0000950005-05-000113.txt : 20120705
0000950005-05-000113.hdr.sgml : 20120704
20050207193816
ACCESSION NUMBER: 0000950005-05-000113
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050208
DATE AS OF CHANGE: 20050207
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: XCYTE THERAPIES INC
CENTRAL INDEX KEY: 0001130166
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 911766850
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80136
FILM NUMBER: 05581848
BUSINESS ADDRESS:
STREET 1: 1124 COLUMBIA STREET SUITE 130
CITY: SEATTLE
STATE: WA
ZIP: 98104
BUSINESS PHONE: 2062626200
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: ALTA PARTNERS
CENTRAL INDEX KEY: 0001060013
IRS NUMBER: 943238854
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
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
1
p19121_13g.txt
FORM SC 13G
United States
Securities and Exchange Commission
WASHINGTON, D.C. 20549
Schedule 13G
(Amendment No. __)*
UNDER THE SECURITIES EXCHANGE ACT OF 1934
XCYTE THERAPIES, INC.
------------------------------------------------------
(Name of Issuer)
Common Stock
------------------------------------------------------
(Title of Class of Securities)
98389F309
------------------------------------------------------
(CUSIP Number)
December 31, 2004
------------------------------------------------------
(Date of Event That Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|_| Rule 13d-1(b)
|X| Rule 13d-1(c)
|_| Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP No. 98389F309 Page 2 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Partners
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 1
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,567,929 Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.27% Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
-------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Please see Attachment A.
CUSIP No. 98389F309 Page 3 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Partners, L. P.
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 1
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,567,929 Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.27% Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
-------------------------------------------------------------------------------------------------------------------
Footnote 1: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Please see Attachment A.
CUSIP No. 98389F309 Page 4 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Management Partners, L.P.
----------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 1
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,567,929 Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.27% Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
-------------------------------------------------------------------------------------------------------------------
Footnote 1: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Please see Attachment A.
CUSIP No. 98389F309 Page 5 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Embarcadero Partners, LLC
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 1
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,567,929 Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.27% Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
-------------------------------------------------------------------------------------------------------------------
Footnote 1: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Please see Attachment A.
CUSIP No. 98389F309 Page 6 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Jean Deleage
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power 5,454
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 2
--------------------------------------------------------------
(7) Sole Dispositive Power 5,454
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 2
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,573,383 Please see Attachment A and Footnote 2
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.29% Please see Attachment A and Footnote 2
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
-------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 2: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Mr. Deleage holds Stock Options for 5,454 shares of Common Stock. Please see Attachment A.
CUSIP No. 98389F309 Page 7 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Garrett Gruener
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 1
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,567,929
Please see Attachment A and Footnote 1
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,567,929
Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,567,929 Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.27% Please see Attachment A and Footnote 1
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
-------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1 Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and 24,961 shares of Common Stock, and 2,234 shares of Convertible Exchangeable Preferred Stock
(convertible into 9,506 shares of Common Stock) beneficially owned by Alta Embarcadero Partners, LLC.
Please see Attachment A.
CUSIP No. 98389F309 Page 8 of 14 Pages
-------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Guy Nohra
-------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
-------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
-------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
-------------------------------------------------------------------------------------------------------------------
Please see Attachment A and Footnote 3
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting --------------------------------------------------------------
Person With (6) Shared Voting Power 1,533,462
Please see Attachment A and Footnote 3
--------------------------------------------------------------
(7) Sole Dispositive Power -0-
--------------------------------------------------------------
(8) Shared Dispositive Power 1,533,462
Please see Attachment A and Footnote 3
-------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,533,462 Please see Attachment A and Footnote 3
-------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
-------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
7.11% Please see Attachment A and Footnote 3
-------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
-------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 3: Includes 1,117,439 shares of Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta California Partners, L.P.
Please see Attachment A.
Item 1.
(a) Name of Issuer: Xcyte Therapies, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
1124 Columbia Street, Suite 130
Seattle, WA 98104
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")
Jean Deleage ("JD")
Garrett Gruener ("GG")
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
Individuals: JD United States
GG United States
GN United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 98389F309
Item 3. Not applicable.
Item 4 Ownership.
Please see Attachment A
------- ------------------ ----------- ----------- ------------ -----------
AP ACP ACMP AEP
------- ------------------ ----------- ----------- ------------ -----------
(a) Beneficial 1,567,929 1,567,929 1,567,929 1,567,929
Ownership
------- ------------------ ----------- ----------- ------------ -----------
(b) Percentage of 7.27% 7.27% 7.27% 7.27%
Class
------- ------------------ ----------- ----------- ------------ -----------
(c) Sole Voting Power -0- -0- -0- -0-
------- ------------------ ----------- ----------- ------------ -----------
Shared Voting 1,567,929 1,567,929 1,567,929 1,567,929
Power
------- ------------------ ----------- ----------- ------------ -----------
Sole Dispositive -0- -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ -----------
Shared 1,567,929 1,567,929 1,567,929 1,567,929
Dispositive Power
------- ------------------ ----------- ----------- ------------ -----------
JD GG GN
------- ------------------ ----------- ----------- ------------ -----------
(a) Beneficial 1,573,383 1,567,929 1,533,462
Ownership
------- ------------------ ----------- ----------- ------------ -----------
(b) Percentage of 7.29% 7.27% 7.11%
Class
------- ------------------ ----------- ----------- ------------ -----------
(c) Sole Voting Power 5,454 -0- -0-
------- ------------------ ----------- ----------- ------------ -----------
Shared Voting 1,567,929 1,567,929 1,533,462
Power
------- ------------------ ----------- ----------- ------------ -----------
Sole Dispositive 5,454 -0- -0-
Power
------- ------------------ ----------- ----------- ------------ -----------
Shared 1,567,929 1,567,929 1,533,462
Dispositive Power
------- ------------------ ----------- ----------- ------------ -----------
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: February 4, 2005
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
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------------- ------------------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener
--------------------------------------------
Garrett Gruener
EXHIBIT A
AGREEMENT OF JOINT FILING
Date: February 4, 2005
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.
By: /s/ Jean Deleage By: /s/ Jean Deleage .
----------------------------------------- ------------------------------------------------
Jean Deleage, President Jean Deleage, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Jean Deleage By: /s/ Jean Deleage
----------------------------------------- -----------------------------------------
Jean Deleage, General Partner Jean Deleage, Member
/s/ Jean Deleage /s/ Guy Nohra
-------------------------------------------- -----------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener
--------------------------------------------
Garrett Gruener
Attachment A
Alta Partners provides investment advisory services to several venture capital
funds including Alta California Partners, L.P. and Alta Embarcadero Partners,
LLC. Alta California Partners, L.P. beneficially owns 1,117,439 shares of Common
Stock and 97,766 shares of Convertible Exchangeable Preferred Stock (convertible
into 416,023 shares of Common Stock). Alta Embarcadero Partners, LLC
beneficially owns 24,961 shares of Common Stock and 2,234 shares of Convertible
Exchangeable Preferred Stock (convertible into 9,506 shares of Common Stock).
The respective general partners and members of Alta California Partners, L.P.
and Alta Embarcadero Partners, LLC exercise sole voting and investment power
with respect to the shares owned by such funds.
Certain principals of Alta Partners are general partners of Alta California
Management Partners, L.P. (which is a general partner of Alta California
Partners, L.P.) and members of Alta Embarcadero Partners, LLC. As general
partners and members of such entities, they may be deemed to share voting and
investment powers over the shares held by such 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, Director, 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. Thus he currently shares voting
and dispositive powers over the 1,117,439 shares of Common Stock and 97,766
shares of Convertible Exchangeable Preferred Stock (convertible into 416,023
shares of Common Stock) beneficially owned by Alta California Partners, L.P.,
and the 24,961 shares of Common Stock and 2,234 shares of Convertible
Exchangeable Preferred Stock (convertible into 9,506 shares of Common Stock)
beneficially owned by Alta Embarcadero Partners, LLC. He disclaims beneficial
ownership of all such shares held by the foregoing funds except to the extent of
his proportionate pecuniary interests therein. He holds Stock Options for 5,454
shares of Common Stock granted 11/15/1996 which were fully vested on 11/15/2001
and will expire on 11/15/2006.
Mr. Garrett Gruener is a general partner of Alta California Management Partners,
L.P. (which is the general partner of Alta California Partners, L.P.) and a
member of Alta Embarcadero Partners, LLC. Thus he currently shares voting and
dispositive powers over the 1,117,439 shares of Common Stock and 97,766 shares
of Convertible Exchangeable Preferred Stock (convertible into 416,023 shares of
Common Stock) beneficially owned by Alta California Partners, L.P., and the
24,961 shares of Common Stock and 2,234 shares of Convertible Exchangeable
Preferred Stock (convertible into 9,506 shares of Common Stock) beneficially
owned by Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of
all such shares held by the foregoing funds except to the extent of his
proportionate pecuniary interests therein.
Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P.
(which is the general partner of Alta California Partners, L.P.). Thus he
currently shares voting and dispositive powers over the 1,117,439 shares of
Common Stock and 97,766 shares of Convertible Exchangeable Preferred Stock
(convertible into 416,023 shares of Common Stock) beneficially owned by Alta
California Partners, L.P. He disclaims beneficial ownership of all such shares
held by the foregoing funds except to the extent of his proportionate pecuniary
interests therein.
Alta Partners is a venture capital firm with an office in San Francisco. Alta
Partners is California Corporation. Alta California Partners, L.P. is a Delaware
Limited Partnership, and Alta Embarcadero Partners, LLC is a California Limited
Liability Company.