-----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, S4SBjfIPBuwaLF+2nKS4jjfDji9nUcFRrBv72TXxFoOw/Aj6i0Bls57wauIE1Wfb zkzB0vxVprV78BCUl+kLvQ== 0000893220-99-000007.txt : 19990111 0000893220-99-000007.hdr.sgml : 19990111 ACCESSION NUMBER: 0000893220-99-000007 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990108 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NPS PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000890465 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 870439579 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-44877 FILM NUMBER: 99503092 BUSINESS ADDRESS: STREET 1: 420 CHIPETA WAY SUITE 240 CITY: SALT LAKE CITY STATE: UT ZIP: 84108-1256 BUSINESS PHONE: 8015834939 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: S R ONE LTD CENTRAL INDEX KEY: 0000923194 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 565 E SWEDESFORD RD STREET 2: STE 315 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6102932404 MAIL ADDRESS: STREET 1: BAY COLONY EXEC PARK STREET 2: 565 E SWEDESFORD RD STE 315 CITY: WAYNE STATE: PA ZIP: 19087 SC 13D/A 1 SR ONE LTD. AMENDMENT #3 TO SC 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3) NPS Pharmaceuticals, Inc ------------------------ (Name of Issuer) Common Stock, $.001 Par Value ------------------------------ (Title of Class of Securities) 62936P103 -------------- (CUSIP Number) Donald F. Parman, SmithKline Beecham Corporation One Franklin Plaza, Philadelphia, PA 19102 Telephone 215-751-7633 ----------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 29, 1998 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 ("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). This Amendment No. 3 amends and supplements the Statement on Schedule 13D electronically filed on December 15, 1997, Amendment No. 1 electronically filed on January 9, 1998, and Amendment No. 2 electronically filed on November 5, 1998 with respect to the ownership of securities of NPS Pharmaceuticals, Inc. The undersigned hereby amends and supplements Item 5 of the Initial Statement by the following information (capitalized terms used herein without definition shall have the same meaning as set forth in the Initial Statement). Since the reporting person now holds less than 5% with this filing, further reporting under Schedule 13D is no longer required. 2 SCHEDULE 13D CUSIP NO. 62936P103 PAGE 2 OF 6 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON S.R. One, Limited 23-1729901 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /x/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Pennsylvania Business Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 2,700 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 2,700 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,700 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .0002% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- 3 SCHEDULE 13D CUSIP NO. 62936P103 PAGE 3 OF 6 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SmithKline Beecham Corporation 23-1099050 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /x/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Pennsylvania - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 364,000 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 364,000 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 364,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.90% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 Page 4 of 6 Pages Item 1. Security and Issuer. Item 2. Identity and Background. Item 3. Source and Amount of Funds or Other Consideration. Item 4. Purpose of Transaction. 5 Page 5 of 6 Pages Item 5. Interest in Securities of the Issuer. (a) Amount and Percent Beneficially Owned
Registered Name No. of Shares Percent --------------- ------------- ------- SRO 2,700 .0002% SBCorp 364,000 2.90% ------- ------ 366,700 2.9002%
(b) (c) The reporting person sold 714,901 shares of Common Stock in the open market in the following manner: (d)
Registered Name Transaction Date Number of Share Price Per Share - --------------- ---------------- --------------- ---------------- S.R. One, Limited December 16, 1998 10,000 $6.13 S.R. One, Limited December 16, 1998 15,000 $6.00 S.R. One, Limited December 18, 1998 46,901 $6.13 S.R. One, Limited December 21, 1998 75,000 $6.13 S.R. One, Limited December 22, 1998 25,000 $6.13 S.R. One, Limited December 24, 1998 540,000 $5.88 S.R. One, Limited December 29, 1998 3,000 $6.63
(d) (e) Item 6. Contracts, Arrangements, Understandings or Relationship With respect to Securities of the Issuer. Item 7. Materials to be Filed as Exhibits. 6 Page 6 of 6 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in the Statement is true, correct and complete. DATED: January 8, 1999 S.R. ONE, LIMITED By: /s/ Donald F. Parman -------------------------- Donald F. Parman Vice President and Secretary -----END PRIVACY-ENHANCED MESSAGE-----