-----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, TK1ltezTLzzd0zwOz1HXNnY/p1zaJZw0kjXTdMMAqEi9Omj2JEy4vhGg3UkPK60y QU8ees/x8f7edsYWh23j8Q== 0000950005-03-000136.txt : 20030210 0000950005-03-000136.hdr.sgml : 20030210 20030207191834 ACCESSION NUMBER: 0000950005-03-000136 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030210 GROUP MEMBERS: ALIX MARDUEL GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT PARTNERS, LLC. GROUP MEMBERS: ALTA BIOPHARMA PARTNERS, L.P. GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS, LLC GROUP MEMBERS: ALTA PARTNERS GROUP MEMBERS: ALTA/CHASE BIOPHARMA MANAGEMENT, LLC GROUP MEMBERS: DANIEL JANNEY GROUP MEMBERS: DYAX CHASE PARTNERS (ALTA BIO), LLC GROUP MEMBERS: GARRETT GRUENER GROUP MEMBERS: GUY NOHRA GROUP MEMBERS: JEAN DELEAGE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DYAX CORP CENTRAL INDEX KEY: 0000907562 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 043053198 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60267 FILM NUMBER: 03545692 BUSINESS ADDRESS: STREET 1: ONE KENDALL SQ BLDG 600 5TH FL CITY: CAMBRIDGE STATE: MA ZIP: 02139 MAIL ADDRESS: STREET 1: ONE KENDALL SQ BLDG 600 STREET 2: 5TH FL CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: BIOTAGE INC DATE OF NAME CHANGE: 19951117 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G/A 1 p16596_sc13ga.txt AMENDMENT TO SCHEDULE 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response......11 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G (Amendment No. 2)* INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) DYAX CORP. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 26746E103 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 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). Page 1 of 16 Pages CUSIP No. 26746E103 Page 2 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta Partners - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 3 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta BioPharma Partners, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 4 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta BioPharma Management Partners, LLC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 5 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Dyax Chase Partners (Alta Bio), LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 6 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta Embarcadero BioPharma Partners, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 7 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta/Chase BioPharma Management, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 8 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Jean Deleage - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 9 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Garrett Gruener - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 10 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Daniel Janney - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 11 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alix Marduel - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER 54,500 -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 54,500 WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,390,647 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.06% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 26746E103 Page 12 of 16 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Guy Nohra - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,336,147 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,336,147 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,147 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.78% - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Dyax Corp. ("Issuer") (b) Address of Issuer's Principal Executive Offices: One Kendall Square, Building 600, Suite 623 Cambridge, MA 02139 Item 2. (a) Name of Person Filing: Alta Partners ("AP") Alta BioPharma Partners, L.P. ("ABP") Alta BioPharma Management Partners, LLC. ("ABMP") Alta Embarcadero BioPharma Partners, LLC ("AEBP") Dyax Chase Partners (Alta Bio), LLC ("DCP") Alta/Chase BioPharma Management, LLC ("ACMP") Jean Deleage ("JD") Garrett Gruener ("GG") Dan Janney ("DJ") Alix Marduel ("AM") Guy Nohra ("GN") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: AP - California ABP - Delaware ABMP Delaware AEBP California DCP Delaware ACMP Delaware Individuals: JD United States GG United States DJ United States AM United States GN United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 26746E103 (f) Item 3. Not applicable. Item 4 Ownership. Please see Attachment A
- ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- AP ABP ABMP AEBP DCP ACMP - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (a) Beneficial Ownership 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (b) Percentage of Class 6.78% 6.78% 6.78% 6.78% 6.78% 6.78% - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (c) Sole Voting Power -0- -0- -0- -0- -0- -0- - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- Shared Voting Power 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- Sole Dispositive Power -0- -0- -0- -0- -0- -0- - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- Shared Dispositive Power 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- JD GG DJ AM GN - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (a) Beneficial Ownership 1,336,147 1,336,147 1,336,147 1,390,647 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (b) Percentage of Class 6.78% 6.78% 6.78% 7.06% 6.78% - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- (c) Sole Voting Power -0- -0- -0- 54,500 -0- - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- Shared Voting Power 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- Sole Dispositive Power -0- -0- -0- 54,500 -0- - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- -------------- m Shared Dispositive Power 1,336,147 1,336,147 1,336,147 1,336,147 1,336,147 - ------- ---------------------------- ----------- ----------- ----------- ------------ ------------- --------------
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 No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below we certify that, to the best of our 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. EXHIBITS A: Joint Filing Statement 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. Date: February 5, 2003 ALTA PARTNERS ALTA BIOPHARMA PARTNERS, L.P. By: Alta BioPharma Management Partners, LLC By: /s/ Jean Deleage By: /s/ Alix Marduel ------------------------------------ ----------------------------- Jean Deleage, President Alix Marduel, Managing Director ALTA BIOPHARMA MANAGEMENT PARTNERS, LLC ALTA EMBARCADERO BIOPHARMA PARTNERS, LLC By: /s/ Alix Marduel By: /s/ Jean Deleage ------------------------------------ ----------------------------- Alix Marduel, Member Jean Deleage, Member DYAX CHASE PARTNERS (ALTA BIO), LLC ALTA/CHASE BIOPHARMA MANAGEMENT, By: Alta/Chase BioPharma Management, LLC LLC By: /s/ Alix Marduel By: /s/ Alix Marduel ------------------------------------ ----------------------------- Alix Marduel, Member Alix Marduel, Member /s/ Jean Deleage /s/ Guy Nohra - ------------------------------------ --------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Alix Marduel - ------------------------------------ --------------------------------- Garrett Gruener Alix Marduel /s/ Daniel Janney - ------------------------------------ Daniel Janney EXHIBIT A AGREEMENT OF JOINT FILING We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: February 5, 2003 ALTA PARTNERS ALTA BIOPHARMA PARTNERS, L.P. By: Alta BioPharma Management Partners, LLC By: /s/ Jean Deleage By: /s/ Alix Marduel ------------------------------------ ----------------------------- Jean Deleage, President Alix Marduel, Managing Director ALTA BIOPHARMA MANAGEMENT PARTNERS, LLC ALTA EMBARCADERO BIOPHARMA PARTNERS, LLC By: /s/ Alix Marduel By: /s/ Jean Deleage ------------------------------------ ----------------------------- Alix Marduel, Member Jean Deleage, Member DYAX CHASE PARTNERS (ALTA BIO), LLC ALTA/CHASE BIOPHARMA MANAGEMENT, By: Alta/Chase BioPharma Management, LLC LLC By: /s/ Alix Marduel By: /s/ Alix Marduel ------------------------------------ ----------------------------- Alix Marduel, Member Alix Marduel, Member /s/ Jean Deleage /s/ Guy Nohra - ------------------------------------ --------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Alix Marduel - ------------------------------------ --------------------------------- Garrett Gruener Alix Marduel /s/ Daniel Janney - ------------------------------------ Daniel Janney Attachment A Alta Partners provides investment advisory services to several venture capital funds, including Alta BioPharma Partners, L.P. ("Alta BioPharma"), Alta Embarcadero BioPharma, LLC ("Alta Embarcadero") and Dyax Chase Partners (Alta Bio), LLC ("Dyax Chase"). Alta BioPharma beneficially owns 830,530 shares of Common Stock, Dyax Chase beneficially owns 474,312 shares of Common Stock and Alta Embarcadero beneficially owns 31,305 shares of Common Stock. The general partner of Alta BioPharma, members of Alta Embarcadero and the managing member of Dyax Chase exercise sole voting and investment power with respect to the shares held by the funds. Certain Principals of Alta Partners are managing directors of Alta BioPharma Management Partners, LLC ("Alta BioPharma Mgmt.") and Alta/Chase Management Partners LLC (the general partner of Alta BioPharma and the managing member of Dyax Chase). As managing directors, they may be deemed to share voting and investment powers of the shares held by the fund. These principals disclaim beneficial ownership of all such funds held by the aforementioned fund, except to the extent of their proportionate pecuniary interests therein. Certain Principals of Alta Partners are members of Alta Embarcadero. As members of the fund, they may be deemed to share voting and investment powers for the shares held by the fund. These Principals disclaim beneficial ownership of all such shares held by Alta Embarcadero except to the extent of their proportionate pecuniary interests therein. Dr. Alix Marduel, a director of the Company, is a managing director of Alta BioPharma Mgmt. (which is the general partner of Alta BioPharma), and a managing director of Alta/Chase Management Partners LLC (which is the managing member of Dyax Chase). Thus she shares voting and dispositive powers of over the 830,530 shares beneficially owned by Alta BioPharma, and the 474,312 shares beneficially owned by Dyax Chase. As a managing director she may be deemed to share voting or investment powers with respect to the shares held by all of the forgoing funds. Dr. Marduel disclaims beneficial ownership of all such funds, except to the extent of her proportionate pecuniary interest therein. Dr. Marduel holds options to purchase 54,500 shares of Dyax Common Stock. The option for 20,000 shares was granted on 11/30/99; the vesting schedule was 15,000 shares were vested on the date of grant and the remaining 5,000 shares vested on 6/30/01. The option for 7,500 shares was granted on 5/17/01 and it vested 1/12th per month in equal installments commencing the date of grant. The option for 27,000 shares was granted on 5/16/02 and it will vest 1/36th per month in equal installments commencing on the date of grant. Mr. Jean Deleage is a managing director of Alta BioPharma Mgmt. (which is the general partner of Alta BioPharma), a managing director of Alta/Chase Management Partners LLC (which is the managing member of Dyax Chase), and a member of Alta Embarcadero. Thus he shares voting and dispositive powers of over the 830,530 shares beneficially owned by Alta BioPharma, the 474,312 shares beneficially owned by Dyax Chase and the 31,305 shares of Alta Embarcadero. Mr. Deleage disclaims beneficial ownership of the shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Garrett Gruener is a managing director of Alta BioPharma Mgmt. (which is the general partner of Alta BioPharma), a managing director of Alta/Chase Management Partners LLC (which is the managing member of Dyax Chase), and a member of Alta Embarcadero. Thus he shares voting and dispositive powers of over the 830,530 shares beneficially owned by Alta BioPharma, the 474,312 shares beneficially owned by Dyax Chase and the 31,305 shares of Alta Embarcadero. Mr. Gruener disclaims beneficial ownership of the shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Page 1 of 2 of Attachment A Page 2 of 2 of Attachment A Mr. Daniel Janney is a managing director of Alta BioPharma Mgmt. (which is the general partner of Alta BioPharma), and a managing director of Alta/Chase Management Partners LLC (which is the managing member of Dyax Chase). Thus he shares voting and dispositive powers of over the 830,530 shares beneficially owned by Alta BioPharma, and the 474,312 shares beneficially owned by Dyax Chase. Mr. Janney disclaims beneficial ownership of the shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Guy Nohra is a managing director of Alta BioPharma Mgmt. (which is the general partner of Alta BioPharma), and a managing director of Alta/Chase Management Partners LLC (which is the managing member of Dyax Chase). Thus he shares voting and dispositive powers of over the 830,530 shares beneficially owned by Alta BioPharma, and the 474,312 shares beneficially owned by Dyax Chase. Mr. Nohra disclaims beneficial ownership of the shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Alta Partners is a venture capital company with an office in San Francisco. Alta Partners is California Corporation. Alta BioPharma Partners, L.P. is a Delaware Limited Partnership, Dyax Chase Partners (Alta Bio), LLC is a Delaware Limited Liability Company, and Alta Embarcadero BioPharma Partners, LLC is a California Limited Liability Company. -----END PRIVACY-ENHANCED MESSAGE-----