-----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, VokAu8e465jbRxtPH00KP7wIaIxbVublSgkGTt16fqb41qm0mn2ShVtZAY7YOnvC LKOa7lpTqRbgOezhXyrUmg== /in/edgar/work/20000905/0001095811-00-003182/0001095811-00-003182.txt : 20000922 0001095811-00-003182.hdr.sgml : 20000922 ACCESSION NUMBER: 0001095811-00-003182 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000905 GROUP MEMBERS: ALLERGAN HOLDINGS, INC. GROUP MEMBERS: ALLERGAN INC GROUP MEMBERS: ALLERGAN PHARMACEUTICALS(IRELAND)LTD., INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ISTA PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000930553 STANDARD INDUSTRIAL CLASSIFICATION: [2835 ] IRS NUMBER: 330511719 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-59537 FILM NUMBER: 716497 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: ALLERGAN INC CENTRAL INDEX KEY: 0000850693 STANDARD INDUSTRIAL CLASSIFICATION: [2834 ] IRS NUMBER: 951622442 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2525 DUPONT DRIVE CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 7142464500 MAIL ADDRESS: STREET 1: P.O. BOX 19534 CITY: IRVINE STATE: CA ZIP: 92713-9534 SC 13G 1 a65419sc13g.txt SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. ___)* ISTA PHARMACEUTICALS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 45031X10 - -------------------------------------------------------------------------------- (CUSIP Number) August 24, 2000 - -------------------------------------------------------------------------------- (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 7 pages 2 - ------------------- ----------------- CUSIP NO. 45031X10 13G PAGE 2 OF 7 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ALLERGAN PHARMACEUTICALS (IRELAND) LTD., INC. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION PANAMA - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,309,780 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 1,309,780 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,309,780 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.93% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- 3 - ------------------- ----------------- CUSIP NO. 45031X10 13G PAGE 3 OF 7 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ALLERGAN HOLDINGS, INC. - ------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,309,780 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 1,309,780 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,309,780 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.93% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- 4 - ------------------- ----------------- CUSIP NO. 45031X10 13G PAGE 4 OF 7 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ALLERGAN, INC. - ------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,309,780 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 1,309,780 -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,309,780 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.93% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- 5 ITEM 1. (a) Name of Issuer: ISTA Pharmaceuticals, Inc. ("ISTA") (b) Address of ISTA's Principal Executive Offices: 15279 Alton Parkway, Building 100 Irvine, CA 92618 ITEM 2. (a) Name of Person Filing: Allergan Pharmaceuticals (Ireland) Ltd., Inc.* Allergan Holdings, Inc. Allergan, Inc. * The subject ISTA shares are owned beneficially and of record by Allergan Pharmaceuticals (Ireland), Inc., which is a wholly-owned subsidiary of Allergan Holdings, Inc. Allergan Holdings, Inc., in turn, is a wholly-owned subsidiary of Allergan, Inc. Given this corporate structure, all three Allergan entities are deemed to beneficially own the subject ISTA shares, and therefore all three entities are named in this Schedule 13G. (b) Address of Principal Business Office or, if none, Residence: 2525 Dupont Drive Irvine, CA 92612 (c) Place of Organization: Allergan Pharmaceuticals (Ireland) Ltd., Inc. - Panama Allergan Holdings, Inc. - Delaware Allergan, Inc. - Delaware (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 45031X10 ITEM 3. NOT APPLICABLE. ITEM 4 OWNERSHIP. (a) Amount Beneficially Owned: Each corporation is deemed to have beneficially owned 1,309,780 shares of Common Stock of ISTA as of August 24, 2000. (b) Percent of Class: 8.93% (c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 1,309,780 (ii) shares power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 1,309,780 (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 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: [ ] Page 5 of 7 pages 6 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. See response under Item 2(a) above. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above 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.* * This Schedule 13G is filed in connection with the acquisition by Allergan Pharmaceuticals (Ireland) Ltd., Inc. (API), in a transaction that closed on or about August 24, 2000, of an aggregate of 285,714 shares of ISTA Common Stock. This acquisition took place in connection with ISTA's initial public offering of Common Stock (the ISTA IPO). Prior to the ISTA IPO, API had owned an aggregate of 1,776,199 shares of ISTA's Series D Preferred Stock, which automatically converted into 1,024,066 shares of ISTA Common Stock upon the effectiveness of the ISTA IPO. As a result of API's acquisition of 285,714 newly issued shares of Common Stock in the ISTA IPO, API's percentage ownership of ISTA (net of the dilutive effect of the ISTA IPO as a whole), increased from 8.8% to 8.93% as of August 24, 2000. Page 6 of 7 pages 7 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: September 1, 2000 ALLERGAN PHARMACEUTICALS (IRELAND) LTD., INC. By: /s/ AIMEE S. WEISNER ------------------------------------------- Aimee S. Weisner, Assistant Secretary ALLERGAN HOLDINGS, INC. By: /s/ AIMEE S. WEISNER ------------------------------------------- Aimee S. Weisner, Assistant Secretary ALLERGAN, INC. By: /s/ AIMEE S. WEISNER ------------------------------------------- Aimee S. Weisner, Assistant Secretary Page 7 of 7 pages -----END PRIVACY-ENHANCED MESSAGE-----