-----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, B9P4+v5aOrTosHjU26S9R93vWfWFDkKCmuVGY6OcmiZ4Onq8ReTPXSb2JjtgBhR+ 0h2opnxRdgkDldI/pqhvoQ== 0000950005-04-000786.txt : 20041102 0000950005-04-000786.hdr.sgml : 20041102 20041102154519 ACCESSION NUMBER: 0000950005-04-000786 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041102 DATE AS OF CHANGE: 20041102 GROUP MEMBERS: ALIX MARDUEL GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC. GROUP MEMBERS: ALTA BIOPHARMA PARTNERS II, L.P. GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS, L. P. GROUP MEMBERS: ALTA CALIFORNIA PARTNERS, L. P. GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC. GROUP MEMBERS: ALTA EMBARCADERO PARTNERS, LLC GROUP MEMBERS: ALTA PARTNERS GROUP MEMBERS: ALTA PARTNERS II, INC. GROUP MEMBERS: FARAH CHAMPSI GROUP MEMBERS: GARRETT GRUENER GROUP MEMBERS: GUY NOHRA GROUP MEMBERS: JEAN DELEAGE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIGEL PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001034842 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943248524 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59985 FILM NUMBER: 041113325 BUSINESS ADDRESS: STREET 1: 1180 VETERANS BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 MAIL ADDRESS: STREET 1: 1180 VETERANS BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 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 p18966_13g.txt FORM SC13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 9)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 RIGEL PHARMACEUTICALS, INC. ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 766559108 ----------------------------------------- (CUSIP Number) October 21, 2004 - -------------------------------------------------------------------------------- (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. 766559108 Page 2 of 21 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 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IA - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 3 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Partners II, Inc. - ------------------------------------------------------------------------------------------------------------------- (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 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IA - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 4 of 21 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 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 5 of 21 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 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 6 of 21 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 Delaware - ------------------------------------------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 7 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Partners II, 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 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 8 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Management II, 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 Delaware - ------------------------------------------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 9 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero BioPharma Partners II, 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 Delaware - ------------------------------------------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 10 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Farah Champsi - ------------------------------------------------------------------------------------------------------------------- (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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 11 of 21 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 29,038 Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With EXIT FILING ---- Please see footnote 1 (7) Sole Dispositive Power 29,038 (8) Shared Dispositive Power 780,103 EXIT FILING ---- Please see footnote 1 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 809,141 EXIT FILING ---- Please see Attachment A and footnote 2 - ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 4.14% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 1: Includes the 780,103 shares of Common Stock held by the funds affiliated with Alta Partners II. He beneficially owns 9,593 shares of Common Stock and Stock Options for 20,557 shares of Common Stock. See Attachment A.
CUSIP No. 766559108 Page 12 of 21 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With EXIT FILING (7) Sole Dispositive Power -0- (8) Shared Dispositive Power -0- EXIT FILING - ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person -0- EXIT FILING ---- Please see Attachment A and footnote 2 - ------------------------------------------------------------------------------------------------------------------- (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 IN - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 13 of 21 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alix Marduel - ------------------------------------------------------------------------------------------------------------------- (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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 780,103 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 780,103 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 780,103 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) 3.99% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 14 of 21 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 15,122 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With EXIT FILING (7) Sole Dispositive Power 15,122 (8) Shared Dispositive Power -0- EXIT FILING (9) Aggregate Amount Beneficially Owned By Each Reporting Person 15,122 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) 0.08% EXIT FILING ---- Please see Attachment A - ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Rigel Pharmaceuticals, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 1180 Veterans Boulevard South San Francisco, CA 94080 Item 2. (a) Name of Person Filing: Alta Partners ("AP") Alta Partners II, Inc. ("AP II") Alta California Partners, L.P. ("ACP") Alta California Management, L.P. ("ACMP") Alta Embarcadero Partners, LLC ("AEP") Alta BioPharma Partners II, L.P. ("ABP II") Alta BioPharma Management II, LLC ("ABMP II") Alta Embarcadero BioPharma Partners II, LLC ("AEBP II") Farah Champsi ("FC") Jean Deleage ("JD") Garrett Gruener ("GG") Alix Marduel ("AM") 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 AP II California ACP Delaware ACMP Delaware AEP California ABP II Delaware ABMP II Delaware AEBP II California Individuals: FC United States JD United States GG United States AM United States GN United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 766559108 Item 3. Not applicable. Item 4 Ownership.
EXIT FILING ---- Please see Attachment A - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- AP AP II ACP ACMP AEP ABP II ABMP II - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (a) Beneficial 780,103 780,103 780,103 780,103 780,103 780,103 780,103 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (b) Percentage of 3.99% 3.99% 3.99% 3.99% 3.99% 3.99% 3.99% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared Voting 780,103 780,103 780,103 780,103 780,103 780,103 780,103 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Sole Dispositive -0- -0- -0- -0- -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared 780,103 780,103 780,103 780,103 780,103 780,103 780,103 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- AEBP II FC JD GG AM GN - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (a) Beneficial 780,103 780,103 809,141 -0- 780,103 15,122 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (b) Percentage of 3.99% 3.99% 4.14% 0.00% 3.99% 0.08% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (c) Sole Voting Power -0- -0- 29,038 -0- -0- 15,122 - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared Voting 780,103 780,103 780,103 -0- 780,103 -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Sole Dispositive -0- -0- 29,038 -0- -0- 15,122 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared 780,103 780,103 780,103 -0- 780,103 -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 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: November 1, 2004
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P. By: Alta California Management Partners, L.P., By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------------------------- ------------------------------------------ Jean Deleage, President Jean Deleage, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------------------------- ----------------------------------------- Jean Deleage, General Partner Jean Deleage, Member ALTA PARTNERS II, INC. By: /s/ Jean Deleage ----------------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT II, LLC By: Alta BioPharma Management II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Managing Director ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi /s/ Alix Marduel ----------------------------------------- -------------------------------------------- Farah Champsi, Manager Alix Marduel /s/ Jean Deleage /s/ Guy Nohra ----------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi ----------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi
EXHIBIT A AGREEMENT OF JOINT FILING Date: November 1, 2004 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/ Jean Deleage ----------------------------------------- ------------------------------------------ Jean Deleage, President Jean Deleage, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------------------------- ----------------------------------------- Jean Deleage, General Partner Jean Deleage, Member ALTA PARTNERS II, INC. By: /s/ Jean Deleage ----------------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT II, LLC By: Alta BioPharma Management II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Managing Director ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi /s/ Alix Marduel ----------------------------------------- -------------------------------------------- Farah Champsi, Manager Alix Marduel /s/ Jean Deleage /s/ Guy Nohra ----------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi ----------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi
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 9/29/04, Alta California Partners, L.P. net exercised its warrant for 33,947 shares of Common Stock into 25,052 shares of Common Stock, and then sold the shares on 9/30/04. On 9/29/04, Alta Embarcadero Partners, LLC net exercised its warrant for 776 shares of Common Stock into 573 shares of Common Stock, and then sold the shares on 9/30/04. As a result of the sale of the stock, Alta California Partners, L.P. and Alta Embarcadero Partners, LLC no longer beneficially own any securities in Rigel Pharmaceuticals, Inc. The respective general partners and members of Alta California Partners L.P. and Alta Embarcadero Partners, LLC hold sole voting and investment power with respect to the shares owned by the aforementioned 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 Alta Embarcadero Partners, LLC. As general partners and members of such funds, they may be deemed to share voting and investment powers over the shares held by the 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. Alta Partners II, Inc. provides investment advisory services to several venture capital funds including Alta BioPharma Partners II, L.P. and Alta Embarcadero BioPharma Partners II, LLC. During the period of October 18-21, 2004, Alta BioPharma Partners II, L.P. and Alta Embarcadero BioPharma Partners II, LLC sold the following shares:
Holder Date of Sale # of Shares Sold ------ ------------ ---------------- Alta BioPharma Partners II, L.P. 10/18/04 18,712 10/19/04 25,994 10/21/04 171,299 ------- 216,005
Holder Date of Sale # of Shares Sold ------ ------------ ---------------- Alta Embarcadero BioPharma Partners II, LLC 10/18/04 688 10/19/04 956 10/21/04 6,301 ----- 7,945
As a result of the sales, Alta BioPharma Partners II, L.P. now beneficially owns 752,423 shares of Common Stock and Alta Embarcadero BioPharma Partners II, LLC now beneficially owns 27,680 shares Common Stock. The managing directors of Alta BioPharma Partners II, L.P. and managers of Alta Embarcadero BioPharma Partners II, LLC exercise sole voting and investment power in respect to the shares owned by such funds. Certain principals of Alta Partners II, Inc. are managing directors of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), and managers of Alta Embarcadero BioPharma Partners II, LLC. As managing directors and managers of such entities, they may be deemed to share voting and investment powers over the shares beneficially held by the funds. The principals of Alta Partners II, Inc. disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Page 1 of 2 of Attachment A Attachment A (continued) Mr. Jean Deleage, Director, is a managing director of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), and a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus he currently shares voting and dispositive powers over the 752,423 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P., and the 27,680 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Deleage beneficially owns 9,593 shares of Common Stock. He holds stock options for 20,557 shares of Common Stock: options for 8,333 shares were granted on June 30, 2004, options for 8,333 shares were granted on January 26, 2004, options for 1,112 shares were granted on 7/28/03, options for 1,667 shares were granted on June 26, 2003, options for 556 shares were granted on June 20, 2002 and options for 556 shares were granted on July 19, 2001. Ms. Farah Champsi is a managing director of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently shares voting and dispositive powers over the 752,423 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P. and the 27,680 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of her 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 all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. Dr. Alix Marduel is a managing director of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently shares voting and dispositive powers over the 752,423 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P. and the 27,680 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of her proportionate pecuniary interests therein. 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 all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. The Nohra Living Trust owns 11,442 shares of Common Stock and the Nohra 1996 Credit Trust owns 3,680 shares of Common Stock. Alta Partners and Alta Partners II, Inc. are venture capital firms that share an office in San Francisco. Alta Partners is California Corporation. Alta Partners II, Inc. is a California Corporation. Alta California Partners, L.P. is a Delaware Limited Partnership, Alta Embarcadero Partners, LLC is a California Limited Liability Company, Alta BioPharma Partners II, L.P. is a Delaware Limited Partnership, and Alta Embarcadero BioPharma Partners II, LLC is a California Limited Liability Company. Page 2 of 2 of Attachment A -----END PRIVACY-ENHANCED MESSAGE-----