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Proc-Type: 2001,MIC-CLEAR
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SECURITIES AND EXCHANGE COMMISSION SCHEDULE 13DA UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Targeted Genetics Corporation Common Shares 368 67W 105 Ginette Depelteau January 22, 2003 If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7(b) 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. 2, dated January 22, 2003 is being filed jointly on behalf of Caisse de dépôt et placement du Québec ("CDPQ") and its wholly-owned subsidiary, Capital Technologies CDPQ inc. ("Capital") pursuant to Rule 13d-2(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to a Joint Filing Agreement dated January 22, 2003, between CDPQ and Capital, a copy of which is attached hereto as Exhibit A. Item 1 - Security and Issuer This statement is made with respect to the Common Shares (the "Shares") of Targeted Genetics Corporation ("Targeted"), a Washington corporation (the "Company"). The address of the principal executive offices of which is 1100 Olive Way, Seattle, WA, 98101. Item 2 - Identity and Background This Schedule 13DA is filed jointly on behalf of CDPQ, a legal person without share capital and a mandatary of the State of the Province de Québec, created by a special act of the Legislature of the Province de Québec, and Capital, a legal entity duly incorporated under part 1A of the Companies ACT (Québec) and a wholly-owned subsidiary of CDPQ, pursuant to Rule 13d-1(f)(1) under the Exchange Act. The principal business address and the principal office address of each of CDPQ and Capital is 1981, McGill College Avenue, Montréal, Québec, H3A 3C7. The names, business addresses and principal occupation of each director and executive officer of CDPQ and Capital are set forth in Exhibit B, attached hereto. Each of the directors and executive officers named in Exhibit B is a Canadian citizen, except Mr. John T. Wall who is an American citizen. To the best knowledge of CDPQ and Capital, none of the persons listed on Exhibit B has, during the last five years, (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, United States federal or state securities laws or finding any violation with respect to such laws. Item 3 - Source and Amount of Funds or Other Consideration The net Can. $15,395 paid for the 2,500 Shares acquired and beneficially owned by Capital were obtained from the working capital of Capital. Capital also sold 400,000 Shares for Can. $3,178,242. Item 4 - Purpose of Transaction Neither CDPQ nor Capital has any plans or proposals which relate to or would result in any of the actions or effects set forth in Item 5 of Schedule 13DA, although either of them may develop such plans or proposals. CDPQ and Capital intend to review on a continuing basis their investment in the Company. As of the date of this Schedule 13DA, no determination has been made by CDPQ or Capital to acquire additional shares of Common Stock or dispose of any shares of Common Stock now held by them, although either of them may decide to so acquire or dispose of shares of Common Stock. Any such determination will depend on market conditions prevailing from time to time and on other conditions which may be applicable depending on the nature of the transaction or transactions involved. Item 5 - Interest in Securities of Issuer Item 6 - Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Except as set forth in this Schedule 13DA, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the persons referred to in Item 2 of this Schedule 13DA or between such persons and any other person with respect to any of the securities of the Company, including, but not limited to, any relating to the transfer or voting of any of such securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss or the giving or withholding of proxies. Item 7 - Material to be Filed as Exhibits Exhibit A: Joint Filing Agreement dated January 22, 2003 by and between Capital and CDPQ After reasonable inquiry and to the best of my knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Signature Date: January 22, 2003 Capital Technologies CDPQ inc. Ginette Depelteau ----------------------------------------------------------------------- Ginette Depelteau, Corporate Secretary Caisse de dépot et placement du Québec Ginette Depelteau ----------------------------------------------------------------------- Ginette Depelteau, Vice-president and Corporate Secretary EXHIBIT C TABLE OF PURCHASES AND SALES SALES PRICE PER January
Washington, D.C. 20549
(Rule 13d-101)
(Name of Issuer)
(Title of Class of Securities)
(CUSIP Number)
Capital Technologies CDPQ inc.
(formely Sofinov, Société financière d'innovation inc.)
1981 McGill College Avenue, Montreal (Quebec), H3A 3C7
Tel.: (514) 847-5901
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
(Date of Event which Requires Filing of this Statement)
I.R.S. Identification nos. of above persons (entities only)
Capital Technologies CDPQ inc. (formely Sofinov, Société financière d'innovation Inc.)
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(a) [ ]
(b) [ ]
- -------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
WC
-------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
Montreal (Quebec) Canada
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3,600,000 Common Shares (includes 1,333,333 Shares of Common Stock of the company issuable upon exercise of a Warrant. See Item 4)
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- -------------------------------------------------------------------------------------------------------------
3,600,000 Common Shares
-------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
3,600,000 Common Shares
-------------------------------------------------------------------------------------------------------------
(See Instructions) [ ]
- -------------------------------------------------------------------------------------------------------------
6.99%
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CO
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I.R.S. Identification nos. of above persons (entities only)
Caisse de dépôt et placement du Québec
-------------------------------------------------------------------------------------------------------------
(a) [ ]
(b) [ ]
- -------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
WC
-------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
Montreal (Quebec) Canada
-------------------------------------------------------------------------------------------------------------
3,600,000 Common Shares (includes 1,333,333 Shares of Common Stock of the company issuable upon exercise of a Warrant. See Item 4)
-------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
3,600,000 Common Shares
-------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------------
3,600,000 Common Shares
-------------------------------------------------------------------------------------------------------------
(See Instructions) [ ]
- -------------------------------------------------------------------------------------------------------------
6.99%
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CO
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Exhibit B: List of Executive Officers and Directors of CDPQ and Capital Technologies CDPQ inc.
Exhibit C: Joint Filing Table of Dates, Number of Shares sold and price per Share of Sales
Signature
Name / Title
Signature
Name / Title
OF TARGETED GENETICS INC.
DATE
NUMBER OF
SHARES
SHARE IN
US DOLLARS
22
200,000
0.28
Sales effected in United States
EXHIBIT A
Agreement
The undersigned hereby agree that this statement on Schedule 13D with respect to beneficial ownership of shares of common stock of Targeted Genetics Inc. is filed jointly, on behalf of each of them.
Dated: January 22, 2003
Capital Technologies CDPQ inc.
By: Denis Dionne
Name: Denis Dionne
Title: President
By: Ginette Depelteau
Name: Ginette Depelteau
Title: Corporate Secretary
Caisse de dépot et placement du Québec
By: Claude Bergeron
Name: Claude Bergeron
Title: Vice-President, Legal Affairs
By: Ginette Depelteau
Name: Ginette Depelteau
Title: Vice-President and Corporate
Secretary
EXHIBIT B
LIST OF EXECUTIVE OFFICERS AND DIRECTORS
Capital Technologies CDPQ Inc.
DIRECTORS |
BUSINESS ADDRESS |
PRINCIPAL OCCUPATION |
Henri-Paul Rousseau |
Caisse de dépôt et placement du Québec |
Chairman and Chief |
Jacques M. Brault |
Financière Banque Nationale |
General Manager |
Denis Dionne |
Capital Technologies CDPQ Inc. |
President |
Claude Lajeunesse |
Ryerson Polytechnic University |
President and Vice- |
Serge Martin |
Martin International |
President |
Guy Morneau |
Régie des rentes du Québec |
Chairman of the Board |
André Nadeau |
CGI Group Inc. |
Executive Vice-President |
Louis Brunel |
Institut International des |
President and Chief |
Khalil Barsoum |
30 Valentine Drive |
OFFICERS |
BUSINESS ADDRESS |
PRINCIPAL OCCUPATION |
Henri-Paul Rousseau |
Caisse de dépôt et placement du Québec |
Chairman and Chief |
Denis Dionne |
Capital Technologies CDPQ Inc. |
President |
Ghislain Parent |
Caisse de dépôt et placement du Québec |
Vice-President, |
Ginette Depelteau |
Same |
Secretary |
LIST OF EXECUTIVE OFFICERS AND DIRECTORS
CAISSE DE DÉPÔT ET PLACEMENT DU QUÉBEC
DIRECTORS |
BUSINESS ADDRESS |
PRINCIPAL |
Henri-Paul Rousseau |
Caisse de dépôt et placement du Québec |
Chairman and Chief |
Guy Morneau |
Régie des rentes du Québec |
Chairman of the Board and President |
Jean-Claude Bachand |
Fraser Milner Casgrain |
Lawyer |
Bernard Bonin |
745, Hot Springs Way |
|
Claudette Carbonneau |
Confédération des syndicats nationaux |
President |
Alban D'Amours |
Mouvement des caisses Desjardins |
President |
Sylvie Dillard |
Fonds québécois de la recherche sur la nature et les technologies |
Member and President of the board and Chief Executive Officer |
Yves Filion |
Hydro-Québec Distribution |
President |
Gilles Godbout |
Ministère des Finances |
Deputy Minister, Finance, Economy and Research |
Thomas O. Hecht |
Technologies IBEX Inc. |
Chairman Emeritus |
Henri Massé |
Fédération des travailleurs et travailleuses du Québec |
President |
Nicole Trudeau |
Commission municipale du Québec |
Vice-President |
Duc Vu |
Commission administrative des régimes de retraite et d'assurances |
President |
John T. Wall |
6601, Radnor Road |
OFFICERS |
BUSINESS ADDRESS |
PRINCIPAL |
Henri-Paul Rousseau |
Caisse de dépôt et placement du Québec |
Chairman and Chief |
Fernand Perreault |
Same |
President, CDP Capital - |
Richard Guay |
Same |
Executive Vice-President, |
Ghislain Parent |
Same |
Executive Vice-President, |
François Geoffrion |
Same |
Executive Vice-President, |
Ginette Depelteau |
Same |
Vice-President and Corporate Secretary |