0001193125-13-430499.txt : 20131107 0001193125-13-430499.hdr.sgml : 20131107 20131106174053 ACCESSION NUMBER: 0001193125-13-430499 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20131107 DATE AS OF CHANGE: 20131106 GROUP MEMBERS: BURRILL & CO (INDIANA GP), LLC GROUP MEMBERS: BURRILL & CO (LIFE SCIENCES GP), LLC GROUP MEMBERS: BURRILL & COMPANY, LLC GROUP MEMBERS: BURRILL INDIANA LIFE SCIENCES CAPITAL FUND, L.P. GROUP MEMBERS: G. STEVEN BURRILL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: diaDexus, Inc. CENTRAL INDEX KEY: 0001036968 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943236309 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56525 FILM NUMBER: 131197665 BUSINESS ADDRESS: STREET 1: 349 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-246-6400 MAIL ADDRESS: STREET 1: 349 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: VAXGEN INC DATE OF NAME CHANGE: 19990329 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BURRILL LIFE SCIENCES CAPITAL FUND LP CENTRAL INDEX KEY: 0001204411 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-591-5400 SC 13G/A 1 d623196dsc13ga.htm AMENDMENT NO. 2 TO SCHEDULE 13G Amendment No. 2 to Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

 

diaDexus, Inc.

(Name of Issuer)

 

 

 

Common Stock

(Title of Class of Securities)

 

52545P106

(CUSIP Number)

 

October 30, 2013

(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)

¨ 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 disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 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. 52545P106

 

  1   

Names of Reporting Persons.

 

BURRILL LIFE SCIENCES CAPITAL FUND, L.P.

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    DELAWARE

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    0

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    0

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    0

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)

 

    0.0%*

12

  

Type of Reporting Person (See Instructions)

 

    PN

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-2-

 

CUSIP No. 52545P106

 

  1   

Names of Reporting Persons.

 

BURRILL INDIANA LIFE SCIENCES CAPITAL FUND, L.P.

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    DELAWARE

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    0

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    0

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    0

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)

 

    0.0%*

12

  

Type of Reporting Person (See Instructions)

 

    PN

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-3-

 

CUSIP No. 52545P106

 

  1   

Names of Reporting Persons.

 

BURRILL & COMPANY (LIFE SCIENCES GP), LLC

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    DELAWARE

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    1,098,124

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    1,098,124

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    1,098,124

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)

 

    2.01%*

12

  

Type of Reporting Person (See Instructions)

 

    OO

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-4-

 

CUSIP No. 52545P106

 

  1   

Names of Reporting Persons.

 

BURRILL & COMPANY (INDIANA GP), LLC

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    DELAWARE

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    49,917

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    49,917

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    49,917

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)

 

    0.09%*

12

  

Type of Reporting Person (See Instructions)

 

    OO

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-5-

 

CUSIP No. 52545P106

 

  1   

Names of Reporting Persons.

 

BURRILL & COMPANY, LLC

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    DELAWARE

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    1,148,041

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    1,148,041

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    1,148,041

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)

 

    2.10%*

12

  

Type of Reporting Person (See Instructions)

 

    OO

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-6-

 

CUSIP No. 52545P106

 

  1   

Names of Reporting Persons.

 

G. STEVEN BURRILL

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x        (b)  ¨

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

    UNITED STATES

     5    

Sole Voting Power

 

   6   

Shared Voting Power

 

    1,148,041

   7   

Sole Dispositive Power

 

   8   

Shared Dispositive Power

 

    1,148,041

  9

  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    1,148,041

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)

 

    2.10%*

12

  

Type of Reporting Person (See Instructions)

 

    IN

 

* All percentages based on 54,698,713 common shares of the issuer outstanding, as set forth in the issuer’s 10-Q for the quarter ended September 30, 2013.

 

-7-

Item 1

 

 

(a)

      Name of Issuer:
       diaDexus, Inc.
 

(b)

      Address of Issuer’s Principal Executive Offices:
       349 Oyster Point Blvd., South San Francisco, CA 94080

Item 2

 

 

(a)

      Name of Person Filing:

Each of Burrill Life Sciences Capital Fund, L.P. (“BLSCF”) and Burrill Indiana Life Sciences Capital Fund, L.P. (“BILSCF”) is a Delaware limited partnership. Burrill & Company (Life Sciences GP), LLC (“BLSGP”) is the general partner of BLSCF, and Burrill & Company (Indiana GP), LLC (“BIGP”) is the general partner of BILSCF. G. Steven Burrill (“Burrill”) controls Burrill & Company LLC (“BCLLC”), which controls BLSGP and BIGP; therefore, Burrill ultimately holds the power to vote and dispose of the equity interests of both BLSGP and BIGP. BLSCF, BILSCF, BLSGP, BIGP, BCLLC, and Burrill are the “Reporting Persons” hereunder.

 

 

(b)

      Address of Principal Business Office or, if none, Residence:
       One Embarcadero Center, Suite 2700, San Francisco, CA 94111
 

(c)

      Citizenship:
       Delaware
 

(d)

      Title of Class of Securities:
       Common Stock
 

(e)

      CUSIP Number:
       52545P106

 

Item 3.      If this statement is filed pursuant to Rule 13d-1(b), 13d-2(b) or 13d-2(c), check whether the person filing is a:
 

(a)

      ¨    Broker or dealer registered under Section 15 of the Exchange Act;
 

(b)

      ¨    Bank as defined in section 3(a)(6) of the Exchange Act;
 

(c)

      ¨    Insurance company as defined in section 3(a)(19) of the Exchange Act;
 

(d)

      ¨    Investment company registered under section 8 of the Investment Company Act of 1940;
 

(e)

      ¨    An investment adviser in accordance with Rule 13-d(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)(ii)(G);
 

(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 of 1940;
 

(j)

      ¨    Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

-8-

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

The aggregate number of securities and percentage of the class of securities of the Issuer beneficially owned by each Reporting Person named in Item 2(a), as well as the number of securities as to which such person is deemed to have sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, shared power to dispose or direct the disposition (in each case, as of the date of filing of this Amendment No. 2 to Schedule 13G), is set forth in the following table:

 

Person

    No. of Securities
Beneficially Owned		      % Class Represented
by No. of Securities
Beneficially Owned		     Power to Vote      Power to Dispose  
        Sole1      Shared1      Sole1      Shared1  

BLSCF

      0         0.0 %      0         0         0         0   

BILSCF

      0         0.0 %      0         0         0         0   

BLSGP

      1,098,124         2.01 %      0         1,098,124         0         1,098,124   

BIGP

      49,917         0.09 %      0         49,917         0         49,917   

BCLLC

      1,148,041         2.10 %      0         1,148,041         0         1,148,041   

G. Steven Burrill

      1,148,041         2.10 %      0         1,148,041         0         1,148,041   

Total (all Reporting Persons)

      1,148,041         2.10 %      0         1,148,041         0         1,148,041   

 

1  See item 2(a).

 

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 report person has ceased to be the beneficial owners of more than 5 percent of the class of securities, check the following [x].

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.

 

-9-

Item 8.

    Identification and Classification of Members of the Group.
   Not applicable.

Item 9.

    Notice of Dissolution of Group.
   Not applicable.

Item 10.

    Certification.
   See signature page.

 

-10-

SIGNATURE

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

Date: November 6, 2013

G. STEVEN. BURRILL

 

By:

  

/s/ G. Steven Burrill

Name: G. Steven Burrill

for himself, for and as Chief Executive Officer of Burrill & Company, LLC, managing member of Burrill & Company (Life Sciences GP), LLC and Burrill & Company (Indiana GP), LLC, general partners of Burrill Life Sciences Capital Fund, L.P. and Burrill Indiana Life Sciences Capital Fund, L.P., respectively.

 

-11-

EXHIBIT INDEX

 

Exhibit No.

   

Description

7.1    Joint Filing Statement.

 

-12-

EX-7.1 2 d623196dex71.htm EX-7.1 EX-7.1

Exhibit 7.1

JOINT FILING STATEMENT

Each of Burrill Life Sciences Capital Fund, L.P. (“BLSCF”); Burrill Indiana Life Sciences Capital Fund, L.P. (“BILSCF”); Burrill & Company (Life Sciences GP), LLC; Burrill & Company (Indiana GP), LLC; and G. Steven Burrill hereby expresses its agreement that the attached Amendment No. 2 to Schedule 13G (and any amendments thereto) relating to the common stock of diaDexus, Inc. is filed on behalf of each of them.

Date: November 6, 2013

G. STEVEN BURRILL

 

By:  

/s/ G. Steven Burrill

Name: G. Steven Burrill

for himself, for and as Chief Executive Officer of Burrill & Company, LLC, managing member of Burrill & Company (Life Sciences GP), LLC and Burrill & Company (Indiana GP), LLC, general partners of Burrill Life Sciences Capital Fund, L.P. and Burrill Indiana Life Sciences Capital Fund, L.P., respectively.