-----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, MXERlsePT5r6s8DO6djaRaUczKh8lcO650UK/f9z4Vx/r57FKAckC6NpGpttIGJI xpeSQaEqqY5ln14lPsAqmw== 0001005477-99-000704.txt : 19990217 0001005477-99-000704.hdr.sgml : 19990217 ACCESSION NUMBER: 0001005477-99-000704 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: ANN H. LAMONT GROUP MEMBERS: BANDEL L. CARANO GROUP MEMBERS: EDWARD F. GLASSMEYER GROUP MEMBERS: EILEEN M. MORE GROUP MEMBERS: FREDRIC W. HARMAN GROUP MEMBERS: GERALD R. GALLAGHER GROUP MEMBERS: OAK ASSOCIATES V, LLC GROUP MEMBERS: OAK INVESTMENT PARTNERS V, LIMITED PARTNERSHIP GROUP MEMBERS: OAK MANAGEMENT CORP GROUP MEMBERS: OAK MANAGEMENT CORPORATION GROUP MEMBERS: OAK V AFFILIATES GROUP MEMBERS: OAK V AFFILIATES FUND, LIMITED PARTNERSHIP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALEXION PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000899866 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133648318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-47771 FILM NUMBER: 99542675 BUSINESS ADDRESS: STREET 1: 25 SCIENCE PARK STREET 2: STE 360 CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 2037761790 MAIL ADDRESS: STREET 1: 25 SCIENCE PARK STREET 2: STE 360 CITY: NEW HAVEN STATE: CT ZIP: 06511 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OAK MANAGEMENT CORP CENTRAL INDEX KEY: 0001030818 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------ SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Alexion Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock Par Vaue $.0001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 015351109 - -------------------------------------------------------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- (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) |_| Rule 13d-1 (c) |X| 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 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). CUSIP No. 015351109 13G Page 2 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Management Corporation 06-0990851 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). CO - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 3 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Investment Partners V, Limited Partnership 06-1332464 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 515,099 shares of commom stock (6) Shared voting power: Not Applicable (7) Sole dispositive power: 515,099 shares of commom stock (8) Shared dispositive power: Not Applicable - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 515,099 shares of commom stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.6% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 4 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Associates V, LLC 06-1332465 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 515,099 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 515,099 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 515,099 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.6% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). OO-LLC - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 5 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak V Affiliates Fund, Limited Partnership 06-1334685 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 11,585 shares of common stock (6) Shared voting power: Not applicable (7) Sole dispositive power: 11,585 shares of common stock (8) Shared dispositive power: Not applicable - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 11,585 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. .10% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 6 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak V Affiliates 06-1334686 - -------------------------------------------------------------------------------- (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. Connecticut - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 11,585 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 11,585 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 11,585 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. .10% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 7 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Bandel L. Carano - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 8 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Gerald R. Gallagher - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 9 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Edward F. Glassmeyer - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 10 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Fredric W. Harman - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 11 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Ann H. Lamont - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 015351109 13G Page 12 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Eileen M. More - -------------------------------------------------------------------------------- (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. United States - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 526,684 shares of common stock (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 526,684 shares of common stock - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 526,684 shares of common stock - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 4.7% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- Page 13 of 19 Pages Schedule 13G Amendment No. 2 Common Stock, Par Value $.0001 CUSIP No. 015351109 Item 1(a) Name of Issuer: Alexion Pharmaceuticals, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 25 Science Park, Suite 360 New Haven, CT 06511 Item 2(a) Name of Person filing: Oak Investment Partners V, Limited Partnership Oak Associates V, LLC Oak V Affiliates Fund, Limited Partnership Oak V Affiliates Oak Management Corporation Bandel L. Carano Gerald R. Gallagher Edward F. Glassmeyer Fredric W. Harman Ann H. Lamont Eileen M. More Item 2(b) Address of Principal Business Office or, if none, Residence: c/o Oak Management Corporation One Gorham Island Westport, CT 06880 Item 2(c) Citizenship: Please refer to Item 4 on each cover sheet for each filing person Item 2(d) Title of Class of Securities: Common stock, $.0001 par value Item 2(e) CUSIP Number: 015351109 Item 3 Not Applicable. Item 4 Ownership. The approximate percentages of shares of Common Stock reported as beneficially owned by the Reporting Entities is based upon 11,281,324 shares outstanding as of December 12, 1998, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended October 31, 1998, plus the shares issuable upon exercise of the options described in the following sentence. Amounts shown as beneficially owned include currently exercisable options to purchase 30,122 shares of Common Stock and 678 shares of Common Stock which may be deemed to be held by Eileen M. More on behalf of Oak Investment Partners V, Limited Partnership, and Oak V Affiliates Fund, Limited Partnership, respectively. Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing entity. 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 five 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. 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. Not applicable 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 16, 1999 Oak Investment Partners V, Limited Partnership By: Oak Associates V, LLC, As General Partner By: /s/ Eileen M. More ---------------------------------------- Managing Member Oak Associates V, LLC By: /s/ Eileen M. More ---------------------------------------- Managing Member Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Eileen M. More ---------------------------------------- General Partner Oak V Affiliates By: /s/ Eileen M. More ---------------------------------------- General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ---------------------------------------- Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ---------------------------------------- Bandel L. Carano /s/ Fredric W. Harman ---------------------------------------- Fredric W. Harman /s/ Gerald R. Gallagher ---------------------------------------- Gerald R. Gallagher /s/ Edward F. Glassmeyer ---------------------------------------- Edward F. Glassmeyer /s/ Ann H. Lamont ---------------------------------------- Ann H. Lamont /s/ Eileen M. More ---------------------------------------- Eileen M. More INDEX TO EXHIBITS Page ---- EXHIBIT A Agreement of Reporting Persons 18 Exhibit A Each of the undersigned hereby agrees that Amendment No. 2 to the Schedule 13G filed on the date hereof with respect to the shares of Common Stock of Alexion Pharmaceuticals, Inc. has been filed on behalf of the undersigned. Signature: Dated February 16, 1999 Oak Investment Partners V, Limited Partnership By: Oak Associates V, LLC, As General Partner By: /s/ Eileen M. More ---------------------------------------- Managing Member Oak Associates V, LLC By: /s/ Eileen M. More ---------------------------------------- Managing Member Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Eileen M. More ---------------------------------------- General Partner Oak V Affiliates By: /s/ Eileen M. More ---------------------------------------- General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ---------------------------------------- Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ---------------------------------------- Bandel L. Carano /s/ Fredric W. Harman ---------------------------------------- Fredric W. Harman /s/ Gerald R. Gallagher ---------------------------------------- Gerald R. Gallagher /s/ Edward F. Glassmeyer ---------------------------------------- Edward F. Glassmeyer /s/ Ann H, Lamont ---------------------------------------- Ann H. Lamont /s/ Eileen M. More ---------------------------------------- Eileen M. More -----END PRIVACY-ENHANCED MESSAGE-----