-----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, WmNSMmY0q8KdhvSt5IrNH3zrwJsC14AHH/LL+0fJLy/nsOQJ5q84FuSh3w+I4P4Z cN887NYUHprLQWu6geHNdg== 0000950123-00-002074.txt : 20000309 0000950123-00-002074.hdr.sgml : 20000309 ACCESSION NUMBER: 0000950123-00-002074 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000308 GROUP MEMBERS: JOHNSON & JOHNSON GROUP MEMBERS: JOHNSON & JOHNSON DEVELOPMENT CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELL THERAPEUTICS INC CENTRAL INDEX KEY: 0000891293 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 911533912 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48459 FILM NUMBER: 563517 BUSINESS ADDRESS: STREET 1: 201 ELLIOTT AVE W STREET 2: STE 400 CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 2062707100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON & JOHNSON CENTRAL INDEX KEY: 0000200406 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 221024240 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE JOHNSON & JOHNSON PLZ CITY: NEW BRUNSWICK STATE: NJ ZIP: 08933 BUSINESS PHONE: 9085240400 SC 13D/A 1 FINAL AMENDMENT TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (FINAL AMENDMENT )* CELL THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 150934 10 7 (CUSIP Number) James J. Bergin, Esq. Johnson & Johnson One Johnson & Johnson Plaza New Brunswick, NJ 08933 (723) 524-2383 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 28, 2000 (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. [ ] 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). Page 1 of 9 Pages 2 SCHEDULE 13D - --------------------------------- ------------------------------- CUSIP NO. 150934 10 7 PAGE 2 OF 9 PAGES - --------------------------------- ------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Johnson & Johnson 22-1024240 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New Jersey - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH REPORTING PERSON WITH --------------------------------------------------------------- 8 SHARED VOTING POWER 95,762 --------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 95,762 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 95,762 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .55% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 3 SCHEDULE 13D - --------------------------------- ------------------------------- CUSIP NO. 150934 10 7 PAGE 3 OF 9 PAGES - --------------------------------- ------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Johnson & Johnson Development Corporation 22-2007137 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (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 New Jersey - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH REPORTING PERSON WITH --------------------------------------------------------------- 8 SHARED VOTING POWER 95,762 --------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 95,762 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 95,762 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) .55% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 4 CUSIP 150934 10 7 Page 4 of 9 Pages Final Amendment to Schedule 13D This Statement amends Items 2 and 5 of the Statement on Schedule 13D (the "Schedule 13D") relating to the shares of Common Stock, no par value, of Cell Therapeutics, Inc., a Washington corporation (the "Company") originally filed with the Securities and Exchange Commission on November 6, 1997 by Johnson & Johnson ("J&J") and Johnson & Johnson Development Corporation ("JJDC"), both New Jersey corporations. Capitalized terms used but not otherwise defined herein have the same meaning as in the Schedule 13D. Item 2. Identity and Background Item 2 is hereby amended by deleting the information in Schedule A attached to the Schedule 13D and substituting in lieu the Schedule A attached hereto. Schedule A sets forth the name, business address, citizenship and present principal occupation of each of the officers and directors of J&J and JJDC. Item 5. Interest in Securities of the Issuer: Item 5 is hereby amended by deleting the information in Item 5 of the Schedule 13D and substituting in lieu the information below. (a) As of the date hereof, J&J and JJDC each had beneficial ownership of an aggregate 95,762 shares of Common Stock, which constituted approximately .55% of the outstanding shares of Common Stock of the Company at that time. The percentage amount set forth above is based upon the number of shares of Common Stock issued and outstanding as of November 15, 1999, as reported in the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1999, and as adjusted by the Company's report on Form 8-K dated January 25, 2000 (b) J&J and JJDC each have shared power to vote and shared power to dispose of all shares described in paragraph (a) above. (c) There were no transactions in the Common Stock of the Company effected by J&J during the past sixty days. Set forth below is a list of the transactions in the Common Stock of the Company effected by JJDC during the last sixty days: 5 CUSIP 150934 10 7 Page 5 of 9 Pages
Amount of Date of Securities Price per Acquired or (A) Where and How Transaction Involved Share Disposed (D) Transaction Effected 2/28/00 215,000 $31.30 (D) Over the Counter through a broker 2/29/00 250,000 $35.98 (D) Over the Counter through a broker 3/01/00 235,000 $44.38 (D) Over the Counter through a broker 3/02/00 72,500 $42.62 (D) Over the Counter through a broker
To the best knowledge of J&J and JJDC, no director or executive officer of J&J or JJDC beneficially owns any shares of Common Stock or other securities of the Company. Neither J&J nor JJDC is aware of any other transaction in such securities during the past sixty (60) days by any of its executive officers or directors. (d) Not applicable. (e) The Reporting Person ceased to be the owner of more than five percent (5%) of the Common Stock on January 13, 2000. On that day the Company completed its acquisition of PolaRx Biopharmaceuticals Inc. in consideration of which the Company issued 2 million additional shares of Common Stock to the shareholders of PolaRx. As a result of this additional issuance, the percentage of Common Stock held by the Reporting Person was reduced to four point nine two percent (4.92%) of the outstanding Common Stock. The percentage amount set forth above is based upon the number of shares of Common Stock issued and outstanding as of November 15, 1999, as reported in the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 1999 as adjusted by the Company's report on Form 8-K dated January 25, 2000. This is a final amendment to the Schedule 13D. 6 CUSIP 150934 10 7 Page 6 of 9 Pages 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. JOHNSON & JOHNSON Dated: March 8, 2000 By /s/ M. Ullmann ----------------------------- Name: Michael Ullmann Title: Secretary JOHNSON & JOHNSON DEVELOPMENT CORPORATION Dated: March 8, 2000 By /s/ E. B. Jung ----------------------------- Name: Eric B. Jung Title: Secretary 7 CUSIP 150934 10 7 Page 7 of 9 Pages SCHEDULE A Board of Directors and Executive Officers of Johnson & Johnson The directors and executive officers of Johnson & Johnson are identified in the table below. Directors of Johnson & Johnson are indicated by an asterisk.
Name Business Address Citizenship Principal Occupation - ---- ---------------- ----------- -------------------- 1. Gerard N. Burrow M.D.(*) Yale New Haven School of Medicine United States Special Adisor to the President of 333 Cedar Street Yale University for Health Affairs New Haven, CT 06510 2. Joan Ganz Cooney (*) Children's Television Workshop United States Chairman, Children's Television One Lincoln Plaza Workshop New York, NY 10023 3. James G. Cullen (*) Bell Atlantic Corporation United States President and Chief Operating 1310 North Court House Road Officer, Bell Atlantic Corporation Arlington, VA 22201 4. Robert J. Darretta Johnson & Johnson United States Vice President, Finance and One Johnson & Johnson Plaza Member, Executive Committee of New Brunswick, NJ 08933 Johnson & Johnson 5. Russell C. Deyo Johnson & Johnson United States Vice President, Administration, One Johnson & Johnson Plaza and Member, Executive Committee of New Brunswick, NJ 08933 Johnson & Johnson 6. Roger S. Fine Johnson & Johnson United States Vice President and General Counsel One Johnson & Johnson Plaza and Member, Executive Committee of New Brunswick, NJ 08933 Johnson & Johnson 7. M. Judah Folkman, M.D.(*) Children's Hospital United States Senior Associate in Surgery and Harvard Medical School Director at Children's Hospital Boston, Ma and Professor of Cell Biology at Harvard Medical School 8. JoAnn H. Heisen Johnson & Johnson United States Corporate Vice President, Chief One Johnson & Johnson Plaza Information Officer, and Member, New Brunswick, NJ 08933 Executive Committee of Johnson & Johnson 9. Ann Dibble Jordan (*) Johnson & Johnson United States Former Director of the Social One Johnson & Johnson Plaza Services Department, Chicago New Brunswick, NJ 08933 Lying-In Hospital 10. Christian A. Koffmann Johnson & Johnson France Member, Executive Committee of One Johnson & Johnson Plaza Johnson & Johnson New Brunswick, NJ 08933
8 CUSIP 150934 10 7 Page 8 of 9 Pages
Name Business Address Citizenship Principal Occupation - ---- ---------------- ----------- -------------------- 11. Arnold G. Langbo (*) 111 Capital Avenue, S.W. Canada Chairman of the Board of the Battle Creek, MI 49015 Kellogg Company 12. Ralph S. Larsen (*) Johnson & Johnson United States Chairman, Board of Directors, One Johnson & Johnson Plaza Chief Executive Officer and New Brunswick, NJ 08933 Chairman, Executive Committee, of Johnson & Johnson 13. James T. Lenehan Johnson & Johnson United States Member, Executive Committee of One Johnson & Johnson Plaza Johnson & Johnson New Brunswick, NJ 08933 14. John S. Mayo Ph.D.(*) AT&T Bell Laboratories, Inc. United States President, Emeritus, AT&T Bell 600 Mountain Avenue Laboratories, Inc. Murray Hill, NJ 07974 15. Leo F. Mullin (*) Delta Airlines, Inc. United States Chairman and Chief Executive Officer of Delta Airlines, Inc. 16. Brian D. Perkins Johnson & Johnson United States Member, Executive Committee of One Johnson & Johnson Plaza Johnson & Johnson New Brunswick, NJ 08933 17. Paul J. Rizzo (*) IBM Corporation United States Retired Vice Chairman of Old Orchard Road International Business Machines Armonk, NY 10504 Corporation 18. Henry B. Schact (*) Lucent Technologies United States Former Chairman and Chief 600 Mountain Avenue Executive Officer of Lucent Murray Hill, N.J. 07974 Technologies 19. Maxine F. Singer, Ph.D.(*) Carnegie Institution of United States President of the Carnegie Washington Institution of Washington 1530 P Street, N.W. Washington, D.C. 20005-1910 20. John W. Snow (*) CSX Corporation United States Chairman, President and Chief Executive Officer of CSX Corporation 21. Robert N. Wilson (*) Johnson & Johnson United States Vice Chairman, Board of Directors One Johnson & Johnson Plaza and Vice Chairman, Executive New Brunswick, NJ 08933 Committee of Johnson & Johnson
9 CUSIP 150934 10 7 Page 9 of 9 Pages Board of Directors and Executive Officers of Johnson & Johnson Development Corporation The directors and executive officers of Johnson & Johnson Development Corporation are identified in the table below. Directors of Johnson & Johnson Development Corporation are indicated by an asterisk.
Name Business Address Citizenship Principal Occupation 1. James R. Utaski(*) Johnson & Johnson United States Vice President of Johnson & Johnson and One Johnson & Johnson Plaza Chairman of New Brunswick, NJ 08933 Johnson & Johnson Development Corporation 2. Larry G. Pickering(*) Johnson & Johnson United States President of One Johnson & Johnson Plaza Johnson & Johnson Development Corporation New Brunswick, NJ 08933 3. James R. Hilton (*) Johnson & Johnson United States Associate General Counsel of Johnson & One Johnson & Johnson Plaza Johnson; and Assistant Secretary of Johnson & New Brunswick, NJ 08933 Johnson Development Corporation 4. Eric B. Jung (*) Johnson & Johnson United States Assistant Secretary of Johnson & Johnson; and One Johnson & Johnson Plaza Secretary of Johnson & Johnson Development New Brunswick, NJ 08933 Corporation 5. Roy Cosan Johnson & Johnson United States Vice President of Johnson & Johnson One Johnson & Johnson Plaza Development Corporation New Brunswick, NJ 08933 6. Susan Lambert Johnson & Johnson United Vice President of One Johnson & Johnson Plaza Kingdom Johnson & Johnson Development New Brunswick, NJ 08933 Corporation 7. Ting Pau Oei Johnson & Johnson United States Vice President of One Johnson & Johnson Plaza Johnson & Johnson Development Corporation New Brunswick, NJ 08933 8. Brad Vale, D.V.M. Johnson & Johnson United States Vice President of One Johnson & Johnson Plaza Johnson & Johnson Development Corporation New Brunswick, NJ 08933 9. Z. Zehavi Johnson & Johnson United States Vice President of One Johnson & Johnson Plaza Johnson & Johnson Development Corporation New Brunswick, NJ 08933
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