-----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, GrJM3QNJjdEE0pCdNo6uhRHqYSrnUb2I1zjZ+X3E5RI0bX1sD7tWy1+0Mwzx8008 jAHrPjz9UmfklbpITtXwWQ== 0001116502-03-000109.txt : 20030207 0001116502-03-000109.hdr.sgml : 20030207 20030207154109 ACCESSION NUMBER: 0001116502-03-000109 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030207 GROUP MEMBERS: AUGUSTINE LAWLOW GROUP MEMBERS: CHRISTOPHER MIRABELLI, PH.D. GROUP MEMBERS: HAROLD 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 III, 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 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 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: 03544754 BUSINESS ADDRESS: STREET 1: 3005 FIRST AVENUE CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 206254545 SC 13G/A 1 dendren-sc13ga.txt AMENDED SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------------------------- OMB APPROVAL --------------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response.............11 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. 2)* DENDREON, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 24823Q107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (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 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. 24823Q107 13G Page 2 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 2,508,337 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 9.51% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 3 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 2,508,337 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 9.51% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 4 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 736,600 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.79% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 5 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 736,600 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.79% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 6 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 564,384 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.14% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 7 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 564,384 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.14% ______________________________________________________________________________ 12. TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 8 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,809,321 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 14.45% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 9 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,809,321 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 14.45% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 10 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 37,500 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,809,321 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 37,500 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 3,809,321 ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,846,821 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.59% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 11 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,809,321 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 14.45% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 12 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 564,384 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.14% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 13 of 19 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 564,384 _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.14% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 24823Q107 13G Page 14 of 19 Pages Item 1(a). Name of Issuer: Dendreon Corporation ____________________________________________________________________ Item 1(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) ____________________________________________________________________ Item 2(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. ____________________________________________________________________ Item 2(c). Citizenship: HCV III, HCP III, HCV IV, HCP IV, HCV V, and 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. ____________________________________________________________________ (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 the 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. CUSIP No. 24823Q107 13G Page 15 of 19 Pages Item 2(d). Title of Class of Securities: Common Stock par value $.001 (the "Shares") ____________________________________________________________________ Item 2(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: Not Applicable (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). CUSIP No. 24823Q107 13G Page 16 of 19 Pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: As of December 31, 2002: 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 3,846,821 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 37,500 Shares of the Issuer's Common Stock; 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, 2002: the 2,508,337 Shares beneficially owned by HCV III and HCP III constitute 9.51% of the Shares outstanding; the 736,600 Shares beneficially owned by HCV IV and HCP IV constitute 2.79% of the Shares outstanding; and the 564,385 Shares beneficially owned by HCV V and HCP V constitute 2.14% of the Shares outstanding; the 3,809,321 Shares beneficially owned by Dr. Cavanaugh and Messrs. Werner and Littlechild constitute 14.45% of the Shares outstanding; the 3,846,821 Shares beneficially owned by Mr. Crouse constitute 14.59% of the Shares outstanding; and the 564,384 Shares beneficially owned by Messrs Mirabelli and Lawlor constitute 2.14% of the Shares outstanding. ______________________________________________________________________ CUSIP No. 24823Q107 13G Page 17 of 19 Pages (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Mr. Crouse has the sole power to vote or direct the vote as to the 37,500 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: Mr. Crouse has the sole power to dispose or to direct the disposition of the 37,500 Shares beneficially owned by him. (iv) Shared power to dispose 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. CUSIP No. 24823Q107 13G Page 18 of 19 Pages Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [ ]. Not Applicable _______________________________________________________________________ Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable. _______________________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable. _______________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Not Applicable. _______________________________________________________________________ Item 9. Notice of Dissolution of Group. Not Applicable. ______________________________________________________________________ Item 10. Certifications. Not Applicable. CUSIP No. 24823Q107 13G Page 19 of 19 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. February 3, 2003 HealthCare Ventures III, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3m 2003 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Ventures IV, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Ventures V, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- James H. Cavanaugh, Ph.D February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- Harold Werner February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- William Crouse February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- John W. Littlechild February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- Christopher Mirabelli, Ph.D. February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- Augustine Lawlor
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.
February 3, 2003 HealthCare Ventures III, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3,2003 HealthCare Ventures IV, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3,2003 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3,2003 HealthCare Ventures V, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg -------------------------------------------- Jeffrey Steinberg, Administrative Partner February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- James H. Cavanaugh, Ph.D February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- Harold Werner February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey -------------------------------------------- William Crouse February 3, 2993 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- John W. Littlechild February 3, 2003 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- Christopher Mirabelli, Ph.D. February 3, 2002 /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts -------------------------------------------- Augustine Lawlor
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----