-----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, RQtfGuG7ITKNpMbj9N9vkiHRHze+puuKKTUAj57GpwSy3eWbF43NA/P+HYpCV+gw FKqBhFxyD0kPFE6h/8ZxMw== 0000950134-01-501084.txt : 20010504 0000950134-01-501084.hdr.sgml : 20010504 ACCESSION NUMBER: 0000950134-01-501084 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010503 GROUP MEMBERS: AG BIOTECH CAPITAL LLC GROUP MEMBERS: ALFONSO ROMO GARZA GROUP MEMBERS: SAVIA S A DE C V 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: 1621341 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: AG BIOTECH CAPITAL LLC CENTRAL INDEX KEY: 0001134230 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 686 N DU PONT BLVD 220 CITY: MILFORD STATE: DE ZIP: 19963 BUSINESS PHONE: 2149692591 SC 13G/A 1 d86698a1sc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* KOSAN BIOSCIENCES INCORPORATED (Name of Issuer) Common Stock, $0.01 par value (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). Page 1 of 6 Pages 2 SCHEDULE 13G CUSIP No. 50064W107 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Name: AG-BIOTECH CAPITAL, LLC 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA 5 SOLE VOTING POWER NUMBER OF 0 SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% 12 TYPE OF REPORTING PERSON (See Instructions) OO Page 2 of 6 Pages 3 SCHEDULE 13G CUSIP No. 50064W107 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Name: Savia, S.A. de C.V. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER(*) NUMBER OF 0 SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH REPORTING 7 SOLE DISPOSITIVE POWER(*) PERSON 0 WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% 12 TYPE OF REPORTING PERSON (See Instructions) CO - ----------------- (*) Includes shares owned by AG-BIOTECH CAPITAL, LLC, which is wholly owned by Savia, S.A. de C.V. Page 3 of 6 Pages 4 SCHEDULE 13G CUSIP No. 50064W107 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Name: Alfonso Romo Garza 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mexico 5 SOLE VOTING POWER(*) NUMBER OF 0 SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH REPORTING 7 SOLE DISPOSITIVE POWER(*) PERSON 0 WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% 12 TYPE OF REPORTING PERSON (See Instructions) IN - ------------------ (*) Includes shares owned by AG-BIOTECH CAPITAL, LLC, which is wholly owned by Savia, S.A. de C.V. Mr. Alfonso Romo Garza controls 50.9% of Savia, S.A. de C.V. The Schedule 13G previously filed by the reporting persons on February 14, 2001 is hereby amended as follows: Page 4 of 6 Pages 5 ITEM 1. No modification. ITEM 2. No modification. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO 240.13d(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: No modification. ITEM 4. OWNERSHIP Item 4 has been amended by adding the following: (b) Effective April 12, 2001, AG-BIOTECH CAPITAL, LLC sold all of the 1,502,931shares of Common Stock owned by it. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Item 5 has been amended by adding the following: 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 5 percent of the class of securities, check the following. [X] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON No modification. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY No modification. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP No modification. Page 5 of 6 Pages 6 ITEM 9. NOTICE OF DISSOLUTION OF GROUP No modification. ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the affect 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. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: May 3, 2001 AG-BIOTECH CAPITAL, LLC By: VIRIDIAN MANAGEMENT, LLC, its Manager By: /s/ Helen S. Cohen ---------------------------- Name: Helen S. Cohen ---------------------- Title: President --------------------- SAVIA, S.A. de C.V. By: /s/ Carlos G. Mahuad ------------------------------------ Name: Carlos G. Mahuad ------------------------------ Title: Attorney in Fact ----------------------------- ALFONSO ROMO GARZA /s/ Alfonso Romo Garza ---------------------------------------- Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----