-----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, Q8rGXko0wYuIMP8aWecoG+2xX1sZzdEyMFG/O4duqdydShxhL21SWPRAhFpKUeJH 0Srch9oGToHWVHPcXJIbxQ== 0000891618-01-000160.txt : 20010223 0000891618-01-000160.hdr.sgml : 20010223 ACCESSION NUMBER: 0000891618-01-000160 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVIGEN INC \DE CENTRAL INDEX KEY: 0000932903 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 133647119 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48313 FILM NUMBER: 1542574 BUSINESS ADDRESS: STREET 1: 1201 HARBOR BAY PARKWAY STREET 2: SUITE 1000 CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5107487150 MAIL ADDRESS: STREET 1: 1201 HARBOR BAY PARKWAY #1000 CITY: ALAMEDA STATE: CA ZIP: 94502 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LOMBARD ODIER & CIE CENTRAL INDEX KEY: 0001106185 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 11 RUE DE LA CORRATENE STREET 2: 1204 CITY: GENEVA BUSINESS PHONE: 01141227093535 MAIL ADDRESS: STREET 1: 11 RUE DE LA CORRATENE STREET 2: 1204 CITY: GENEVA STATE: V8 SC 13G 1 f69662avsc13g.txt SCHEDULE 13G 1 ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response......14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ______)* Avigen, Inc. -------------------------------------------------------------- (Name of Issuer) Common Stock (Title of Class of Securities) 053690 10 3 -------------------------------------------------------------- (CUSIP Number) December 31, 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) [ ] 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 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (3-98) Page 1 of 4 Pages 2 - --------------------- ----------------- CUSIP NO. 053690 10 3 13G PAGE 2 OF 4 PAGES - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) LOMBARD ODIER & CIE - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBEROF A GROUP* (a) (b) - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION SWITZERLAND - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 842,510 SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 842,510 WITH: -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 46,750 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 889,260 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 4 Pages 3 ITEM 1. (a) NAME OF ISSUER Avigen, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1201 Harbor Way Parkway, #1000 Alameda, CA 94502 ITEM 2. (a) NAME OF PERSON FILING Lombard Odier & Cie (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 11 Rue de la Corraterie, 1204 Geneva, Switzerland (c) CITIZENSHIP Switzerland (d) TITLE OF CLASS OF SECURITIES Common Stock (e) CUSIP NUMBER 053690 10 3 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b), OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: NOT APPLICABLE. ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) AMOUNT BENEFICIALLY OWNED: 889,260 (b) PERCENT OF CLASS: 5.2% (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 842,510 (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: 0 (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 842,510 (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 46,750 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 Of the shares held in the name of Lombard Odier & Cie, 94.74% are held for the benefit of the Lombard Odier Immunology Fund which is managed by Lombard Odier Fund Managers S.A. and 5.26% are held for the benefit of private or institutional clients. With respect to the shares held for the benefit of private or institutional clients, such clients have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such shares and retain sole voting power with respect to such shares. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable. Page 3 of 4 Pages 4 ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF A GROUP Not Applicable. ITEM 10. CERTIFICATION Not Applicable. 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. February 13, 2001 February 13, 2001 ------------------------------------------------------ Date /s/ Carmela Gokok /s/ Fernando Perez Diaz ------------------------------------------------------ Signature Vice President Assistant Manager ------------------------------------------------------ Name/Title Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----