-----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, RSRRMyMi92G/TjumP4TByWgem7j6y6tX04WYqf2VU1D+OeCR0gS9Riqz1oZ+Kn0f 4vMFZXb2nF7AZTImwiyZNg== 0000950135-07-000756.txt : 20070213 0000950135-07-000756.hdr.sgml : 20070213 20070213152957 ACCESSION NUMBER: 0000950135-07-000756 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 GROUP MEMBERS: FORWARD VENTURES IV , L.P. GROUP MEMBERS: FORWARD VENTURES IV B, L.P. GROUP MEMBERS: IVOR ROYSTON, M.D. GROUP MEMBERS: STANDISH M. FLEMING SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICROMET, INC. CENTRAL INDEX KEY: 0001131907 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 522243564 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79337 FILM NUMBER: 07609644 BUSINESS ADDRESS: STREET 1: 2110 RUTHERFORD STREET 2: ROAD CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 7604944200 MAIL ADDRESS: STREET 1: 2110 RUTHERFORD STREET 2: ROAD CITY: CARLSBAD STATE: CA ZIP: 92008 FORMER COMPANY: FORMER CONFORMED NAME: CANCERVAX CORP DATE OF NAME CHANGE: 20010108 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FORWARD IV ASSOCIATES LLC CENTRAL INDEX KEY: 0001278041 IRS NUMBER: 330908667 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 9393 TOWNE CENTRE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8586776077 MAIL ADDRESS: STREET 1: 9393 TOWNE CENTRE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13D/A 1 b64152misc13dza.txt FORM SC 13D/A - MICROMET, INC. / FORWARD VENTURES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) MICROMET, INC. (Name of Issuer) COMMON STOCK, PAR VALUE, $0.00004 PER SHARE (Title of Class of Securities) 13738Y107 (CUSIP Number) Kristin Bailey c/o Forward Ventures 9393 Towne Centre Drive Suite 200 San Diego, CA 92121 Tel 858.677.6077 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 5, 2006 (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 Sections 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 Section 240.13d-7 for other parties to whom copies are to be sent. 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. 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Forward Ventures IV, L.P. I.R.S. Identification No. 33-0910769 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 495,511 shares REPORTING PERSON ------------------------------------------------------ WITH 9 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 495,511 shares - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 495,511 shares - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Forward Ventures IV B, L.P. I.R.S. Identification No. 33-0910769 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 495,511 shares REPORTING PERSON WITH ------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------- 10 SHARED DISPOSITIVE POWER 495,511 shares - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 495,511 shares - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Forward IV Associates, LLC I.R.S. Identification No. 33-0910769 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 shares SHARES ------------------------------------------------------ BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER REPORTING PERSON 495,511 shares WITH ------------------------------------------------------ 9 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 495,511 shares ------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 495,511 shares - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Standish M. Fleming - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 495,511 shares REPORTING PERSON ------------------------------------------------------ 9 SOLE DISPOSITIVE POWER WITH 0 shares ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 495,511 shares - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 495,511 shares - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ivor Royston, M.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) AF - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 3,333 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 498,543 shares REPORTING PERSON ------------------------------------------------------ WITH 9 SOLE DISPOSITIVE POWER 3,333 shares ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 498,543 shares - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 501,876 shares - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 1.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- ITEM 1. SECURITY AND ISSUER This Amendment No. 1 amends the statement on Schedule 13D filed with the Securities and Exchange Commission on February 10, 2004 with respect to CancerVax Corporation ("CancerVax"), and relates to shares of common stock, $0.00004 par value per share (the "Common Stock"), of Micromet, Inc. (the "Company"). The address of the principal executive offices of the Company is 2110 Rutherford Road Carlsbad, CA 92008. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended as follows: As of February 12, 2007, Forward Ventures IV, L.P. ("IV, L.P.") is the beneficial and record owner of 456,743 shares of Common Stock of the Company, and Forward Ventures IV B, L.P. ("IV B, L.P.") is the beneficial and record owner of 38,769 shares of Common Stock of the Company (such 495,511 shares of Common Stock to be referred to collectively as the "Record Shares"). By virtue of their relationship as affiliated entities with overlapping general partners, IV, L.P. and IV B, L.P. may each be deemed to beneficially own all of the Record Shares. By virtue of the affiliate relationship among IV, L.P., IV B, L.P. and Forward IV Associates, LLC ("Associates LLC"), Associates LLC may be deemed to beneficially own all of the Record Shares. In their capacities as individual managing members of Associates LLC, each of Standish Fleming and Ivor Royston, M.D. may be deemed to beneficially own all of the Record Shares. Ivor Royston, M.D. is the beneficial and record owner of options to purchase 3,333 shares of Common Stock, all of which are vested. Colette Royston, the wife of Ivor Royston, M.D., is the beneficial and record owner of 3,032 shares of Common Stock of the Company. Ivor Royston, M.D. shares with his wife the power to vote or to direct the vote and the power to dispose or to direct the disposition of these shares, and may be deemed to beneficially own the shares of Common Stock of the Company owned beneficially by Colette Royston. Each of the Reporting Persons expressly disclaims beneficial ownership, except to the extent of its pecuniary interest therein, if any, of any shares of Common Stock of the Company except in the case of IV, L.P. for the 456,742 shares of Common Stock it holds of record, in the case of IV B, L.P. for the 38,769 shares of Common Stock it holds of record and in the case of Ivor Royston, M.D. for the options to purchase 3,333 shares of Common Stock he holds of record. (a) Percent of Class: Each Reporting Person 1.6%. The foregoing percentage is calculated based upon the 31,413,032 shares of Common Stock reported to be outstanding in the Quarterly Report on Form 10-Q of the Company for the quarter ended September 30, 2006. (b) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 shares for each Reporting Person except for Ivor Royston, M.D.: 3,333 shares for Ivor Royston, M.D. (ii) shared power to vote or to direct the vote: 495,511 shares for each Reporting Person other than Ivor Royston, M.D.: 498,543 shares for Ivor Royston, M.D. (iii) sole power to dispose or direct the disposition of: 0 shares for each Reporting Person except for Ivor Royston, M.D.: 3,333 shares for Ivor Royston, M.D. (iv) shared power to dispose or direct the disposition of: 495,511 shares for each Reporting Person other than Ivor Royston, M.D.: 498,543 shares for Ivor Royston, M.D. (c) None of the Reporting Persons has effected any transaction in the Common Stock of the Company in during the past sixty days. (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of the shares beneficially owned by any of the Reporting Persons, other than Colette Royston who has the right to receive and the power to direct the receipt of dividends from, or any proceeds from the sale of the 3,032 shares of Common Stock she owns. (e) On May 5, 2006, CancerVax completed a merger with Micromet AG, a privately-held German company. In connection with the merger, CancerVax issued to Micromet AG stockholders an aggregate of 19,761,688 shares of CancerVax common stock, such that as of the closing former CancerVax stockholders owned approximately 32.5% of the combined company on a fully-diluted basis. CancerVax was subsequently renamed "Micromet, Inc." Also on May 5, 2006 in connection with the merger, CancerVax effected a 1-for-3 reverse stock split of its common stock As a result of the issuance of shares of CancerVax common stock to Micromet AG stockholders and the 1-for-3 reverse stock split, the beneficial ownership of the Reporting Persons of outstanding shares of Common Stock of the Company has fallen below 5% and therefore none of the Reporting Persons have any further filing obligations with respect to the Common Stock of the Company. SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 13, 2007 FORWARD VENTURES IV, L.P. By: Forward IV Associates, LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member FORWARD VENTURES IV B, L.P. By: Forward IV Associates, LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member FORWARD IV ASSOCIATES LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member /s/ Standish M. Fleming - ------------------------------------- Standish M. Fleming /s/ Ivor Royston, M.D. - ------------------------------------- Ivor Royston, M.D. Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13D need be filed with respect to the ownership by each of the undersigned of shares of common stock of Micromet, Inc. Date: February 13, 2007 FORWARD VENTURES IV, L.P. By: Forward IV Associates, LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member FORWARD VENTURES IV B, L.P. By: Forward IV Associates, LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member FORWARD IV ASSOCIATES LLC By: /s/ Standish M. Fleming ------------------------------------- Standish M. Fleming Managing Member /s/ Standish M. Fleming - ------------------------------------- Standish M. Fleming /s/ Ivor Royston, M.D. - ------------------------------------- Ivor Royston, M.D. -----END PRIVACY-ENHANCED MESSAGE-----