-----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, OAhK9kANF8a/gGtXuls90mqhtfu/cBmDnhLC80Dx4RMgDj75T3u/M6vqAAvPS+6z w1CfI9AUWa2on93YnLjRiw== 0000950135-07-000755.txt : 20070213 0000950135-07-000755.hdr.sgml : 20070213 20070213152541 ACCESSION NUMBER: 0000950135-07-000755 CONFORMED SUBMISSION TYPE: SC 13G/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: AVALON PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001162192 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 522209310 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81073 FILM NUMBER: 07609584 BUSINESS ADDRESS: STREET 1: 20358 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 BUSINESS PHONE: 3015569900 MAIL ADDRESS: STREET 1: 20358 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 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 13G/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 13G/A 1 b64152apsc13gza.txt FORM SC 13G/A - AVALON PHARMACEUTICALS, INC. / FORWARD VENTURES OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response . . . 10.4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Avalon Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 05346P 10 6 -------------------- (CUSIP Number) December 31, 2006 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] 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. 05346P 10 6 13G PAGE 2 OF 11 PAGES - -------------------------------------------------------------------------------- 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 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 593,191 shares REPORTING PERSON ------------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 593,191 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 593,191 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP NO. 05346P 10 6 13G PAGE 3 OF 11 PAGES - -------------------------------------------------------------------------------- 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. 33-0913162 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 593,191 shares REPORTING PERSON ------------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 593,191 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 593,191 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP NO. 05346P 10 6 13G PAGE 4 OF 11 PAGES - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Forward IV Associates, LLC I.R.S. Identification No. 33-0908667 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 593,191 shares REPORTING ------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 593,191 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 593,191 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP NO. 05346P 10 6 13G PAGE 5 OF 11 PAGES - -------------------------------------------------------------------------------- 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 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 593,191 shares REPORTING PERSON ------------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 593,191 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 593,191 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- CUSIP NO. 05346P 10 6 13G PAGE 6 OF 11 PAGES - -------------------------------------------------------------------------------- 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 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 18,788 shares NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 593,191 shares REPORTING PERSON ------------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 18,788 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 593,191 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 611,979 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- CUSIP NO. 05346P 10 6 13G PAGE 7 OF 11 PAGES Schedule 13G Item 1(a). Name of Issuer: Avalon Pharmaceuticals, Inc. (the "Company") Item 1(b). Address of Issuer's Principal Executive Offices: 20358 Seneca Meadows Parkway, Germantown, MD 20876 Item 2(a). Names of Person Filing: (1) Forward Ventures IV, L.P. ("IV, L.P."); (2) Forward Ventures IV B, L.P. ("IV B, L.P."); (3) Forward IV Associates, LLC ("Associates LLC") (the sole general partner of IV, L.P. and IV B, L.P.); and (4) each of Standish M. Fleming and Ivor Royston, M.D. (the managing members of Associates LLC). IV, L.P., IV B, L.P., Associates LLC, Standish M. Fleming and Ivor Royston, M.D. are collectively referred to as the "Reporting Persons". Item 2(b). Address of Principal Business Office or, if none, Residence: The address of the principal business office of each of the Reporting Persons is 9393 Towne Centre Drive, Suite 200, San Diego, CA 92121. Item 2(c). Citizenship: Each of IV, L.P. and IV B, L.P. is a limited partnership organized under the laws of the State of Delaware. Associates LLC is a limited liability company organized under the laws of the State of Delaware. Each of Standish Fleming and Ivor Royston, M.D. is a United States citizen. Item 2(d). Title of Class of Securities: Common Stock, $0.01 par value ("Common Stock") Item 2(e). CUSIP Number: 05346P 10 6 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). CUSIP NO. 05346P 10 6 13G PAGE 8 OF 11 PAGES (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Not Applicable. Item 4. Ownership. (a) Amount Beneficially Owned: As of December 31, 2006, (i) IV, L.P. was the record holder of 546,833 shares of Common Stock, (ii) IV B, L.P. was the record holder of 46,358 shares of Common Stock ( such 593,191 shares of Common Stock to be referred to collectively as the "Record Shares") and (iii) Ivor Royston, M.D. was the record holder of 6,455 shares of Common Stock and options to purchase 19,000 shares of Common Stock of which 12,333 were vested as of December 31, 2006. 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 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. 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 (i) IV, L.P. for the 546,833 shares of Common Stock it holds, (ii) IV B, L.P. for the 46,358 shares of Common Stock it holds and (iii) Ivor Royston, M.D. for the 6,455 shares of Common Stock and options to purchase 19,000 shares of Common Stock which he holds. (b) Percent of Class: 5.9% for each Reporting Person except Ivor Royston, M.D.: 6.0% for Ivor Royston, M.D. The foregoing percentages are calculated based upon the 10,123,576 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. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: CUSIP NO. 05346P 10 6 13G PAGE 9 OF 11 PAGES 0 shares for each Reporting Person except for Ivor Royston, M.D.: 18,788 shares for Ivor Royston, M.D. (ii) shared power to vote or to direct the vote: 593,191 shares for each Reporting Person (iii) sole power to dispose or direct the disposition of: 0 shares for each Reporting Person except for Ivor Royston, M.D.: 18,788 shares for Ivor Royston, M.D. (iv) shared power to dispose or direct the disposition of: 593,191 shares for each Reporting Person Item 5. Ownership of Five Percent or Less of a Class. Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. The Reporting Persons expressly disclaim membership in a "group" as defined in Rule 13d-1(b)(ii)(J). Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. Not applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b) or Rule 13(d)-1(c). CUSIP NO. 05346P 10 6 13G PAGE 10 OF 11 PAGES 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. CUSIP NO. 05346P 10 6 13G PAGE 11 OF 11 PAGES 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 13G need be filed with respect to the ownership by each of the undersigned of shares of common stock of Avalon Pharmaceuticals, 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-----