-----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, ASS9NTbnpAIynDrBMzWsYVAiBkCWZn0H5saQx6kfAkkD6X8LNkd870uT+HsaGxys TQtBCnEKygpePLZRv27MZQ== 0001141111-02-000006.txt : 20020415 0001141111-02-000006.hdr.sgml : 20020415 ACCESSION NUMBER: 0001141111-02-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020314 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITHFIELD FIDUCIARY LLC CENTRAL INDEX KEY: 0001141111 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P.O. BOX 30554, SEVEN MILE BEACH CITY: GRAND CAYMAN STATE: A1 ZIP: 00000 BUSINESS PHONE: 3459451400 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENOME THERAPEUTICS CORP CENTRAL INDEX KEY: 0000356830 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 042297484 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-34935 FILM NUMBER: 02574699 BUSINESS ADDRESS: STREET 1: 1OO BEAVER ST CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: 7813982300 MAIL ADDRESS: STREET 1: 100 BEAVER STREET CITY: WALTHAM STATE: MA ZIP: 02453 FORMER COMPANY: FORMER CONFORMED NAME: COLLABORATIVE RESEARCH INC DATE OF NAME CHANGE: 19920703 SC 13G 1 gene-i.txt GENOME THERAPEUTICS CORP. - COMMON STOCK UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. )* GENOME THERAPEUTICS CORP. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 372430108 --------------------------- (CUSIP Number) March 5, 2002 ----------------------------------------------------- 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. 372430108 - -------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Smithfield Fiduciary LLC - not applicable - -------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - -------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER $12,000,000 principal amount of 6% Convertible Notes due BENEFICIALLY December 31, 2004 (convertible into 1,500,000 shares of Common Stock) /1/ /2/ OWNED BY Warrants to purchase shares of Common Stock (exercisable for 390,000 shares of Common Stock) /2/ EACH REPORTING ----------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 7.65% as of the date of this Statement. (Based on 22,821,429 shares of Common Stock issued and outstanding as of February 23, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and exercise of the Warrants referred to in Row 6 above.) - -------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON OO - Limited Liability Company - -------------------------------------------------------------------------- /1/ The Convertible Notes also accrue interest at a rate of 6.0% per annum, payable quarterly in cash or in shares of Common Stock, at the discretion of the Issuer. /2/ See Footnote 2 in Item 4. - -------------------------------------------------------------------------- CUSIP NO. 372430108 - -------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Highbridge International LLC - not applicable - -------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - -------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER $12,000,000 principal amount of 6% Convertible Notes due BENEFICIALLY December 31, 2004 (convertible into 1,500,000 shares of Common Stock) /1/ /2/ OWNED BY Warrants to purchase shares of Common Stock (exercisable for 390,000 shares of Common Stock) /2/ EACH REPORTING ----------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 7.65% as of the date of this Statement. (Based on 22,821,429 shares of Common Stock issued and outstanding as of February 23, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and exercise of the Warrants referred to in Row 6 above.) - -------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON OO - Limited Liability Company - -------------------------------------------------------------------------- /1/ The Convertible Notes also accrue interest at a rate of 6.0% per annum, payable quarterly in cash or in shares of Common Stock, at the discretion of the Issuer. /2/ See Footnote 2 in Item 4. - -------------------------------------------------------------------------- CUSIP NO. 372430108 - -------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Highbridge Capital Corporation - not applicable - -------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands, British West Indies - -------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER $12,000,000 principal amount of 6% Convertible Notes due BENEFICIALLY December 31, 2004 (convertible into 1,500,000 shares of Common Stock) /1/ /2/ OWNED BY Warrants to purchase shares of Common Stock (exercisable for 390,000 shares of Common Stock) /2/ EACH REPORTING ----------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 7.65% as of the date of this Statement. (Based on 22,821,429 shares of Common Stock issued and outstanding as of February 23, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and exercise of the Warrants referred to in Row 6 above.) - -------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON OO - Limited Liability Company - -------------------------------------------------------------------------- /1/ The Convertible Notes also accrue interest at a rate of 6.0% per annum, payable quarterly in cash or in shares of Common Stock, at the discretion of the Issuer. /2/ See Footnote 2 in Item 4. - -------------------------------------------------------------------------- CUSIP NO. 372430108 - -------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Highbridge Capital Management, LLC - 13-3993048 - -------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF ----------------------------------------------------------- SHARES 6. SHARED VOTING POWER $12,000,000 principal amount of 6% Convertible Notes due BENEFICIALLY December 31, 2004 (convertible into 1,500,000 shares of Common Stock) /1/ /2/ OWNED BY Warrants to purchase shares of Common Stock (exercisable for 390,000 shares of Common Stock) /2/ EACH REPORTING ----------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER 0 WITH ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER See Row 6 above. - -------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON See Row 6 above. - -------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Approximately 7.65% as of the date of this Statement. (Based on 22,821,429 shares of Common Stock issued and outstanding as of February 23, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and exercise of the Warrants referred to in Row 6 above.) - -------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON OO - Limited Liability Company - -------------------------------------------------------------------------- /1/ The Convertible Notes also accrue interest at a rate of 6.0% per annum, payable quarterly in cash or in shares of Common Stock, at the discretion of the Issuer. /2/ See Footnote 2 in Item 4. Item 1. (a) Name of Issuer Genome Therapeutics Corp. (b) Address of Issuer's Principal Executive Offices: 100 Beaver Street Waltham, Massachusetts 02453 Item 2(a). Name of Person Filing Item 2(b). Address of Principal Business Office Item 2(c). Citizenship Smithfield Fiduciary LLC The Anchorage Centre, 2nd Floor Harbor Drive, George Town, Grand Cayman, Cayman Islands, British West Indies Citizenship: Cayman Islands, British West Indies Highbridge International LLC The Anchorage Centre, 2nd Floor Harbor Drive, George Town, Grand Cayman, Cayman Islands, British West Indies Citizenship: Cayman Islands, British West Indies Highbridge Capital Corporation The Anchorage Centre, 2nd Floor Harbor Drive, George Town, Grand Cayman, Cayman Islands, British West Indies Citizenship: Cayman Islands, British West Indies Highbridge Capital Management, LLC 9 West 57th Street, 27th Floor New York, New York 10019 Citizenship: State of Delaware (d) Title of Class of Securities Common Stock, par value $.10 per share (e) CUSIP Number 372430108 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), 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 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with Rule 13d-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)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 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 Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4. Ownership (a) Amount Beneficially Owned $12,000,000 principal amount of 6% Convertible Notes due December 31, 2004 (convertible into 1,500,000 shares of Common Stock)/1/ /2/ Warrants to purchase shares of Common Stock (exercisable for 390,000 shares of Common Stock) /2/ (b) Percent of Class Approximately 7.65% as of the date of this Statement. (Based on 22,821,429 shares of Common Stock issued and outstanding as of February 23, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Notes and exercise of the Warrants referred to in Item (a) above.) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 0 (ii) shared power to vote or to direct the vote See item (a) above. (iii) sole power to dispose or to direct the disposition of 0 (iv) shared power to dispose or to direct the disposition of See item (a) above. /1/ The Convertible Notes also accrue interest at a rate of 6.0% per annum, payable quarterly in cash or in shares of Common Stock, at the discretion of the Issuer. See Footnote 2 below. /2/ The securities reported herein include securities that the Reporting Persons may acquire in the future through (i) the conversion of $12,000,000 principal amount of the 6% Convertible Notes due December 31, 2004 of the Issuer (the "Convertible Notes"), which may be converted by the Reporting Persons at any time prior to and including December 31, 2004 (the "Maturity Date") into 1,500,000 shares of the Company's Common Stock (the "Common Stock") as of the date of this Schedule at the conversion price described below and (ii) the exercise of warrants (the "Warrants") to purchase up to 390,000 shares of Common Stock, which may be exercised by the Reporting Persons to the extent the Convertible Notes are converted or if certain other redemptions or repayments of the Convertible Notes occur at any time prior to and including December 31, 2008. The conversion price for the Convertible Notes is $8.00 (subject to adjustment to prevent dilution). The exercise price of the Warrants is $8.00 (subject to adjustment to prevent dilution). The Convertible Notes and the Warrants were issued on March 5, 2002. The Convertible Notes accrue interest at the rate of 6.0% per annum from the date of issuance, payable in cash or in shares of Common Stock at the option of the Issuer (with certain exceptions). As of the date of this Schedule, the Convertible Notes had accrued interest of approximately $19,726. Pursuant to the terms of the Convertible Notes and the Warrants, the Reporting Persons cannot be "beneficial owners" of more than 9.99% of the Common Stock within the meaning of Rule 13d-1 of the Act. Item 5. Ownership of Five Percent or Less of a Class Inapplicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Inapplicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company See Item 2 above. Item 8. Identification and Classification of Members of the Group Inapplicable Item 9. Notice of Dissolution of Group Inapplicable Item 10. Certification 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 of effect. 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 this 14th day of March, 2002 Smithfield Fiduciary LLC By: /s/ Howard Feitelberg ------------------------------------- Howard Feitelberg, Director Highbridge International LLC By: /s/ Howard Feitelberg ------------------------------------- Howard Feitelberg, Director Highbridge Capital Corporation By: /s/ Howard Feitelberg ------------------------------------- Howard Feitelberg, Controller Highbridge Capital Management, LLC By: /s/ Ronald S. Resnick ------------------------------------- Ronald S. Resnick, Managing Director -----END PRIVACY-ENHANCED MESSAGE-----