-----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, AXjnpulxkTO6ogfQHwisT6Cu43WPpu6U80TO/+ThOgsQvqFEuy7aqFkjO5fpvxmY DbkIMR+1Oh+DdIPrDnL7xg== 0001005477-02-000429.txt : 20020414 0001005477-02-000429.hdr.sgml : 20020414 ACCESSION NUMBER: 0001005477-02-000429 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 GROUP MEMBERS: AUGUSTINE LAWLOR GROUP MEMBERS: CHRISTOPHER MIRABELLI, PH.D. GROUP MEMBERS: HAROLD R. WERNER GROUP MEMBERS: HEALTHCARE PARTNERS III, L.P. GROUP MEMBERS: HEALTHCARE PARTNERS IV, L.P. GROUP MEMBERS: HEALTHCARE PARTNERS V, L.P. GROUP MEMBERS: HEALTHCARE VENTURES IV, L.P. GROUP MEMBERS: HEALTHCARE VENTURES V, L.P. GROUP MEMBERS: JAMES H. CAVANAUGH, PH.D. GROUP MEMBERS: JOHN W. LITTLECHILD GROUP MEMBERS: WILLIAM CROUSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DENDREON CORP CENTRAL INDEX KEY: 0001107332 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 223203193 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59179 FILM NUMBER: 02533504 BUSINESS ADDRESS: STREET 1: 3005 FIRST AVENUE CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 206254545 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HEALTHCARE VENTURES III L P CENTRAL INDEX KEY: 0000886425 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SC 13G/A 1 d02-35863.txt AMENDMENT NO. 1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1 (b) (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 1 )* DENDREON, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 24823Q107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- 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) |_| Rule 13d-1 (c) |X| 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 21 Pages CUSIP No. 24823Q107 13G Page 2 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures III, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,508,337 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,508,337 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,508,337 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.07% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 3 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners III, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,508,337 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,508,337 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,508,337 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.07% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 4 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures IV, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 736,600 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 736,600 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 736,600 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.96% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 5 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners IV, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 736,600 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 736,600 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 736,600 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.96% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 6 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures V, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 564,384 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 564,384 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 564,384 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.27% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 7 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners V, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 564,384 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 564,384 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 564,384 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.27% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 8 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James H. Cavanaugh, Ph.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,809,321 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,809,321 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,809,321 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.29% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 9 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Harold R. Werner - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,809,321 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,809,321 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,809,321 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.29% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 10 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William Crouse - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 15,000 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,809,321 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 15,000 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,809,321 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,824,321 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.35% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 11 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John W. Littlechild - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,809,321 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,809,321 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,809,321 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.29% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 12 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Christopher Mirabelli, Ph.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 564,384 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 564,384 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 564,384 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.27% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 24823Q107 13G Page 13 of 21 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Augustine Lawlor - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 564,384 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 564,384 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 564,384 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.27% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 14 of 21 Item 1. (a) Name of Issuer: Dendreon Corporation (b) Address of Issuer's Principal Executive Offices: 3005 First Avenue Seattle, Washington 98121 Item 2. (a) Name of Person Filing: HealthCare Ventures III, L.P. ("HCV III"), HealthCare Partners III, L.P. ("HCP III"), HealthCare Ventures IV, L.P. ("HCV IV"), HealthCare Partners IV, L.P. ("HCP IV"), HealthCare Ventures V, L.P. ("HCV V"), HealthCare Partners V, L.P. ("HCP V"), Drs. Cavanaugh and Mirabelli and Messrs. Werner, Littlechild, Crouse, and Lawlor. See attached Exhibit A, which is a copy of their agreement in writing to file this statement on behalf of each of them.(1) (b) Address of Principal Business Office or, if none, Residence: The business address for HCV III, HCP III, HCV IV, HCP IV, HCV V, HCP V, Dr. Cavanaugh and Messrs. Werner and Crouse is 44 Nassau Street, Princeton, New Jersey 08542. The business address for Dr. Mirabelli and Messrs. Littlechild and Lawlor is One Kendall Square, Building 300, Cambridge, Massachusetts 02339. (c) Citizenship: HCV III, HCP III, HCV IV, HCP IV, HCV V, HCP V are limited partnerships organized under the laws of the State of Delaware. Drs. Cavanaugh and Mirabelli and Messrs. Werner, Littlechild, Crouse and Lawlor are each United States citizens. (d) Title of Class of Securities: Common Stock, par value $.001 (the "Shares"). - ---------- (1) Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse are general partners of HCP III, HCP IV and HCP V, the general partner of each of HCV III, HCV IV and HCV V, respectively, the record holders of Issuer's securities. In addition, Dr. Mirabelli and Mr. Lawlor are also general partners of HCP V, the general partner of HCV V, the record holder of the Issuer's securities. Page 15 of 21 (e) CUSIP Number: 24823Q107 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: Inapplicable. Item 4. Ownership. (a) Amount Beneficially Owned: As of December 31, 2001: HCV III and HCP III beneficially owned 2,508,337 Shares consisting of 2,423,699 Shares of the Issuer's Common Stock and immediately exercisable warrants to purchase 84,638 Shares of the Issuer's Common Stock; HCV IV and HCP IV beneficially owned 736,600 Shares consisting of 711,745 Shares of the Issuer's Common Stock and immediately exercisable warrants to purchase 24,855 Shares of the Issuer's Common Stock; HCV V and HCP V beneficially owned 564,384 Shares of the Issuer's Common Stock; Dr. Cavanaugh and Messrs. Werner and Littlechild beneficially owned 3,809,321 Shares consisting of 3,699,828 Shares of the Issuer's Common Stock and immediately exercisable warrants to purchase 109,493 Shares of the Issuer's Common Stock; Mr. Crouse beneficially owned 3,824,321 Shares consisting of 3,699,828 Shares of the Issuer's Common Stock, immediately exercisable warrants to purchase 109,493 Shares of the Issuer's Common Stock and, immediately exercisable options to purchase 15,000 Shares of the Issuer's Common Stock(2) ; and Dr. Mirabelli and Mr. Lawlor beneficially owned 564,384 Shares of the Issuer's Common Stock. (b) Percent of Class: As of December 31, 2001: the 2,508,337 Shares beneficially owned by HCV III and HCP III constitute 10.07% of the Shares outstanding; the 736,600 Shares beneficially owned by HCV IV and HCP IV constitute 2.96% of the Shares outstanding; and the 564,385 Shares beneficially owned by HCV V and HCP V constitute 2.27% of the Shares outstanding; the 3,809,321 Shares beneficially owned by Dr. Cavanaugh and Messrs. Werner and Littlechild constitute 15.29% of the Shares outstanding; the 3,816,821 Shares beneficially owned by Mr. Crouse constitute 15.35% of the Shares outstanding; and the 564,385 Shares beneficially owned by Messrs. Mirabelli and Lawlor constitute 2.27% of the Shares outstanding. - ---------- (2) Does not include options to purchase an additional 7,500 Shares of the Issuer's Common Stock which were granted to Mr. Crouse as a director of the Issuer and which are not currently exercisable. The 7,500 Options become exercisable on December 6, 2002. Mr. Crouse is not deemed to beneficially own these Shares at the time of this report. Page 16 of 21 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: As of the date of this report, Mr. Crouse has the sole power to vote or direct the vote as to the 15,000 Shares beneficially owned by him. (ii) shared power to vote or to direct the vote: HCV III, HCP III, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to vote or direct the vote of those Shares owned by HCV III. HCV IV, HCP IV, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to vote or direct the vote of those Shares owned by HCV IV. HCV V, HCP V, Drs. Cavanaugh and Mirabelli and Messrs. Werner, Littlechild, Crouse, and Lawlor share the power to vote or direct the vote of those Shares owned by HCV V. (iii) sole power to dispose or to direct the disposition of: As of the date of this report, Mr. Crouse has the sole power to dispose or to direct the disposition of the 15,000 Shares beneficially owned by him. (iv) shared power to dispose of or to direct the disposition of: HCV III, HCP III, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to dispose of or direct the disposition of those Shares owned by HCV III. HCV IV, HCP IV, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to dispose of or direct the disposition of those Shares owned by HCV IV. HCV V, HCP V, Drs. Cavanaugh and Mirabelli and Messrs. Werner, Littlechild, Crouse, and Lawlor share the power to dispose of or direct the disposition of those Shares owned by HCV V. Item 5. Ownership of Five Percent or less of a Class: Inapplicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Page 17 of 21 Inapplicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Inapplicable. Item 8. Identification and Classification of Members of the Group: Inapplicable. Item 9. Notice of Dissolution of Group: Inapplicable. Item 10. Certification: Inapplicable. Page 18 of 21 SIGNATURES 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 8, 2002 HealthCare Ventures III, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures IV, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures V, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- James H. Cavanaugh, Ph.D.
Page 19 of 21 Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Harold R. Werner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- William Crouse Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- John W. Littlechild Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Christopher Mirabelli, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Augustine Lawlor
Page 20 of 21 EXHIBIT A AGREEMENT JOINT FILING OF SCHEDULE 13G The undersigned hereby agree to jointly prepare and file with regulatory authorities a Schedule 13G and any future amendments thereto reporting each of the undersigned's ownership of securities of Dendreon Corporation and hereby affirm that such Schedule 13G is being filed on behalf of each of the undersigned. Dated: February 8, 2002 HealthCare Ventures III, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures IV, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures V, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- James H. Cavanaugh, Ph.D.
Page 21 of 21 Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Harold R. Werner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- William Crouse Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- John W. Littlechild Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Christopher Mirabelli, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Augustine Lawlor
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