-----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, C1LywfplUAk3HE/P2v4uLbQl5QM8TNWLRfJc672FNHuN0f2yzs77i4wDq3glwgJU +Jsb2U/ELXthYKkA13aaGg== 0000950005-01-500014.txt : 20010425 0000950005-01-500014.hdr.sgml : 20010425 ACCESSION NUMBER: 0000950005-01-500014 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010424 GROUP MEMBERS: ALTA PARTNERS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KOSAN BIOSCIENCES INC CENTRAL INDEX KEY: 0001110206 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 943217016 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-60269 FILM NUMBER: 1609618 BUSINESS ADDRESS: STREET 1: 3832 BAY CENTER PLACE CITY: HAYWARD STATE: CA ZIP: 94545 BUSINESS PHONE: 5107328400 MAIL ADDRESS: STREET 1: 3832 BAY CENTER PLACE CITY: HAYWARD STATE: CA ZIP: 94545 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 STANDARD INDUSTRIAL CLASSIFICATION: [] 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 p13512-13ga.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13G (AMENDMENT NO. 1)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 KOSAN BIOSCIENCES INCORPORATED ------------------------------ (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 50064W107 -------------- (CUSIP Number) April 12, 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) [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. 50064W107 Page 2 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 2,714,331 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 2,714,331 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,714,331 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.8% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 3 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,163,841 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,163,841 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,163,841 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.6% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 4 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,388,637 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,388,637 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,388,637 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.5% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 5 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Alta Embarcadero Partners, LLC ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ----------------------------------------------------------------------------- 3 SEC USE ONLY ----------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 31,096 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 31,096 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 31,096 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 6 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,238,422 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,238,422 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,238,422 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.9% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 7 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Alta BioPharma Management 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,238,422 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,238,422 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,238,422 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.9% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 8 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Alta Embarcadero BioPharma Partners, LLC ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] ----------------------------------------------------------------------------- 3 SEC USE ONLY ----------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 56,176 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY -0- OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 56,176 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER -0- ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 56,176 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 9 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,294,598 OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 1,294,598 ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,294,598 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.1% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 10 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 2,714,331 OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 5,183 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 2,714,331 ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,719,514 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.8% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 11 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,037 NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,419,733 OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,037 PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 1,419,733 ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,420,770 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.6% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 12 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,294,598 OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 1,294,598 ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,294,598 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.1% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 50064W107 Page 13 of 17 Pages ----------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. 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 ----------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ------------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY 1,419,733 OWNED BY ------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- PERSON ------------------------------------------------------------ WITH 8 SHARED DISPOSITIVE POWER 1,419,733 ------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,419,733 Please See Attachment A ---------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] ----------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.6% Please See Attachment A ----------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ----------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1. (a) Name of Issuer: Kosan Biosciences Incorporated ("Issuer") (b) Address of Issuer's Principal Executive Offices: 3832 Bay Center Place Hayward, CA 94545 ITEM 2. (a) Name of Person Filing: Alta Partners ("AP") Alta California Partners, L.P. ("ACP") Alta California Management Partners, L.P. ("ACMP") Alta Embarcadero Partners, LLC ("AEP") Alta BioPharma Partners II, L.P. ("ABP II") Alta BioPharma Management Partners 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 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: 50064W107 Item 3. Not Applicable. Item 4 Ownership. Please See Attachment A
AP ACP ACMP AEP ABP II ABMP II --------- --------- --------- --------- --------- --------- (a) Beneficial Ownership 2,714,331 1,163,841 1,388,637 31,096 1,238,422 1,238,422 (b) Percentage of Class 10.8% 4.6% 5.5% 0.1% 4.9% 4.9% (c) Sole Voting Power 2,714,331 1,163,841 1,388,637 31,096 1,238,422 1,238,422 Shared Voting Power -0- -0- -0- -0- -0- -0- Sole Dispositive Power 2,714,331 1,163,841 1,388,637 31,096 1,238,422 1,238,422 Shared Dispositive Power -0- -0- -0- -0- -0- -0- AEBP II FC JD GG AM GN --------- --------- --------- --------- --------- --------- (a) Beneficial Ownership 56,176 1,294,598 2,719,514 1,420,770 1,294,598 1,419,733 (b) Percentage of Class 0.2% 5.1% 10.8% 5.6% 5.1% 5.6% (c) Sole Voting Power 56,176 -0- 5,183 1,037 -0- -0- Shared Voting Power -0- 1,294,598 2,714,331 1,419,733 1,294,598 1,419,733 Sole Dispositive Power 56,176 -0- 5,183 1,037 -0- -0- Shared Dispositive Power -0- 1,294,598 2,714,331 1,419,733 1,294,598 1,419,733
Item 5. Ownership of Five Percent or Less of a Class Not Applicable. Item 6. Ownership of More Than Five Percent On Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported On by the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group 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: April 23, 2001
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 BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: Alta BioPharma Management Partners II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Member ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ----------------------------------------- Farah Champsi, Manager /s/ Jean Deleage /s/ Guy Nohra - -------------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi - -------------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi /s/ Alix Marduel - -------------------------------------------- Alix Marduel
EXHIBIT A AGREEMENT OF JOINT FILING We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: April 20, 2001 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: April 23, 2001
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 BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: Alta BioPharma Management Partners II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Member ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ----------------------------------------- Farah Champsi, Manager /s/ Jean Deleage /s/ Guy Nohra - -------------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi - -------------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi /s/ Alix Marduel - -------------------------------------------- Alix Marduel
Attachment A Alta Partners provides investment advisory services to several venture capital funds including, Alta California Partners L.P., Alta Embarcadero Partners, LLC, Alta California Management Partners, L.P., Alta BioPharma Partners II, L.P. and Alta Embarcadero BioPharma Partners II, LLC. Alta California Partners, L.P. beneficially owns 1,163,841 shares of Common Stock. Alta Embarcadero Partners, LLC beneficially owns 31,096 shares of Common Stock. Alta California Management Partners, L.P. beneficially owns 224,796 shares of Common Stock. Alta BioPharma Partners II, L.P. beneficially owns 1,238,422 shares of Common Stock. Alta Embarcadero BioPharma Partners II, LLC beneficially owns 56,176 shares of Common Stock. The respective general partners of Alta California Partners L.P., Alta Embarcadero Partners, LLC, Alta California Management Partners, L.P., Alta BioPharma Partners II, L.P., and Alta Embarcadero BioPharma Partners II, LLC exercise sole voting and investment power with respect to the shares owned by such funds. Certain principals of Alta Partners are also general partners of Alta California Management Partners, L.P., which is a general partner of Alta California Partners, L.P., and members of Alta Embarcadero Partners, LLC. Certain principals of Alta Partners are also managing directors of Alta BioPharma Management Partners II, LLC, which is the general partner of Alta BioPharma Partners II, L.P. As general partners, members and managing directors of such funds, they may be deemed to share voting and investment power with respect to the shares held by these funds. The principals of Alta Partners disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Mr. Jean Deleage, a director of the Issuer, 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. As a general partner and member, respectively, he may be deemed to share voting or investment power with respect to the shares held by Alta California Management Partners, L.P., Alta California Partners, L.P. and Alta Embarcadero Partners, LLC. Mr. Deleage disclaims beneficial ownership of all such shares held by Alta California Management Partners, L.P., Alta California Partners, L.P. and Alta Embarcadero Partners, LLC, except to the extent of his proportionate pecuniary interests therein. Mr. Deleage is also a managing director of Alta BioPharma Management Partners II, LLC, which is the general partner of Alta BioPharma Partners II, L.P. As a managing director, he may be deemed to share voting or investment power with respect to the shares held by Alta BioPharma Partners II, L.P. Mr. Deleage disclaims beneficial ownership of all such shares held by Alta BioPharma Partners II, L.P., except to the extent of his proportionate pecuniary interest therein. Mr. Deleage holds an option to purchase 7,500 shares of Common Stock that was granted by the Issuer on October 4, 2000. In addition, he received 5,183 shares of Common Stock in connection with a pro rata partnership distribution effected by Alta Embarcadero Partners, LLC on April 3, 2001. Alta Partners 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 California Management Partners, L.P. is a Delaware limited partnership. Alta BioPharma Partners II, L.P. is a Delaware limited partnership. Alta Embarcadero BioPharma Partners II, LLC is a California limited liability company. Alta BioPharma Management Partners II, LLC is a Delaware limited liability company. -----END PRIVACY-ENHANCED MESSAGE-----