-----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, Tz/JLcPj4AZPMxo6rkSMdqVX+j63xKudN27buMiy8aQI+9eH4a9m7S0JYxXLEC42 4e778TWGjoa4iFeCj2FErQ== 0000950135-05-005908.txt : 20051024 0000950135-05-005908.hdr.sgml : 20051024 20051024150130 ACCESSION NUMBER: 0000950135-05-005908 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20051024 DATE AS OF CHANGE: 20051024 GROUP MEMBERS: NOVARTIS PHARMA AG FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: LICHSTRASSE 35 CITY: BASEL SWITZERLAND STATE: V8 ZIP: CH 4056 MAIL ADDRESS: STREET 1: LICHSTRASSE 35 CITY: BASEL SWITZERLAND ZIP: CH 4056 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALNYLAM PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001178670 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770602661 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79884 FILM NUMBER: 051151865 BUSINESS ADDRESS: STREET 1: 300 THIRD STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: (617) 551-8200 MAIL ADDRESS: STREET 1: 300 THIRD STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 FORMER COMPANY: FORMER CONFORMED NAME: ALNYLAM PHARMACEUTICALS INC DATE OF NAME CHANGE: 20020724 SC 13G 1 b57392apsc13g.txt SC 13G ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2 (AMENDMENT NO. )* Alnylam Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 02043Q 10 7 (CUSIP Number) October 12, 2005 - -------------------------------------------------------------------------------- (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) [ 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. 02043Q 10 7 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Novartis AG - -------------------------------------------------------------------------------- 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 Switzerland - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES BENE- N/A FICIALLY -------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH REPORTING 5,267,865 PERSON WITH: -------------------------------------------------------- 7. SOLE DISPOSITIVE POWER. N/A -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER. 5,267,865 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,267,865 - -------------------------------------------------------------------------------- 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) 19.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- Page 2 of 8 CUSIP NO. 02043Q 10 7 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Novartis Pharma AG - -------------------------------------------------------------------------------- 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 Switzerland - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES BENE- N/A FICIALLY -------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH REPORTING 5,267,865 PERSON WITH: -------------------------------------------------------- 7. SOLE DISPOSITIVE POWER. N/A -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER. 5,267,865 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,267,865 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ } - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- Page 3 of 8 Item 1(a) Name of Issuer Alnylam Pharmaceuticals, Inc. Item 1(b) Address of Issuer's Principal Executive Office 300 Third Street Cambridge, MA 02142 Item 2(a) Name of Person Filing Novartis AG Novartis Pharma AG Item 2(b) Address of Principal Business Office or, if none, Residence The address of the principal offices of Novartis AG and Novartis Pharma AG is: Lichtstrasse 35 CH-4002 Basel Switzerland Item 2(c) Citizenship Novartis AG and Novartis Pharma AG are corporations organized under the laws of Switzerland. Item 2(d) Title of Class of Securities Common Stock Item 2(e) CUSIP Number 02043Q 10 7 Item 3 If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (15 U.S.C.78o) (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C.78c) (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C.78c) (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940 (U.S.C.80a-8) (e) [ ] An Investment Adviser in accordance with Section 240.13-1(b)(1)(ii)(E) (f) [ ] An Employee Benefit Plan or Endowment Fund in accordance with Section 240.13d-1(b)(1)(ii)(F) Page 4 of 8 (g) [ ] A Parent Holding Company or Control Person in accordance with Section 240.13d- 1(b)(1)(ii)(G) (h) [ ] A Savings Association as defined in Section 3(b) of the federal Deposit Insurance Act (U.S.C. 1813) (i) [ ] A Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.80a-3) (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J) Item 4 Ownership (a) Amount beneficially owned 5,267,865(1) (b) Percent of class 19.9% (c) No. of shares to which person has (i) sole power to vote or direct the vote N/A (ii) shared power to vote or direct the vote 5,267,865(1) (iii) sole power to dispose or to direct disposition N/A (iv) shared power to dispose or to direct disposition 5,267,865(1) Item 5 Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] 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. - ---------- (1)Novartis Pharma AG is the record and beneficial owner of 5,267,865 shares of Common Stock. Novartis AG, as parent of Novartis Pharma AG, is the indirect beneficial owner of such 5,267,865 shares of Common Stock. Page 5 of 8 Item 8 Identification and Classification of Members of the Group Not Applicable. Item 9 Notice of Dissolution of Group Not Applicable. Item 10 Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were 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. Page 6 of 8 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. Dated: October 24, 2005 Novartis AG By: /s/ Robert E. Pelzer ------------------------------- Name: Robert E. Pelzer Title: Authorized Signatory By: /s/ P. Kornicker -------------------------------- Name: P. Kornicker Title: Authorized Signatory Novartis Pharma AG By: /s/ Robert E. Pelzer -------------------------------- Name: Robert E. Pelzer Title: General Counsel By: /s/ P. Kornicker ------------------------------- Name: P. Kornicker Page 7 of 8 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, par value $0.01 per share, of Alnylam Pharmaceuticals, Inc., a Delaware corporation. Date: October 24, 2005 Novartis AG By: /s/ Robert E. Pelzer ------------------------------- Name: Robert E. Pelzer Title: Authorized Signatory By: /s/ P. Kornicker -------------------------------- Name: P. Kornicker Title: Authorized Signatory Novartis Pharma AG By: /s/ Robert E. Pelzer -------------------------------- Name: Robert E. Pelzer Title: General Counsel By: /s/ P. Kornicker ------------------------------- Name: P. Kornicker Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----