-----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, QE88AUslccLleV6+DHVIDxNki83J7pUtJ2N74RMd4xxwbHb8dBu8YW7gAZNjRH7t GNyHn6Qpk4hbhEgITISVvQ== 0001193125-04-061472.txt : 20040413 0001193125-04-061472.hdr.sgml : 20040413 20040413170716 ACCESSION NUMBER: 0001193125-04-061472 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040413 GROUP MEMBERS: BAY CITY CAPITAL LLC GROUP MEMBERS: THE BAY CITY CAPITAL FUND III CO-INVESTMENT FUND, L.P. GROUP MEMBERS: THE BAY CITY CAPITAL MANAGEMENT III, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMION CORP CENTRAL INDEX KEY: 0001203866 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79338 FILM NUMBER: 04731040 BUSINESS ADDRESS: STREET 1: 2525 28TH STREET CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 720 564 9100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAY CITY CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001045170 IRS NUMBER: 943272853 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 750 BATTERY STREET SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4156763830 MAIL ADDRESS: STREET 1: 750 BATTERY STREET SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 dsc13g.htm SCHEDULE 13G Schedule 13G

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO.         )*

 

PHARMION CORPORATION

(Name of Issuer)

 

COMMON STOCK, $0.001 PAR VALUE

(Title of Class of Securities)

 

71715B409

CUSIP Number

 

DECEMBER 31, 2003

(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. 71715B409

   13G   Page 2 of 14 Pages

 

1.   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)		     
    The Bay City Capital Fund 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         
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH		        5.   SOLE VOTING POWER         
       6.   SHARED VOTING POWER        1,203,352
       7.   SOLE DISPOSITIVE POWER         
       8.   SHARED DISPOSITIVE POWER        1,203,352
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON        1,203,352
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES		        ¨
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)        5.02%
12.   TYPE OF REPORTING PERSON        PN

CUSIP No. 71715B409

   13G   Page 3 of 14 Pages

 

1.   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)		     
    The Bay City Capital Fund III Co-Investment Fund, 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     
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH		        5.   SOLE VOTING POWER    0
       6.   SHARED VOTING POWER    52,630
       7.   SOLE DISPOSITIVE POWER    0
       8.   SHARED DISPOSITIVE POWER    52,630
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    52,630
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES    ¨
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)    0.22%
12.   TYPE OF REPORTING PERSON    PN

CUSIP No. 71715B409

   13G   Page 4 of 14 Pages

 

1.  

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)

    The Bay City Capital 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
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH        5.    SOLE VOTING POWER    0
       6.    SHARED VOTING POWER    1,255,982
       7.    SOLE DISPOSITIVE POWER    0
       8.    SHARED DISPOSITIVE POWER    1,255,982
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    1,255,982
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES    ¨
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)    5.24%
12.   TYPE OF REPORTING PERSON    OO

CUSIP No. 71715B409

   13G   Page 5 of 14 Pages

 

1.   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)		     
    Bay City Capital 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     
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		        5.    SOLE VOTING POWER    0
       6.    SHARED VOTING POWER    1,255,982
       7.    SOLE DISPOSITIVE POWER    0
       8.    SHARED DISPOSITIVE POWER    1,255,982
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    1,255,982
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES		    ¨
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)    5.24%
12.   TYPE OF REPORTING PERSON    OO

CUSIP No. 71715B409

   13G   Page 6 of 14 Pages

 

ITEM 1(a).   NAME OF ISSUER:

 

Pharmion Corporation

 

ITEM 1(b).   ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES

 

2528 28th Street

Boulder, Colorado 80301

 

ITEM 2(a).   NAME OF PERSON FILING:

 

The Bay City Capital Fund III, L.P.

 

ITEM 2(b).   ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:

 

750 Battery Street, Suite 600

San Francisco, California 94111

 

ITEM 2(c).   CITIZENSHIP:

 

Delaware

 

ITEM 2(d).   TITLE OF CLASS OF SECURITIES:

 

Common Stock, $0.001 par value

 

ITEM 2(e).   CUSIP NUMBER:

 

71715B409

 

ITEM 3.   Not applicable.

 

ITEM 4.   OWNERSHIP:

 

ITEM 4(a).   1,203,352

 

ITEM 4(b).   5.02%

 

ITEM 4(c)   (i)     Sole power to vote or direct vote: 0 shares
  (ii)   Shared power to vote or direct vote: 1,203,352 shares
  (iii)   Sole power to dispose or to direct the disposition of: 0 shares
  (iv)   Shared power to dispose or direct the disposition of: 1,203,352 shares

CUSIP No. 71715B409

   13G   Page 7 of 14 Pages

 

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 x.

 

** As of the date of the event which requires filing of this statement, the Reporting Person held 5.02% of the Issuer’s outstanding Common Stock. As of the date of this filing, and based on the Issuer’s most recently filed 10-K, the Reporting Person holds 4.76% of the Issuer’s outstanding Common Stock.

 

ITEM 6.   OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

 

Not applicable.

 

ITEM 7.   IDENTIFICATION AND CLASSIFICATION OF 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.

 

ITEM 9.   NOTICE OF DISSOLUTION OF GROUP:

 

Not applicable.

 

ITEM 10.   CERTIFICATION:

 

Not applicable.

CUSIP No. 71715B409

   13G   Page 8 of 14 Pages

 

ITEM 1(a).   NAME OF ISSUER:

 

Pharmion Corporation

 

ITEM 1(b).   ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES

 

2528 28th Street

Boulder, Colorado 80301

 

ITEM 2(a).   NAME OF PERSON FILING:

 

The Bay City Capital Fund III Co-Investment Fund, L.P.

 

ITEM 2(b).   ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:

 

750 Battery Street, Suite 600

San Francisco, California 94111

 

ITEM 2(c).   CITIZENSHIP:

 

Delaware

 

ITEM 2(d).   TITLE OF CLASS OF SECURITIES:

 

Common Stock, $0.001 par value

 

ITEM 2(e).   CUSIP NUMBER:

 

71715B409

 

ITEM 3.   Not applicable.

 

ITEM 4.   OWNERSHIP:

 

ITEM 4(a).   52,630.

 

ITEM 4(b).   0.22%

 

ITEM 4(c).   (i)     Sole power to vote or direct vote: 0 shares
  (ii)   Shared power to vote or direct vote: 52,630 shares
  (iii)   Sole power to dispose or to direct the disposition of: 0 shares
  (iv)   Shared power to dispose or direct the disposition of: 52,630 shares

CUSIP No. 71715B409

   13G   Page 9 of 14 Pages

 

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 x.

 

** As of the date of the event which requires filing of this statement, the Reporting Person held 0.22% of the Issuer’s outstanding Common Stock. As of the date of this filing, and based on the Issuer’s most recently filed 10-K, the Reporting Person holds 0.21% of the Issuer’s outstanding Common Stock.

 

ITEM 6.   OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

 

Not applicable.

 

ITEM 7.   IDENTIFICATION AND CLASSIFICATION OF 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.

 

ITEM 9.   NOTICE OF DISSOLUTION OF GROUP:

 

Not applicable.

 

ITEM 10.   CERTIFICATION:

 

Not applicable.

CUSIP No. 71715B409

   13G   Page 10 of 14 Pages

 

ITEM 1(a).   NAME OF ISSUER:

 

Pharmion Corporation

 

ITEM 1(b).   ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES

 

2528 28th Street

Boulder, Colorado 80301

 

ITEM 2(a).   NAME OF PERSON FILING:

 

Bay City Capital Management III LLC

 

ITEM 2(b).   ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:

 

750 Battery Street, Suite 600

San Francisco, California 94111

 

ITEM 2(c).   CITIZENSHIP:

 

Delaware

 

ITEM 2(d).   TITLE OF CLASS OF SECURITIES:

 

Common Stock, $0.001 par value

 

ITEM 2(e).   CUSIP NUMBER:

 

71715B409

 

ITEM 3.   Not applicable.

 

ITEM 4.   OWNERSHIP:

 

ITEM 4(a).   1,255,982. Bay City Capital Management III LLC, in its capacity as the General Partner of each of The Bay City Capital Fund III, L.P. and The Bay City Capital Fund III Co-Investment Fund, L.P., may be deemed to beneficially own 1,255,982 shares of the Issuer’s common stock.

 

ITEM 4(b).   5.24%

 

ITEM 4(c).   (i)     Sole power to vote or direct vote: 0 shares
  (ii)   Shared power to vote or direct vote: 1,255,982 shares
  (iii)   Sole power to dispose or to direct the disposition of: 0 shares
  (iv)   Shared power to dispose or direct the disposition of: 1,255,982 shares

CUSIP No. 71715B409

   13G   Page 11 of 14 Pages

 

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 x.

 

** As of the date of the event which requires filing of this statement, the Reporting Person beneficially owned 5.24% of the Issuer’s outstanding Common Stock. As of the date of this filing, and based on the Issuer’s most recently filed 10-K, the Reporting Person beneficially owns 4.97% of the Issuer’s outstanding Common Stock.

 

ITEM 6.   OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

 

Not applicable.

 

ITEM 7.   IDENTIFICATION AND CLASSIFICATION OF 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.

 

ITEM 9.   NOTICE OF DISSOLUTION OF GROUP:

 

Not applicable.

 

ITEM 10.   CERTIFICATION:

 

Not applicable.

CUSIP No. 71715B409

   13G   Page 12 of 14 Pages

 

ITEM 1(a).   NAME OF ISSUER:

 

Pharmion Corporation

 

ITEM 1(b).   ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES

 

2528 28th Street

Boulder, Colorado 80301

 

ITEM 2(a).   NAME OF PERSON FILING:

 

Bay City Capital LLC

 

ITEM 2(b).   ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE:

 

750 Battery Street, Suite 600

San Francisco, California 94111

 

ITEM 2(c).   CITIZENSHIP:

 

Delaware

 

ITEM 2(d).   TITLE OF CLASS OF SECURITIES:

 

Common Stock, $0.001 par value

 

ITEM 2(e).   CUSIP NUMBER:

 

71715B409

 

ITEM 3.   Not applicable.

 

TEM 4.   OWNERSHIP:

 

ITEM 4(a).   1,255,982. Bay City Capital LLC, in its capacity as advisor to each of The Bay City Capital Fund III, L.P. and the Bay City Capital Fund III Co-Investment Fund, L.P., may be deemed to beneficially own 1,255,982 shares of the Issuer’s common stock.

 

ITEM 4(b).   5.22%

 

ITEM 4(c).   (i)     Sole power to vote or direct vote: 0 shares
  (ii)   Shared power to vote or direct vote: 1,255,982 shares
  (iii)   Sole power to dispose or to direct the disposition of: 0 shares
  (iv)   Shared power to dispose or direct the disposition of: 1,255,982 shares

CUSIP No. 71715B409

   13G   Page 13 of 14 Pages

 

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 x.

 

** As of the date of the event which requires filing of this statement, the Reporting Person beneficially owned 5.24% of the Issuer’s outstanding Common Stock. As of the date of this filing, and based on the Issuer’s most recently filed 10-K, the Reporting Person beneficially owns 4.97% of the Issuer’s outstanding Common Stock.

 

ITEM 6.   OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

 

Not applicable.

 

ITEM 7.   IDENTIFICATION AND CLASSIFICATION OF 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.

 

ITEM 9.   NOTICE OF DISSOLUTION OF GROUP:

 

Not applicable.

 

ITEM 10.   CERTIFICATION:

 

Not applicable.

CUSIP No. 71715B409

   13G   Page 14 of 14 Pages

 

SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: April 13, 2004

 

THE BAY CITY CAPITAL FUND III, L.P.

By:

   

Its General Partner

    

Bay City Capital Management III LLC

\s\ Fred B. Craves

By:

   

Fred B. Craves

Its:

   

Manager and Managing Director

THE BAY CITY CAPITAL FUND III CO-INVESTMENT FUND, L.P.

By:

   

Its General Partner

    

Bay City Capital Management III LLC

\s\ Fred B. Craves

By:

   

Fred B. Craves

Its:

   

Manager and Managing Director

BAY CITY CAPITAL LLC

\s\ Fred B. Craves

By:

   

Fred B. Craves

Its:

   

Manager and Managing Director

BAY CITY CAPITAL MANAGEMENT III LLC

\s\ Fred B. Craves

By:

   

Fred B. Craves

Its:

   

Manager and Managing Director

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