-----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, KnLXqYbjKkq4IPDp6vx6JavfdDXpa89bSx2wRFD01MvHWpwZ1yvvNAq4p3OwFnsJ xy6Cdenc4RQ+CMrJNwBlIQ== 0000950162-04-000179.txt : 20040213 0000950162-04-000179.hdr.sgml : 20040213 20040213140646 ACCESSION NUMBER: 0000950162-04-000179 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SCICLONE PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000880771 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943116852 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43408 FILM NUMBER: 04597350 BUSINESS ADDRESS: STREET 1: 901 MARINER'S ISLAND BLVD. STREET 2: SUITE 205 CITY: SAN MATEO STATE: CA ZIP: 94404 BUSINESS PHONE: 650-358-3456 MAIL ADDRESS: STREET 1: 901 MARINER'S ISLAND BLVD. STREET 2: SUITE 205 CITY: SAN MATEO STATE: CA ZIP: 94404 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAVAZZA CLAUDIO CENTRAL INDEX KEY: 0001164803 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: VIA SUDAFRICA 20 CITY: ROME ITALY STATE: L6 ZIP: 00000 MAIL ADDRESS: STREET 1: VIA SUDAFRICA 20 CITY: ROME ITALY STATE: L6 ZIP: 00000 SC 13G/A 1 sciclone13gano1-021304.txt AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A1 Under the Securities Exchange Act of 1934 (Amendment No. 1)* SciClone Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, No Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 80862K104 - -------------------------------------------------------------------------------- (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) /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). -2- - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Paolo Cavazza - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Italy - -------------------------------------------------------------------------------- 5. Sole Voting Power 384,615 ----------------------------------------------------- Number of 6. Shared Voting Power Shares Beneficially 2,934,341 ----------------------------------------------------- Owned by Each 7. Sole Dispositive Power Reporting Person With: 384,615 ----------------------------------------------------- 8. Shared Dispositive Power 2,934,341 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,318,956 - -------------------------------------------------------------------------------- 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) 7.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN -3- - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Claudio Cavazza - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Italy - -------------------------------------------------------------------------------- 5. Sole Voting Power 384,615 ----------------------------------------------------- Number of 6. Shared Voting Power Shares Beneficially 2,459,772 ----------------------------------------------------- Owned by Each 7. Sole Dispositive Power Reporting Person With: 384,615 ----------------------------------------------------- 8. Shared Dispositive Power 2,459,772 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,844,387 - -------------------------------------------------------------------------------- 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) 6.4% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN -4- - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Sigma Tau Finanzaria S.p.A. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Italy - -------------------------------------------------------------------------------- 5. Sole Voting Power 0 ----------------------------------------------------- Number of 6. Shared Voting Power Shares Beneficially 2,459,772 ----------------------------------------------------- Owned by Each 7. Sole Dispositive Power Reporting Person With: 0 ----------------------------------------------------- 8. Shared Dispositive Power 2,459,772 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,459,772 - -------------------------------------------------------------------------------- 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) 5.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) CO -5- - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Defiante Farmaceutica, L.D.A. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) / / - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Portugal - -------------------------------------------------------------------------------- 5. Sole Voting Power 0 ----------------------------------------------------- Number of 6. Shared Voting Power Shares Beneficially 2,459,772 ----------------------------------------------------- Owned by Each 7. Sole Dispositive Power Reporting Person With: 0 ----------------------------------------------------- 8. Shared Dispositive Power 2,459,772 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,459,772 - -------------------------------------------------------------------------------- 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) 5.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) CO -6- Item 1(a). Name of Issuer: SciClone Pharmaceuticals, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 901 Mariner's Island Boulevard, Suite 315, San Mateo, CA 94404 Item 2(a). Name of Person Filing: This statement is filed on behalf of each of the following persons (collectively, the "Reporting Persons") (i) Paolo Cavazza (ii) Claudio Cavazza (iii) Sigma-Tau Finanziaria SpA ("Sigma-Tau") (iv) Defiante Farmaceutica, L.D.A. ("Defiante") Item 2(b). Address of Principal Business Office: (i) Paolo Cavazza Via Tesserete, 10 Lugano, Switzerland (ii) Claudio Cavazza Via Sudafrica, 20 Rome, Italy 00144 (iii) Sigma-Tau Via Sudafrica, 20 Rome, Italy 00144 (iv) Defiante Rua dos Ferreiros, 260 Funchal-Madeira (Portugal) 9000-082 Item 2(c). Citizenship: (i) Paolo Cavazza is an Italian citizen. (ii) Claudio Cavazza is an Italian Citizen. (iii) Sigma-Tau is an Italian corporation. (iv) Defiante is a Portuguese corporation. Item 2(d). Title of Class of Securities: Common Stock, no par value (the "Shares") Item 2(e). CUSIP Number: 80862K104 -7- Item 3. If this statement is filed pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person is a: This Item 3 is not applicable Item 4. Ownership: Paolo Cavazza
(a) Amount beneficially owned: 3,318,956 (b) Percent of class: 7.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 384,615 (ii) shared power to vote or to direct the vote: 2,934,341 (iii) sole power to dispose or to direct the disposition of: 384,615 (iv) shared power to dispose or to direct the disposition of: 2,934,341 Claudio Cavazza (a) Amount beneficially owned: 2,844,387 (b) Percent of class: 6.4% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 384,615 (ii) shared power to vote or to direct the vote: 2,459,772 (iii) sole power to dispose or to direct the disposition of: 384,615 (iv) shared power to dispose or to direct the disposition of: 2,459,772 Sigma Tau (a) Amount beneficially owned: 2,459,772 (b) Percent of class: 5.5% (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: 2,459,772 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 2,459,772 -8- Defiante (a) Amount beneficially owned: 2,459,772 (b) Percent of class: 5.5% (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: 2,459,772 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 2,459,772
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: 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: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. -9- 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, 2004 Paolo Cavazza By: /s/ Paolo Cavazza ------------------------------- Name: Paolo Cavazza Dated: February 13, 2004 CLAUDIO CAVAZZA By: /s/ Claudio Cavazza ------------------------------- Name: Claudio Cavazza Dated: February 13, 2004 SIGMA TAU FINANZIARIA SPA By: /s/ Antonio Nicolai ------------------------------- Name: Antonio Nicolai Title: Managing Director Dated: February 13, 2004 Defiante Farmaceutica, L.D.A. By: /s/ Pedro Quintas ------------------------------ Name: Pedro Quintas Title: Director -10- EXHIBIT INDEX Page No. A. Joint Filing Agreement dated February 13, 2004 by and among Paolo Cavazza, Claudio Cavazza, Sigma Tau Finanziaria SpA and Defiante Farmaceutica, L.D.A.................................................... 13 -11- EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the Common Stock of SciClone Pharmaceuticals, Inc. dated as of February 13, 2004 is, and any amendments thereto signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(f) under the Securities Exchange Act of 1934. Dated: February 13, 2004 Paolo Cavazza By: /s/ Paolo Cavazza -------------------------------- Name: Paolo Cavazza Dated: February 13, 2004 CLAUDIO CAVAZZA By: /s/ Claudio Cavazza -------------------------------- Name: Claudio Cavazza Dated: February 13, 2004 SIGMA TAU FINANZIARIA SPA By: /s/ Antonio Nicolai ------------------------------- Name: Antonio Nicolai Title: Managing Director Dated: February 13, 2004 Defiante Farmaceutica, L.D.A. By: /s/ Pedro Quintas ------------------------------- Name: Pedro Quintas Title: Director
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