-----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, KKhTWhSuAzt7j/+ZzkKtahTbf9XHxIdhaqAB46ZDfemtoW/z0gx8J0YZ5vIsHWQY G7V6JMsiiSsry7pjKWW/BA== 0000950005-06-000148.txt : 20060214 0000950005-06-000148.hdr.sgml : 20060214 20060214144247 ACCESSION NUMBER: 0000950005-06-000148 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060214 DATE AS OF CHANGE: 20060214 GROUP MEMBERS: ALAIN L. AZAN GROUP MEMBERS: JAMES I. HEALY, M.D., PH. D. GROUP MEMBERS: MICHAEL F. POWELL GROUP MEMBERS: SOFINNOVA MANAGEMENT V, L.L.C. GROUP MEMBERS: SOFINNOVA VENTURE AFFILIATES V, L.P. GROUP MEMBERS: SOFINNOVA VENTURE PARTNERS V, L.P. GROUP MEMBERS: SOFINNOVA VENTURE PRINCIPALS V, L.P. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOFINNOVA VENTURE PARTNERS V LP CENTRAL INDEX KEY: 0001108554 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 140 GEARY STREET STREET 2: 10TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CORGENTECH INC CENTRAL INDEX KEY: 0001131517 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770503399 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79795 FILM NUMBER: 06613127 BUSINESS ADDRESS: STREET 1: 650 GATEWAY BOULEVARD STREET 2: -- CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6506249600 MAIL ADDRESS: STREET 1: 650 GATEWAY BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 SC 13G/A 1 p19688_13ga.txt SCHEDULE 13G/ AMENDMENT CUSIP NO. 21872p 50 1 13D Page 1 of 10 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Corgentech Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 21872P 50 1 (CUSIP Number) Nathalie Auber Sofinnova Ventures 140 Geary Street San Francisco, CA 94108 (415) 228-3393 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 15, 2005 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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. 21872p 50 1 13D Page 2 of 10 - ------------ --------------------------------------------------------------------------------------------------------- NAME OF REPORTING 1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sofinnova Venture Partners V, L.P. ("SVP V") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 NUMBER OF 1,148,527 shares, except that Sofinnova Management V, L.L.C. ("SM V"), SHARES the general partner of SVP V, may be deemed to have sole voting power, BENEFICIALLY and Michael F. Powell ("Powell"), Alain L. Azan ("Azan") and James I. OWNED BY EACH REPORTING Healy, M.D., Ph.D. ("Healy"), the managing members of SM V, may be PERSON deemed to have shared power to vote these shares. WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 1,148,527 shares, except that SM V, the general partner of SVP V, may be deemed to have sole dispositive power and Powell, Azan and Healy, the managing members of SM V, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,148,527 shares. - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7 % - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 3 of 10 - ------------ --------------------------------------------------------------------------------------------------------- NAME OF REPORTING 1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sofinnova Venture Affiliates V, L.P. ("SVA V") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 NUMBER OF 37,148 shares, except that SM V, the general partner of SVA V, may be SHARES deemed to have sole voting power, and Powell, Azan and Healy, the BENEFICIALLY managing members of SM V, may be deemed to have shared power to vote OWNED BY EACH REPORTING these shares. PERSON WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 37,148 shares, except that SM V, the general partner of SVA V, may be deemed to have sole dispositive power, and Powell, Azan and Healy, the managing members of SM V, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 37,148 shares. - ------------ --------------------------------------------------------------------------------------------------------- 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% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 4 of 10 - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sofinnova Venture Principals V, L.P. ("SVPr V") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 NUMBER OF 17,604 shares, except that SM V, the general partner of SVPr V, may be SHARES deemed to have sole voting power, and Powell, Azan and Healy, the BENEFICIALLY managing members of SM V, may be deemed to have shared power to vote OWNED BY EACH REPORTING these shares. PERSON WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 17,604 shares, except that SM V, the general partner of SVPr V, may be deemed to have sole dispositive power, and Powell, Azan and Healy, the managing members of SM V, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,604 shares. - ------------ --------------------------------------------------------------------------------------------------------- 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% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 5 of 10 - ------------ -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sofinnova Management V, L.L.C. ("SM V") Tax ID Number: - ------------ -------------------------------------------------------------------------------------------------------- 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 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP NUMBER OF V, 37,148 shares are owned directly by SVA V and 17,604 shares are SHARES owned directly by SVPr V. SM V, the general partner of SVP V, SVA V BENEFICIALLY and SVPr V, may be deemed to have sole voting power, and Powell, Azan OWNED BY EACH REPORTING and Healy, the managing members of SM V, may be deemed to have shared PERSON power to vote these shares. WITH -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V, the general partner of SVP V, SVA V and SVPr V, may be deemed to have sole dispositive power, and Powell, Azan and Healy, the managing members of SM V, may be deemed to have shared power to dispose of these shares. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,203,279 shares. - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - ------------ --------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 6 of 10 - ------------ -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael F. Powell ("Powell") Tax ID Number: - ------------ -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) X - ------------ -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------ -------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 50,258 shares (50,000 shares issuable to Powell pursuant to NUMBER OF outstanding options exercisable within 60 days of December 15, 2005). SHARES BENEFICIALLY -------- ----------------------------------------------------------------------- OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP WITH V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Powell, a managing member of SM V, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 50,258 shares (50,000 shares issuable to Powell pursuant to outstanding options exercisable within 60 days of December 15, 2005). -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Powell, a managing member of SM V, may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,303,795 shares. - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 7 of 10 - ------------ -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alain L. Azan ("Azan") Tax ID Number: - ------------ -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) X - ------------ -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------ -------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares. NUMBER OF SHARES BENEFICIALLY -------- ----------------------------------------------------------------------- OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP WITH V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Azan, a managing member of SM V, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Azan, a managing member of SM V, may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,203,279 shares. - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 8 of 10 - ------------ -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James I. Healy, M.D., Ph.D. ("Healy") Tax ID Number: - ------------ -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) X - ------------ -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------ -------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares. NUMBER OF SHARES -------- ----------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH REPORTING 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP PERSON V, 37,148 shares are owned directly by SVA V and 17,604 shares are WITH owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Healey, a managing member of SM V, may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,203,279 shares, of which 1,148,527 shares are owned directly by SVP V, 37,148 shares are owned directly by SVA V and 17,604 shares are owned directly by SVPr V. SM V is the general partner of SVP V, SVA V and SVPr V, and Healey, a managing member of SM V, may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,203,279 shares. - ------------ -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------ -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------
CUSIP NO. 21872p 50 1 13D Page 9 of 11 This Amendment No. 1 amends the Schedule 13D filed by by Sofinnova Venture Partners V, L.P., Sofinnova Venture Affiliates V, L.P., Sofinnova Venture Principals V, L.P., Sofinnova Management V, L.L.C., Michael F. Powell, Alain L. Azan and James I. Healy, M.D., Ph.D. (the "Reporting Person"). This Amendment No. 1 is being filed to correct the share numbers and percentages indicated on the Original 13D filing and there have been no transactions by the Reporting Persons in the Securities of the Issuer since the date of the Original 13D filing. Only those items as to which there has been a change are included in this Amendment No. 1. All other items remain unchanged. All capitalized terms shall have the meanings assigned to them in the Schedule 13D as amended to date, unless otherwise indicated herein. Item 5. Interest in Securities of the Issuer (a) - (b) See Rows 5-9 and 11 of the cover page for each Reporting Person. CUSIP NO. 21872p 50 1 13D Page 10 of 10 SIGNATURES ---------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February __, 2006 SOFINNOVA VENTURE PARTNERS V, L.P., a Delaware Limited Partnership By: Sofinnova Management V, L.L.C., a Delaware Limited Liability Company Its: General Partner SOFINNOVA VENTURE AFFILIATES V, L.P., a Delaware Limited Partnership By: Sofinnova Management V, L.L.C., a Delaware Limited Liability Company Its: General Partner SOFINNOVA VENTURE PRINCIPALS V, L.P., a Delaware Limited Partnership By: Sofinnova Management V, L.L.C., a Delaware Limited Liability Company Its: General Partner SOFINNOVA MANAGEMENT V, L.L.C., a Delaware Limited Liability Company By: /s/ James I. Healy ----------------------------------------- James I. Healy, M.D., Ph.D. Managing Member JAMES I. HEALY, M.D., PH.D. By: /s/ James I. Healy ----------------------------------------- James I. Healy, M.D., Ph.D. MICHAEL F. POWELL By: /s/ Michael F. Powell ----------------------------------------- Michael F. Powell ALAIN L. AZAN By: /s/ Alain L. Azan ----------------------------------------- Alain L. Azan -----END PRIVACY-ENHANCED MESSAGE-----