Page 1 of 2 of Attachment A
Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P.
(which is the general partner of Alta California Partners, L.P.) He disclaims
beneficial ownership of all such shares held by the foregoing funds except to
the extent of his proportionate pecuniary interests therein. As a result of the
2/23/05 Stock Distribution, the Guy Paul and Linda Nohra, Nohra Living Trust
received 46,567 shares of Common Stock and The Nohra 1996 Credit Trust received
15,522 shares from Alta California Management Partners, L.P.
Alta Partners is a venture capital company with an office in San Francisco. Alta
Partners is California Corporation. Alta California Partners, L.P. is a Delaware
Limited Partnership and Alta Embarcadero Partners, LLC is a California Limited
Liability Company.
Page 2 of 2 of Attachment A