-----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, JEGnpwk8EajLM0EHO4RnOvVoTEOiEGaDIEhEA0R1WnTnX5AT8eu0zzE8If79/p09 8ifAdPczO+sG3TcrZqLKng== 0000907303-02-000043.txt : 20020414 0000907303-02-000043.hdr.sgml : 20020414 ACCESSION NUMBER: 0000907303-02-000043 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ISTA PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000930553 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 330511719 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-59537 FILM NUMBER: 02536958 BUSINESS ADDRESS: STREET 1: 15279 ALTON PARKWAY 100 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497886000 MAIL ADDRESS: STREET 1: 15279 ALTON PARKWAY 100 CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: ADVANCED CORNEAL SYSTEMS INC DATE OF NAME CHANGE: 20000403 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OTSUKA PHARMACEUTICAL CO LTD CENTRAL INDEX KEY: 0001034230 IRS NUMBER: 000000000 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 2-9 KANDA TSUKASA-CHO STREET 2: TOKYO 101-8535 CITY: JAPAN STATE: M0 ZIP: 00000 BUSINESS PHONE: 01181332920021 MAIL ADDRESS: STREET 1: 2-9 KANDA TSUKASA-CHO STREET 2: TOKYO 101-8535 CITY: JAPAN STATE: M0 ZIP: 00000 SC 13D 1 otsuka13d.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Under the Securities Exchange Act of 1934 ISTA Pharmaceuticals, Inc. -------------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 45031X 10 5 ----------- (CUSIP Number) December 19, 2001 ----------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) | | 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 disclosure provided in a prior cover page. The information required in the remainder of this coverage 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 4 pages CUSIP No. 45031X 10 5 13G Page 2 of 4 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON Otsuka Pharmaceuticals Co., Ltd. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON N/A - ------------------------------------------------------------------------------- 2 CHECKTHE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Japan - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 845,665 shares of common stock OWNED BY EACH --------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH -0- --------------------------------------------- 7 SOLE DISPOSITIVE POWER 845,665 shares of common stock --------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 845,665 shares of common stock - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- Page 3 of 4 Pages Item 1(a): NAME OF ISSUER ISTA Pharmaceuticals, Inc. Item 1(b): ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 15279 Alton Parkway 100 Irvine, CA 92618 Item 2(a): NAME OF PERSON FILING Otsuka Pharmaceutical Co., Ltd. Item 2(b): ADDRESS OF PRINCIPAL BUSINESS OFFICE 2-9, Kanda Tsukasa-cho Chidyoda-ku, Tokyo 101-8535 Japan Item 2(c): CITIZENSHIP Japan Item 2(d): TITLE OF CLASS OF SECURITIES Common Stock Item 2(e): CUSIP NUMBER 45031X 10 5 Item 3: This statement is not filed pursuant to Rules 13d-1(b) or 13d-2, and therefore this item is not applicable. Item 4: OWNERSHIP (a) Amount Beneficially Owned: 845,665 shares of Common Stock (b) Percent of Class 5.1% (c) Number of Shares as to Which Such Person Has: (i) sole power to vote or direct the vote: 845,665 shares of Common Stock (ii) shared power to vote or direct the vote -0- Page 4 of 4 Pages (iii) Sole power to dispose or to direct the disposition of: 845,665 Shares of Common Stock (iv) Shared power to dispose or to direct the disposition of: -0- Item 5: OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being to report the fact that as of 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. | | Item 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON N/A Item 7: IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY OR CONTROL PERSON N/A Item 8: IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A Item 9: NOTICE OF DISSOLUTION OF GROUP N/A Item 10: CERTIFICATION By signing below, I certify that to the best of my 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. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in the statement is true, complete and correct. February 1, 2002 _____________________________ Date /s/ Ichiro Otsuka _____________________________ Signature Ichiro Otsuka _____________________________ Name (Typed) -----END PRIVACY-ENHANCED MESSAGE-----