0001104659-14-010550.txt : 20140214 0001104659-14-010550.hdr.sgml : 20140214 20140214155202 ACCESSION NUMBER: 0001104659-14-010550 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT III, LLC GROUP MEMBERS: ALTA BIOPHARMA PARTNERS III GMBH & CO. BETEILIGUNGS KG GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC GROUP MEMBERS: EDWARD HURWITZ GROUP MEMBERS: EDWARD PENHOET GROUP MEMBERS: FARAH CHAMPSI SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ChemoCentryx, Inc. CENTRAL INDEX KEY: 0001340652 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943254365 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-86723 FILM NUMBER: 14616053 BUSINESS ADDRESS: STREET 1: 850 MAUDE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 650-210-2900 MAIL ADDRESS: STREET 1: 850 MAUDE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA BIOPHARMA PARTNERS III LP CENTRAL INDEX KEY: 0001257444 IRS NUMBER: 050573803 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 a14-5728_4sc13g.htm SC 13G

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

CHEMOCENTRYX, INC.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

16383L106

(CUSIP Number)

December 31, 2013

(Date of Event That 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)

x

Rule 13d-1(c)

o

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. 16383L106

 

 

(1)

Names of Reporting Persons.
Alta BioPharma Partners III, L.P.

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(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
(a)

 

(6)

Shared Voting Power
-0-

 

(7)

Sole Dispositive Power
781,046(a)

 

(8)

Shared Dispositive Power
-0-

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
781,046(a) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
1.82% (b) Exit Filing

 

 

(12)

Type of Reporting Person
PN

 


(a)   Alta BioPharma Partners III, L.P. (“ABPIII”) has sole voting and dispositive control over 781,046 shares of common stock (“Common Stock”)  of ChemoCentryx, Inc. (the “Issuer”), except that Alta BioPharma Management III, LLC (“ABMIII”), the general partner of ABPIII, and Farah Champsi (“Champsi”), Edward Hurwitz (“Hurwitz”) and Edward Penhoet (“Penhoet”), directors of ABMIII, may be deemed to share the right to direct the voting and dispositive control over such stock. Additional information about ABPIII is set forth in Attachment A hereto.

 

(b)   The percentage set forth in row (11) is based on an aggregate of 42,865,408 shares of Common Stock outstanding as of November 4, 2013 as reported in the Issuer’s 10-Q filing for the quarter ended September 30, 2013.

 

2



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Alta BioPharma Partners III GmbH & Co. Beteiligungs KG

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(b)

x

 

 

(3)

SEC Use Only

 

 

(4)

Citizenship or Place of Organization
Germany

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
52,453 (c)

 

(6)

Shared Voting Power
-0-

 

(7)

Sole Dispositive Power
52,453 (c)

 

(8)

Shared Dispositive Power
-0-

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
52,453 (c) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
0.12% (b) Exit Filing

 

 

(12)

Type of Reporting Person
PN

 


(c)   Alta BioPharma Partners III GmbH & Co. Beteiligungs KG (“ABPIIIKG”) has sole voting and dispositive control over 52,453 shares of Common Stock of the Issuer, except that ABMIII, the managing limited partner of ABPIIIKG, and Champsi, Penhoet, and Hurwitz directors of ABMIII, may be deemed to share the right to direct the voting and dispositive control over such stock.  Additional information about ABPIIIKG is set forth in Attachment A hereto.

 

3



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Alta BioPharma Management III, LLC

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(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
833,499 (d)

 

(7)

Sole Dispositive Power
-0-

 

(8)

Shared Dispositive Power
833,499 (d)

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
833,499 (d) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
1.94% (b) Exit Filing

 

 

(12)

Type of Reporting Person
OO

 


(d)   ABMIII shares voting and dispositive power over the 781,046 shares of Common Stock beneficially owned by ABPIII and the 52,453 shares of Common Stock beneficially owned by ABPIIIKG. Additional information about ABMIII is set forth in Attachment A hereto.

 

4



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Alta Embarcadero BioPharma Partners III, LLC

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(b)

x

 

 

(3)

SEC Use Only

 

 

(4)

Citizenship or Place of Organization
California

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
19,245 (e)

 

(6)

Shared Voting Power
-0-

 

(7)

Sole Dispositive Power
19,245 (e)

 

(8)

Shared Dispositive Power
-0-

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
19,245 (e) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
0.04% (b) Exit Filing

 

 

(12)

Type of Reporting Person
OO

 


(e)   Alta Embarcadero BioPharma Partners III, LLC (“AEBPIII”) has sole voting and dispositive control over 19,245 shares of Common Stock, except that Champsi, Penhoet, and Hurwitz, managers of AEBPIII, may be deemed to share the right to direct the voting and dispositive control over such stock.  Additional information about AEBPIII is set forth in Attachment A hereto.

 

5



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Farah Champsi

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(b)

x

 

 

(3)

SEC Use Only

 

 

(4)

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
-0-

 

(6)

Shared Voting Power
852,744 (f)

 

(7)

Sole Dispositive Power
-0-

 

(8)

Shared Dispositive Power
852,744 (f)

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
852,744 (f) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
1.99% (b) Exit Filing

 

 

(12)

Type of Reporting Person
IN

 


(f) Champsi shares voting and dispositive control over the 781,046 shares of Common Stock beneficially owned by ABPIII, the 52,453 shares of Common Stock beneficially owned by ABPIIIKG, and the 19,245 shares of Common Stock beneficially owned by AEBPIII. Additional information about Champsi is set forth in Attachment A hereto.

 

6



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Edward Penhoet

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(b)

x

 

 

(3)

SEC Use Only

 

 

(4)

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
-0-

 

(6)

Shared Voting Power
852,744 (g)

 

(7)

Sole Dispositive Power
-0-

 

(8)

Shared Dispositive Power
852,744 (g)

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
852,744 (g) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
1.99% (b) Exit Filing

 

 

(12)

Type of Reporting Person
IN

 


(g) Penhoet shares voting and dispositive control over the 781,046 shares of Common Stock beneficially owned by ABPIII, the 52,453 shares of Common Stock beneficially owned by ABPIIIKG, and the 19,245 shares of Common Stock beneficially owned by AEBPIII. Additional information about Penhoet is set forth in Attachment A hereto.

 

7



 

CUSIP No. 16383L106

 

 

(1)

Names of Reporting Persons.
Edward Hurwitz

 

 

(2)

Check the Appropriate Box if a Member of a Group

 

 

(a)

o

 

 

(b)

x

 

 

(3)

SEC Use Only

 

 

(4)

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

(5)

Sole Voting Power
-0-

 

(6)

Shared Voting Power
852,744 (h)

 

(7)

Sole Dispositive Power
-0-

 

(8)

Shared Dispositive Power
852,744 (h)

 

 

(9)

Aggregate Amount Beneficially Owned by Each Reporting Person
852,744 (h) Exit Filing

 

 

(10)

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

 

(11)

Percent of Class Represented by Amount in Row (9)
1.99% (b) Exit Filing

 

 

(12)

Type of Reporting Person
IN

 


(h) Hurwitz shares voting and dispositive control over the 781,046 shares of Common Stock beneficially owned by ABPIII, the 52,453 shares of Common Stock beneficially owned by ABPIIIKG, and the 19,245 shares of Common Stock beneficially owned by AEBPIII. Additional information about Hurwitz is set forth in Attachment A hereto.

 

8



 

CUSIP No. 16383L106

 

Item 1.

 

(a)

Name of Issuer:
ChemoCentryx, Inc.(“Issuer”)

 

(b)

Address of Issuer’s Principal Executive Offices:
850 Maude Avenue

Mountain View, California 94043

 

Item 2.

 

(a)

Name of Person Filing:

Alta BioPharma Partners III, L.P. (“ABPIII”)

Alta BioPharma Management III, LLC (“ABMIII”)

Alta BioPharma Partners III GmbH & Co. Beteiligungs KG (“ABPIIIKG”)

Alta Embarcadero BioPharma Partners III, LLC (“AEBPIII”)

Farah Champsi (“FC”)

Edward Penhoet (“EP”)

Edward Hurwitz (“EH”)

 

(b)

Address of Principal Business Office:

One Embarcadero Center, Suite 3700

San Francisco, CA  94111

 

(c)

Citizenship/Place of Organization:

 

 

 

 

 

 

 

Entities:

ABPIII

Delaware

 

 

 

ABMIII

Delaware

 

 

 

ABPIIIKG

Germany

 

 

 

AEBPIII

California

 

 

 

 

 

 

 

Individuals:

FC

United States

 

 

 

EP

United States

 

 

 

EH

United States

 

(d)

Title of Class of Securities:
Common Stock

 

(e)

CUSIP Number:
16383L106

 

Item 3.

Not applicable.

 

9



 

CUSIP No. 16383L106

 

Item 4

Ownership.

 

Please see Attachment A

 

 

 

 

 

ABPIII

 

ABMIII

 

ABPIIIKG

 

AEBPIII

 

(a)

 

Beneficial Ownership

 

781,046

 

833,499

 

52,453

 

19,245

 

(b)

 

Percentage of Class

 

1.82

%

1.94

%

0.12

%

0.04

%

(c)

 

Sole Voting Power

 

781,046

 

-0-

 

52,453

 

19,245

 

 

 

Shared Voting Power

 

-0-

 

833,499

 

-0-

 

-0-

 

 

 

Sole Dispositive Power

 

781,046

 

-0-

 

52,453

 

19,245

 

 

 

Shared Dispositive Power

 

-0-

 

833,499

 

-0-

 

-0-

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FC

 

EP

 

EH

 

 

 

(a)

 

Beneficial Ownership

 

852,744

 

852,744

 

852,744

 

 

 

(b)

 

Percentage of Class

 

1.99

%

1.99

%

1.99

%

 

 

(c)

 

Sole Voting Power

 

-0-

 

-0-

 

-0-

 

 

 

 

 

Shared Voting Power

 

852,744

 

852,744

 

852,744

 

 

 

 

 

Sole Dispositive Power

 

-0-

 

-0-

 

-0-

 

 

 

 

 

Shared Dispositive Power

 

852,744

 

852,744

 

852,744

 

 

 

 

10



 

CUSIP No. 16383L106

 

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 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 or Control Person.

Not applicable.

 

Item 8.

Identification and Classification of Members of the Group

No reporting person is a member of a group as defined in Section 240.123d-1(b)(1)(ii)(J) of the Act.

 

Item 9.

Notice of Dissolution of Group

Not applicable.

 

Item 10.

Certification

Not applicable.

 

EXHIBITS

 

A:            Joint Filing Statement

 

11



 

CUSIP No. 16383L106

 

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.

 

 

Date:

February 14, 2014

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTA BIOPHARMA PARTNERS III, L.P.

 

ALTA BIOPHARMA MANAGEMENT III, LLC

By: Alta BioPharma Management III, LLC

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Farah Champsi

 

 

By:

/s/ Farah Champsi

 

Farah Champsi, Director

 

 

 

Farah Champsi, Director

 

 

 

 

 

 

ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC

 

ALTA BIOPHARMA PARTNERS III GMBH &CO.

 

 

BETEILIGUNGS KG

 

 

 

By: Alta BioPharma Management III, LLC

 

 

 

 

 

 

 

 

 

 

By:

/s/ Farah Champsi

 

By:

 

/s/ Farah Champsi

 

Farah Champsi, Manager

 

 

 

Farah Champsi, Director

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Farah Champsi

 

 

 

 

 

Farah Champsi

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Edward Penhoet

 

 

 

/s/ Edward Hurwitz

 

Edward Penhoet

 

 

 

Edward Hurwitz

 

12



 

CUSIP No. 16383L106

 

EXHIBIT A

 

AGREEMENT OF JOINT FILING

 

We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us.

 

Date:

February 14, 2014

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTA BIOPHARMA PARTNERS III, L.P.

 

ALTA BIOPHARMA MANAGEMENT III, LLC

By: Alta BioPharma Management III, LLC

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ Farah Champsi

 

 

By:

/s/ Farah Champsi

 

Farah Champsi, Director

 

 

 

Farah Champsi, Director

 

 

 

 

 

 

ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC

 

ALTA BIOPHARMA PARTNERS III GMBH &CO.

 

 

BETEILIGUNGS KG

 

 

 

By: Alta BioPharma Management III, LLC

 

 

 

 

 

 

 

 

 

 

By:

/s/ Farah Champsi

 

By:

 

/s/ Farah Champsi

 

Farah Champsi, Manager

 

 

 

Farah Champsi, Director

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Farah Champsi

 

 

 

 

 

Farah Champsi

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Edward Penhoet

 

 

 

/s/ Edward Hurwitz

 

Edward Penhoet

 

 

 

Edward Hurwitz

 

13



 

CUSIP No. 16383L106

 

Attachment A

 

Alta BioPharma Partners III, L.P. beneficially owns 781,046 shares of Common and exercises sole voting and dispositive control over such shares, except to the extent set forth below.

 

Alta BioPharma Partners III GmbH & Co. Beteiligungs KG beneficially owns 52,453 shares of Common Stock and exercises sole voting and dispositive control over such shares, except to the extent set forth below.

 

Alta Embarcadero BioPharma Partners III, LLC beneficially owns 19,245 shares Common Stock and exercises sole voting and dispositive control over such shares, except to the extent set forth below.

 

Alta BioPharma Management III, LLC is the general partner of Alta BioPharma Partners III, L.P. and the managing limited partner of Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and may be deemed to share the right to direct the voting and dispositive control over the shares held by such funds.

 

Ms. Farah Champsi is a director of Alta BioPharma Management III, LLC, and a manager of Alta Embarcadero BioPharma Partners III, LLC.  She may be deemed to share the right to direct the voting and dispositive control over the shares held by such funds.

 

Mr. Edward Hurwitz is a director of Alta BioPharma Management III, LLC, and a manager of Alta Embarcadero BioPharma Partners III, LLC.  He may be deemed to share the right to direct the voting and dispositive control over the shares held by such funds.

 

Mr. Edward Penhoet is a director of Alta BioPharma Management III, LLC, and a manager of Alta Embarcadero BioPharma Partners III, LLC.  He may be deemed to share the right to direct the voting and dispositive control over the shares held by such funds.

 

14