0000950005-05-000043.txt : 20120628
0000950005-05-000043.hdr.sgml : 20120628
20050124171831
ACCESSION NUMBER: 0000950005-05-000043
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050124
DATE AS OF CHANGE: 20050124
GROUP MEMBERS: ALIX MARDUEL
GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT III, LLC
GROUP MEMBERS: ALTA BIOPHARMA PARTNERS III GMBH & CO. BETEILIGUNGS KG
GROUP MEMBERS: ALTA BIOPHARMA PARTNERS III, L.P.
GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC
GROUP MEMBERS: ALTA CALIFORNIA PARTNERS III, L.P.
GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC
GROUP MEMBERS: ALTA EMBARCADERO PARTNERS III, LLC
GROUP MEMBERS: ALTA PARTNERS III, INC.
GROUP MEMBERS: DANIEL JANNEY
GROUP MEMBERS: EDWARD HURWITZ
GROUP MEMBERS: EDWARD PENHOET
GROUP MEMBERS: FARAH CHAMPSI
GROUP MEMBERS: GARRETT GRUENER
GROUP MEMBERS: GUY NOHRA
GROUP MEMBERS: JEAN DELEAGE
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: COTHERIX INC
CENTRAL INDEX KEY: 0001138812
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80298
FILM NUMBER: 05545231
BUSINESS ADDRESS:
STREET 1: 5000 SHORELINE COURT
STREET 2: SUITE 101
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-808-6500
MAIL ADDRESS:
STREET 1: 5000 SHORELINE COURT
STREET 2: SUITE 101
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: EXHALE THERAPEUTICS INC
DATE OF NAME CHANGE: 20010503
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
p19082_13g.txt
SCHEDULE 13-G
United States
Securities and Exchange Commission
WASHINGTON, D.C. 20549
Schedule 13G
(Amendment No. __)*
UNDER THE SECURITIES EXCHANGE ACT OF 1934
COTHERIX, INC.
--------------
(Name of Issuer)
Common Stock
------------
(Title of Class of Securities)
22163T103
---------
(CUSIP Number)
October 20, 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. 22163T103 Page 2 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Partners II, Inc.
--------------------------------------------------------------------------------
(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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 3 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Partners III, Inc.
--------------------------------------------------------------------------------
(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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 4 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta California Partners III, 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 5 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta California Management Partners III, 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
--------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 6 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Embarcadero Partners III, 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 7 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta BioPharma Partners III, 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 8 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta BioPharma Management III, 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
--------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 9 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta BioPharma Partners III GmbH & Co. Beteiligungs KG
--------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
--------------------------------------------------------------------------------
(3) SEC Use Only
--------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Germany
--------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 10 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Alta Embarcadero BioPharma Partners III, 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 3,726,463
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 3,726,463
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
3,726,463 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
18.82% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
--------------------------------------------------------------------------------
CUSIP No. 22163T103 Page 11 of 27 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 1,363,200
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 1,363,200
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,363,200 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
6.78% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 12 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS 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
--------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 1,363,200
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 1,363,200
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,363,200 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
6.78% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 13 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS 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
--------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 1,363,200
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 1,363,200
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,363,200 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
6.78% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 14 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Edward Penhoet
--------------------------------------------------------------------------------
(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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 1,363,200
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 1,363,200
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,363,200 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
6.78% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 15 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Edward Hurwitz
--------------------------------------------------------------------------------
(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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 1,363,200
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 1,363,200
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
1,363,200 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
6.78% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 16 of 27 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 2,363,263
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 2,363,263
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
2,363,263 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
12.03% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 17 of 27 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
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 2,363,263
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 2,363,263
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
2,363,263 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
12.03% Please see Attachment A
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 22163T103 Page 18 of 27 Pages
--------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above
Persons
Daniel Janney
--------------------------------------------------------------------------------
(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
Number Of Shares (5) Sole Voting Power 45,450
Beneficially Owned
By Each Reporting (6) Shared Voting Power 2,363,263
Person With
(7) Sole Dispositive Power 45,450
(8) Shared Dispositive Power 2,363,263
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
2,408,713 Please see Attachment A
--------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
--------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
12.26% Please see Attachment A & Footnote 1
--------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1: Includes 2,301,036 shares of Common Stock beneficially owned by Alta
California Partners III, L.P., 62,227 shares of Common Stock beneficially owned
by Alta Embarcadero Partners III, LLC, and Stock Options for 45,450 shares of
Common Stock.
Item 1.
(a) Name of Issuer: CoTherix, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
5000 Shoreline Court, Suite 101
South San Francisco, CA 94080
Item 2.
(a) Name of Person Filing:
Alta Partners II, Inc. ("APII")
Alta Partners III, Inc. ("APIII")
Alta California Partners III, L.P. ("ACPIII")
Alta California Management Partners III, LLC ("ACMPIII")
Alta Embarcadero Partners III, LLC ("AEPIII")
Alta BioPharma Partners III, L.P. ("ABPIII")
Alta BioPharma Management III, LLC ("ABPMIII")
Alta BioPharma Partners III GmbH & Co. Beteiligungs KG ("ABPIIIKG")
Alta Embarcadero BioPharma Partners III, LLC ("AEBPIII")
Jean Deleage ("JD")
Garrett Gruener ("GG")
Guy Nohra ("GN")
Daniel Janney ("DJ")
Alix Marduel ("AM")
Farah Champsi ("FC")
Edward Penhoet ("EP")
Edward Hurwitz ("EH")
(b) Address of Principal Business Office:
One Embarcadero Center, Suite 4050
San Francisco, CA 94111
(c) Citizenship/Place of Organization:
Entities: APII - California
APIII California
ACPIII - Delaware
ACMPIII Delaware
AEPIII California
ABPIII Delaware
ABPMIII Delaware
ABPIIIKG Germany
AEBPIII California
Individuals: JD United States
GG United States
DJ United States
GN United States
AM United States
FC United States
EP United States
EH United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 22163T103
Item 3. Not applicable.
Item 4 Ownership.
Please see Attachment A
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
APII APIII ACPIII ACMPIII AEPIII ABPIII ABPMIII ABPIIIKG
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(a) Beneficial 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463
Ownership
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(b) Percentage of 18.82% 18.82% 18.82% 18.82% 18.82% 18.82% 18.82% 18.82%
Class
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(c) Sole Voting -0- -0- -0- -0- -0- -0- -0- -0-
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared Voting 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Sole -0- -0- -0- -0- -0- -0- -0- -0-
Dispositive
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463 3,726,463
Dispositive
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
AEBPIII JD AM FC EP EH GG DJ
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(a) Beneficial 3,726,463 1,363,200 1,363,200 1,363,200 1,363,200 1,363,200 2,363,263 2,408,713
Ownership
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(b) Percentage of 18.82% 6.78% 6.78% 6.78% 6.78% 6.78% 12.03% 12.26%
Class
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(c) Sole Voting -0- -0- -0- -0- -0- -0- -0- 45,450
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared Voting 3,726,463 1,363,200 1,363,200 1,363,200 1,363,200 1,363,200 2,363,263 2,363,263
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Sole -0- -0- -0- -0- -0- -0- -0- 45,450
Dispositive
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared 3,726,463 1,363,200 1,363,200 1,363,200 1,363,200 1,363,200 2,363,263 2,363,263
Dispositive
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
GN
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(a) Beneficial
Ownership 2,363,263
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(b) Percentage of
Class 12.03%
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
(c) Sole Voting
Power -0-
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared Voting 2,363,263
Power
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Sole
Dispositive
Power -0-
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared
Dispositive
Power 2,363,263
------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Item 5. Ownership of Five Percent or Less of a Class
See Item 4
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: January 20, 2005
ALTA PARTNERS II, INC. ALTA CALIFORNIA PARTNERS III, L.P.
By: Alta California Management
Partners III, LLC
By: /s/ Jean Deleage By: /s/ Daniel Janney
--------------------------------- ----------------------------------
Jean Deleage, President Daniel Janney, Managing Director
ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC ALTA EMBARCADERO PARTNERS III, LLC
By: /s/ Daniel Janney By: /s/ Daniel Janney
----------------------------------------- --------------------------------
Daniel Janney, Managing Director Daniel Janney, Manager
/s/ Garrett Gruener /s/ Guy Nohra
-------------------------------------------- ------------------------
Garrett Gruener Guy Nohra
/s/ Daniel Janney
--------------------------------------------
Daniel Janney
ALTA PARTNERS III, INC.
By: /s/ Jean Deleage
-------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS III, L.P. ALTA BIOPHARMA MANAGEMENT III, LLC
By: Alta BioPharma Management III, LLC
By: /s/ Alix Marduel By: /s/ Alix Marduel
------------------------------- -------------------------------
Alix Marduel, Director Alix Marduel, Director
ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC ALTA BIOPHARMA PARTNERS III GMBH &CO.
BETEILIGUNGS KG
By: Alta BioPharma Management III, LLC
By: /s/ Alix Marduel /s/ Alix Marduel
------------------------------- -------------------------------
Alix Marduel, Manager Alix Marduel, Director
/s/ Jean Deleage /s/ Farah Champsi
---------------------------------- ----------------------------------
Jean Deleage Farah Champsi
/s/ Alix Marduel /s/ Edward Hurwitz
---------------------------------- ----------------------------------
Alix Marduel Edward Hurwitz
/s/ Edward Penhoet
----------------------------------
Edward Penhoet
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: January 20, 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 II, INC. ALTA CALIFORNIA PARTNERS III, L.P.
By: Alta California Management Partners III, LLC
By: /s/ Jean Deleage By: /s/ Daniel Janney
---------------------------------- ----------------------------------
Jean Deleage, President Daniel Janney, Managing Director
ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC ALTA EMBARCADERO PARTNERS III, LLC
By: /s/ Daniel Janney By: /s/ Daniel Janney
---------------------------------- ----------------------------------
Daniel Janney, Managing Director Daniel Janney, Manager
/s/ Garrett Gruener /s/ Guy Nohra
---------------------------------- ----------------------------------
Garrett Gruener Guy Nohra
/s/ Daniel Janney
----------------------------------
Daniel Janney
ALTA PARTNERS III, INC.
By: /s/ Jean Deleage
----------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS III, L.P. ALTA BIOPHARMA MANAGEMENT III, LLC
By: Alta BioPharma Management III, LLC
By: /s/ Alix Marduel By: /s/ Alix Marduel
---------------------------------- ----------------------------------
Alix Marduel, Director Alix Marduel, Director
ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC ALTA BIOPHARMA PARTNERS III GMBH &CO.
BETEILIGUNGS KG
By: Alta BioPharma Management III, LLC
By: /s/ Alix Marduel /s/ Alix Marduel
---------------------------------- ----------------------------------
Alix Marduel, Manager Alix Marduel, Director
/s/ Jean Deleage /s/ Farah Champsi
---------------------------------- ----------------------------------
Jean Deleage Farah Champsi
/s/ Alix Marduel /s/ Edward Hurwitz
---------------------------------- ----------------------------------
Alix Marduel Edward Hurwitz
/s/ Edward Penhoet
----------------------------------
Edward Penhoet
Attachment A
Alta Partners II, Inc. provides investment advisory services to several venture
capital funds including Alta California Partners III, L.P. and Alta Embarcadero
Partners III, LLC. At the Issuer's IPO on 10/15/04, Alta California Partners
III, L.P. purchased 358,426 shares of Common Stock. As a result of IPO and the
stock purchase, Alta California Partners III, L.P. now beneficially owns
2,301,036 shares of Common Stock. Alta Embarcadero Partners III, LLC
beneficially owns 62,227 shares Common Stock. The managing directors of Alta
California Partners III, L.P. and managers of Alta Embarcadero Partners III, LLC
exercise sole voting and investment power in respect to the shares owned by such
funds.
Certain principals of Alta Partners II, Inc. are managing directors of Alta
California Management Partners III, LLC (which is the general partner of Alta
California Partners III, L.P.), and managers of Alta Embarcadero Partners III,
LLC. As managing directors and managers of such entities, they may be deemed to
share voting and investment powers over the shares beneficially held by the
funds. The principals of Alta Partners II, Inc. disclaim beneficial ownership of
all such shares held by the foregoing funds, except to the extent of their
proportionate pecuniary interests therein.
Mr. Daniel Janney, Director, is a managing director of Alta California
Management Partners III, LLC (which is the general partner of Alta California
Partners III, L.P.) and a manager of Alta Embarcadero Partners III, LLC. Thus he
currently shares voting and dispositive powers over the 2,301,036 shares of
Common Stock beneficially owned by Alta California Partners III, L.P. and the
62,227 shares of Common Stock beneficially owned by Alta Embarcadero Partners
III, LLC. He disclaims beneficial ownership of all such shares held by all of
the foregoing funds except to the extent of his proportionate pecuniary
interests therein. Mr. Janney owns stock options to purchase 45,450 shares of
Common Stock; of which 18,180 shares of Common Stock granted on 1/6/04, that
vests quarterly over 3 years of service with an expiration date of 1/5/2014;
6,060 shares of Common Stock granted on 1/6/04 that vests quarterly over 1 year
of service with an expiration date of 1/5/2014; 15,150 shares of Common Stock
granted on 1/16/04 that vests quarterly over 3 years of service with an
expiration date of 1/16/2014 and 6,060 shares of Common Stock granted on 1/3/05
that vest quarterly over 1 year of service with an expiration date of 1/2/2014.
Mr. Guy Nohra is a managing director of Alta California Management Partners III,
LLC (which is the general partner of Alta California Partners III, L.P.) and a
manager of Alta Embarcadero Partners III, LLC. Thus he currently shares voting
and dispositive powers over the 2,301,036 shares of Common Stock beneficially
owned by Alta California Partners III, L.P. and the 62,227 shares of Common
Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims
beneficial ownership of all such shares held by all of the foregoing funds
except to the extent of his proportionate pecuniary interests therein
Mr. Garrett Gruener is a managing director of Alta California Management
Partners III, LLC (which is the general partner of Alta California Partners III,
L.P.) and a manager of Alta Embarcadero Partners III, LLC. Thus he currently
shares voting and dispositive powers over the 2,301,036 shares of Common Stock
beneficially owned by Alta California Partners III, L.P. and the 62,227 shares
of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He
disclaims beneficial ownership of all such shares held by all of the foregoing
funds except to the extent of his proportionate pecuniary interests therein.
Alta Partners III, Inc. provides investment advisory services to several venture
capital funds including Alta BioPharma Partners III, L.P., Alta BioPharma
Partners III GmbH & Co. Beteiligungs KG and Alta Embarcadero BioPharma Partners
III, LLC. Alta BioPharma Partners III, L.P. beneficially owns 1,248,583 shares
of Common Stock, Alta BioPharma Partners GmbH & Co. Beteiligungs KG beneficially
owns 83,851 shares of Common Stock and Alta Embarcadero BioPharma Partners III,
LLC beneficially owns 30,766 shares Common Stock. The managing directors of Alta
BioPharma Partners III, L.P. and Alta BioPharma Partners III GmbH & Co.
Beteiligungs KG, and the managers of Alta Embarcadero BioPharma Partners III,
LLC exercise sole voting and investment power in respect to the shares owned by
such funds.
Certain principals of Alta Partners III, Inc. are directors of Alta BioPharma
Management III, LLC (which is the general partner of Alta BioPharma Partners
III, L.P.) and Alta BioPharma Partners III GmbH & Co. Beteiligungs KG, and
managers of Alta Embarcadero BioPharma Partners III, LLC. As directors and
managers of such entities, they may be deemed to share voting and investment
powers over the shares beneficially held by the funds. The principals of Alta
Partners III, Inc. 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 is a director of Alta BioPharma Management III, LLC (which is
the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta
Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and
dispositive powers over the 1,248,583 shares of Common Stock beneficially owned
by Alta BioPharma Partners III, L.P., the 83,851 shares of Common Stock
beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and
the 30,766 shares of Common Stock beneficially owned by Alta Embarcadero
BioPharma Partners III, LLC. He disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of his
proportionate pecuniary interests therein.
Ms. Farah Champsi is a director of Alta BioPharma Management III, LLC (which is
the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta
Embarcadero BioPharma Partners III, LLC. Thus she currently shares voting and
dispositive powers over the 1,248,583 shares of Common Stock beneficially owned
by Alta BioPharma Partners III, L.P., the 83,851 shares of Common Stock
beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and
the 30,766 shares of Common Stock beneficially owned by Alta Embarcadero
BioPharma Partners III, LLC. She disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of her
proportionate pecuniary interests therein.
Dr. Alix Marduel is a director of Alta BioPharma Management III, LLC (which is
the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta
Embarcadero BioPharma Partners III, LLC. Thus she currently shares voting and
dispositive powers over the 1,248,583 shares of Common Stock beneficially owned
by Alta BioPharma Partners III, L.P., the 83,851 shares of Common Stock
beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and
the 30,766 shares of Common Stock beneficially owned by Alta Embarcadero
BioPharma Partners III, LLC. She disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of her
proportionate pecuniary interests therein.
Mr. Edward Hurwitz is a director of Alta BioPharma Management III, LLC (which is
the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta
Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and
dispositive powers over the 1,248,583 shares of Common Stock beneficially owned
by Alta BioPharma Partners III, L.P., the 83,851 shares of Common Stock
beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and
the 30,766 shares of Common Stock beneficially owned by Alta Embarcadero
BioPharma Partners III, LLC. He disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of his
proportionate pecuniary interests therein.
Mr. Edward Penhoet is a director of Alta BioPharma Management III, LLC (which is
the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta
Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and
dispositive powers over the 1,248,583 shares of Common Stock beneficially owned
by Alta BioPharma Partners III, L.P., the 83,851 shares of Common Stock
beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and
the 30,766 shares of Common Stock beneficially owned by Alta Embarcadero
BioPharma Partners III, LLC. He disclaims beneficial ownership of all such
shares held by all of the foregoing funds except to the extent of his
proportionate pecuniary interests therein.
Alta Partners II, Inc. and Alta Partners III, Inc. are venture capital firms
that share an office in San Francisco. Alta Partners II, Inc. is a California
Corporation. Alta California Partners III, L.P. is a Delaware Limited
Partnership, Alta California Management Partners III, LLC is a Delaware Limited
Liability Company and Alta Embarcadero Partners III, LLC is a California Limited
Liability Company. Alta Partners III, Inc. is a California Corporation. Alta
BioPharma Partners II, L.P. is a Delaware Limited Partnership, Alta BioPharma
Management III, LLC is a Delaware Limited Liability Company, Alta BioPharma
Partners III GmbH & Co. Beteiligungs KG is a German Limited Partnership and Alta
Embarcadero BioPharma Partners III, LLC is a California Limited Liability
Company.