-----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, Dbu/nvHFtF4YInoS6DnWgPym6/ABgJ4JtehV9SnvkiIlIRDeXvVojpOhO1zktwHs 1E8rEb1GUjVmw8hPe3wpBw== 0000950134-08-002658.txt : 20080214 0000950134-08-002658.hdr.sgml : 20080214 20080214140213 ACCESSION NUMBER: 0000950134-08-002658 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 GROUP MEMBERS: BAVP LP GROUP MEMBERS: KATE MITCHELL GROUP MEMBERS: LOUIS C BOCK GROUP MEMBERS: MARK BROOKS GROUP MEMBERS: RORY O'DRISCOLL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Somaxon Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001339455 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 200161599 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81290 FILM NUMBER: 08612816 BUSINESS ADDRESS: STREET 1: 3721 VALLEY CENTRE DRIVE STREET 2: SUITE 500 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 480-0400 MAIL ADDRESS: STREET 1: 3721 VALLEY CENTRE DRIVE STREET 2: SUITE 500 CITY: SAN DIEGO STATE: CA ZIP: 92130 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Scale Venture Management I, LLC CENTRAL INDEX KEY: 0001308343 IRS NUMBER: 943358904 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 950 TOWER LANE STREET 2: SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: (650) 378-6050 MAIL ADDRESS: STREET 1: 950 TOWER LANE STREET 2: SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: BA Venture Partners VI, LLC DATE OF NAME CHANGE: 20041110 SC 13G/A 1 f37662a4sc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

SEC 1745
(3-06)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
Somaxon Pharamceuticals, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
834453102
(CUSIP Number)
12/31/07
(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
  o   Rule 13d-1(b)
 
  o   Rule 13d-1(c)
 
  þ   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).
 
 

1 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

BAVP, LP                                                           94-3359700
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Delaware
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  PN
* Includes 19,166 shares one of the managing members of the general partner of BAVP, LP has the right to acquire within 60 days of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer's common stock. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 2 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

Scale Venture Management I, LLC                      94-3358904
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  California
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  CO
* Shares are held by BAVP, LP. Scale Venture Management I, LLC is the general partner of BAVP, LP. Includes 19,166 shares one of the managing members of Scale Venture Management I, LLC has the right to acquire within 60 days of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer’s common stock. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 3 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

Louis C. Bock
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  US
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN
* Shares are held by BAVP, LP. Louis C. Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are the Managing Members of Scale Venture Management I, LLC, the general partner of BAVP, LP. The Reporting Person disclaims beneficial ownership with respect to all such shares except to the extent of his proportionate pecuniary interests therein. Includes 19,166 shares the reporting person has the right to acquire within 60 days of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer’s common stock. The reporting person is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 4 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

Kate Mitchell
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  US
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN
* Shares are held by BAVP, LP. Louis C. Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are the Managing Members of Scale Venture Management I, LLC, the general partner of BAVP, LP. The Reporting Person disclaims beneficial ownership with respect to all such shares except to the extent of her proportionate pecuniary interests therein. Includes 19,166 shares one of the managing members of Scale Venture Management I, LLC has the right to acquire within 60 day s of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer’s common stock. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 5 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

Rory O’Driscoll
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  US
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN
* Shares are held by BAVP, LP. Louis C. Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are the Managing Members of Scale Venture Management I, LLC, the general partner of BAVP, LP. The Reporting Person disclaims beneficial ownership with respect to all such shares except to the extent of his proportionate pecuniary interests therein. Includes 19,166 shares one of the managing members of Scale Venture Management I, LLC has the right to acquire within 60 days of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer’s common stock. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 6 of 11 pages


 

                     
CUSIP No.
 
834453102 
 

 

           
1   NAME OF REPORTING PERSONS
I.R.S. Identification No(s). of above person(s) (entities only)

Mark Brooks
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  US
       
  5   SOLE VOTING POWER
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,000,748*
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    2,000,748*
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,000,748*
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  10.7%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN
* Shares are held by BAVP, LP. Louis C. Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are the Managing Members of Scale Venture Management I, LLC, the general partner of BAVP, LP. The Reporting Person disclaims beneficial ownership with respect to all such shares except to the extent of his proportionate pecuniary interests therein. Includes 19,166 shares one of the managing members of Scale Venture Management I, LLC has the right to acquire within 60 days of 12/31/07 pursuant to options outstanding to purchase shares of the Issuer’s common stock. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.

Page 7 of 11 pages


 

Item 1.
          (a) Name of Issuer
                Somaxon Pharmaceuticals, Inc.
          (b) Address of Issuer’s Principal Executive Offices
     1270 High Bluff Drive, Suite 310
               San Diego, CA 92103
Item 2.
          (a) Name of Person Filing
          BAVP, LP; Scale Venture Management I, LLC; Louis C. Bock; Kate Mitchell; Rory O’ Driscoll and Mark Brooks
          (b) Address of Principal Business Office or, if none, Residence
          BAVP, LP:    100 North Tryon Street, Floor 25, Bank of America Corporate Center, Charlotte, NC 28255
          Scale Venture Management I, LLC:950 Tower Lane, Suite 700, Foster City, CA 94404
 
  Louis C. Bock:      950 Tower Lane, Suite 700, Foster City, CA 94404
 
  Kate Mitchell:      950 Tower Lane, Suite 700, Foster City, CA 94404
 
  Rory O’Driscoll:   950 Tower Lane, Suite 700, Foster City, CA 94404
 
  Mark Brooks:       950 Tower Lane, Suite 700, Foster City, CA 94404
          (c) Citizenship
               BAVP, LP is organized in Delaware and Scale Venture Management I, LLC is organized in California. Each of Louis C. Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are US citizens.
          (d) Title of Class of Securities
               Common Stock
          (e) CUSIP Number
               834453102
Item 3.   If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
          Not applicable
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.
                 
  (a )  
Amount Beneficially Owned:
       
        BAVP, LP     2,000,748 (1)
        Scale Venture Management I, LLC     2,000,748 (1)
        Louis C. Bock     2,000,748 (1)
        Kate Mitchell     2,000,748 (1)
        Rory O’Driscoll     2,000,748 (1)
        Mark Brooks     2,000,748 (1)

Page 8 of 11 pages


 

                 
  (b )  
Percent of Class:
       
       
BAVP, LP
    10.7 %
       
Scale Venture Management I, LLC
    10.7 %
       
Louis C. Bock
    10.7 %
       
Kate Mitchell
    10.7 %
       
Rory O’Driscoll
    10.7 %
       
Mark Brooks
    10.7 %
       
 
       
  (c )  
Number of shares as to which the person has:
       
       
(i)           Sole power to vote or to direct the vote:
       
       
Not Applicable
       
       
(ii)          Shared power to vote or to direct the vote:
       
       
 
       
       
BAVP, LP
    2,000,748 (1)
       
Scale Venture Management I, LLC
    2,000,748 (1)
       
Louis C. Bock
    2,000,748 (1)
       
Kate Mitchell
    2,000,748 (1)
       
Rory O’Driscoll
    2,000,748 (1)
       
Mark Brooks
    2,000,748 (1)
       
 
       
       
(iii)          Sole power to dispose or to direct the disposition of:
       
       
Not Applicable
       
       
 
       
       
(iv)          Shared power to dispose or to direct the disposition of:
       
       
 
       
       
BAVP, LP
    2,000,748 (1)
       
Scale Venture Management I, LLC
    2,000,748 (1)
       
Louis C. Bock
    2,000,748 (1)
       
Kate Mitchell
    2,000,748 (1)
       
Rory O’Driscoll
    2,000,748 (1)
       
Mark Brooks
    2,000,748 (1)
 
(1)   Shares are held by BAVP, LP. Scale Venture Management I, LLC is the General Partner of BAVP, LP. Louis Bock, Kate Mitchell, Rory O’Driscoll and Mark Brooks are the Managing Members of Scale Venture Management I, LLC, the general partner of BAVP, LP. Includes 19,166 shares of the Issuer’s Common Stock a managing member of Scale Venture Management I, LLC has the right to acquire within 60 days of 12/31/07. Such managing member is deemed to hold the reported options for the benefit of BAVP, LP. BAVP, LP is deemed the indirect beneficial owner of the options.
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 or Control Person.

Page 9 of 11 pages


 

          Not Applicable
Item 8. Identification and Classification of Members of the Group
          Not Applicable
Item 9. Notice of Dissolution of a Group
          Not Applicable
Item 10. Certification
          Not applicable
[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: February 13, 2008
                 
BAVP, LP       SCALE VENTURE MANAGEMENT I, LLC
 
               
By:
  Scale Venture Management I, LLC,
its General Partner
           
 
               
By:
  /s/ Louis C. Bock        By:   /s/ Louis C. Bock 
 
               
 
  Name: Louis C. Bock           Name: Louis C. Bock
 
  Title: Managing Member           Title: Managing Member
 
               
By:
  /s/ Louis C. Bock        By:   /s/ Kate Mitchell 
 
               
 
  Name: Louis C. Bock           Name: Kate Mitchell
 
               
By:
  /s/ Rory O’Driscoll        By:   /s/ Mark Brooks
 
               
 
  Name: Rory O’Driscoll           Name: Mark Brooks
EXHIBITS
A:  Joint Filing Agreement

Page 10 of 11 pages


 

EXHIBIT A
JOINT FILING AGREEMENT
     In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Somaxon Pharmaceuticals, Inc. and further agree that this agreement be included as an exhibit to such filing. Each party to the agreement expressly authorizes each other party to file on its behalf any and all amendments to such statement. Each party to this agreement agrees that this joint filing agreement may be signed in counterparts.
     In evidence whereof, the undersigned have caused this Agreement to be executed on their behalf this 13th day of February, 2008.
                 
BAVP, LP       SCALE VENTURE MANAGEMENT I, LLC
 
               
By:
  Scale Venture Management I,LLC,
its General Partner
           
 
               
By:
  /s/ Louis C. Bock        By:   /s/ Louis C. Bock 
 
               
 
  Name: Louis C. Bock           Name: Louis C. Bock
 
  Title: Managing Member           Title: Managing Member
 
               
By:
  /s/ Louis C. Bock        By:   /s/ Kate Mitchell 
 
               
 
  Name: Louis C. Bock           Name: Kate Mitchell
 
               
By:
  /s/ Rory O’Driscoll       By:   /s/ Mark Brooks 
 
               
 
  Name: Rory O’Driscoll           Name: Mark Brooks

Page 11 of 11 pages

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