-----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, L7qLXc51CXZaHrx59U1w5k06M9iNKa4PGZGjLOn78IOUmNL24khk4t9hjoBDSx0P qIg/NPDVy982HKA4YtnThA== 0000950142-04-004310.txt : 20050119 0000950142-04-004310.hdr.sgml : 20050119 20041216085504 ACCESSION NUMBER: 0000950142-04-004310 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041213 FILED AS OF DATE: 20041215 DATE AS OF CHANGE: 20050119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SFM PARTICIPATION LP CENTRAL INDEX KEY: 0001253598 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206418 MAIL ADDRESS: STREET 1: C/O SOROS FUND MANAGEMENT LLC STREET 2: 888 SEVENTH AVE 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERSEUS SOROS PARTNERS LLC CENTRAL INDEX KEY: 0001250191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206420 MAIL ADDRESS: STREET 1: 888 SEVENTH AVE STREET 2: 29TH FL CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERSEUS BIOTECH FUND PARTNERS LLC CENTRAL INDEX KEY: 0001250198 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206419 MAIL ADDRESS: STREET 1: 2099 PENNSYLVANIA AVE NW STREET 2: STE 900 CITY: WASHINGTON STATE: DC ZIP: 20006-1813 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERSEUSPUR LLC CENTRAL INDEX KEY: 0001253323 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206416 BUSINESS ADDRESS: STREET 1: 2099 PENNSYLVANIA AVE NW STREET 2: STE 900 CITY: WASHINGTON STATE: DC ZIP: 20006-1813 MAIL ADDRESS: STREET 1: 2099 PENNSYLVANIA AVE NW STREET 2: STE 900 CITY: WASHINGTON STATE: DC ZIP: 20006-1813 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERSEUS SOROS BIOPHARMACEUTICAL FUND LP CENTRAL INDEX KEY: 0001111408 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206421 BUSINESS ADDRESS: STREET 1: ARMY & NAVY CLUB BLDG STREET 2: 1627 I ST NW STE 610 CITY: WASHINGTON STATE: DC ZIP: 20006 MAIL ADDRESS: STREET 1: 888 SEVENTH AVE STREET 2: 29TH FL CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SFM AH LLC CENTRAL INDEX KEY: 0001237655 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206417 BUSINESS ADDRESS: STREET 1: C/O SOROS FUND MANAGEMENT LLC STREET 2: 888 SEVENTH AVENUE 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 2122626300 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIOENVISION INC CENTRAL INDEX KEY: 0001028205 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 113375915 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 212-750-6700 MAIL ADDRESS: STREET 1: 345 PARK AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10154 FORMER COMPANY: FORMER CONFORMED NAME: ASCOT GROUP INC DATE OF NAME CHANGE: 19961205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOROS FUND MANAGEMENT LLC CENTRAL INDEX KEY: 0001029160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206414 BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 2128721054 MAIL ADDRESS: STREET 1: C/O AKIN, GUMP, STRAUSS,HAUER,FELD, STREET 2: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOROS GEORGE CENTRAL INDEX KEY: 0000900203 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206413 BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212-262--6 MAIL ADDRESS: STREET 1: 888 SEVENTH AVE STREET 2: 33RD FLR CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEARL FRANK H CENTRAL INDEX KEY: 0000927752 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31787 FILM NUMBER: 041206415 BUSINESS ADDRESS: STREET 1: 2099 PENNSYLVANIA AVENUE NW STREET 2: SUITE 900 CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2024520101 MAIL ADDRESS: STREET 1: 2099 PENNSYLVANIA AVENUE NW STREET 2: SUITE 900 CITY: WASHINGTON STATE: DC ZIP: 20003 4 1 form4-psbpf121304_bioex.xml X0202 4 2004-12-13 0 0001028205 BIOENVISION INC BIV 0001111408 PERSEUS SOROS BIOPHARMACEUTICAL FUND LP 2099 PENNSYLVANIA AVENUE SUITE 900 WASHINGTON DC 20006-1813 0 0 1 1 Footnotes (1), (2), (3), (6) 0001250191 PERSEUS SOROS PARTNERS LLC 888 SEVENTH AVENUE NEW YORK NY 10106 0 0 1 1 Footnotes (1), (2), (3), (6) 0001250198 PERSEUS BIOTECH FUND PARTNERS LLC 888 SEVENTH AVENUE 33RD FLOOR NEW YORK NY 10106 0 0 1 1 Footnotes (1), (2), (3), (6) 0001253598 SFM PARTICIPATION LP 888 SEVENTH AVENUE 33RD FLOOR NEW YORK NY 10106 0 0 1 1 Footnotes (1), (2), (3), (6) 0001237655 SFM AH LLC 888 SEVENTH AVENUE 33RD FLOOR NEW YORK NY 10106 0 0 1 1 Footnotes (1), (2), (3), (6) 0001253323 PERSEUSPUR LLC 2099 PENNSYLVANIA AVENUE SUITE 900 WASHINGTON DC 20006-1813 0 0 1 1 Footnotes (1), (2), (3), (6) 0000927752 PEARL FRANK H 2099 PENNSYLVANIA AVENUE SUITE 900 WASHINGTON DC 20006-1813 0 0 1 1 Footnotes (1), (2), (3), (6) 0001029160 SOROS FUND MANAGEMENT LLC 888 SEVENTH AVENUE 33RD FLOOR NEW YORK NY 10106 0 0 1 1 Footnotes (1), (2), (3), (6) 0000900203 SOROS GEORGE 2099 PENNSYLVANIA AVENUE SUITE 900 WASHINGTON DC 20006-1813 0 0 1 1 Footnotes (1), (2), (3), (6) Common Stock, $0.0001 par value ("Common Stock") 2004-12-13 4 C 0 1500000 A 1875044 D Common Stock 2004-12-13 4 J 0 1500000 D 375044 D Series A Convertible Participating Preferred Stock 2004-12-13 4 C 0 750000 D Common Stock 1500000 2250000 D All of the securities reported herein are held for the account of Perseus-Soros BioPharmaceutical Fund, LP ("Perseus-Soros"). Perseus-Soros Partners, LLC, a Delaware limited liability company ("Perseus-Soros Partners"), is the general partner of Perseus-Soros. Perseus BioTech Fund Partners, LLC, a Delaware limited liability company ("Perseus Partners"), and SFM Participation, L.P., a Delaware limited partnership ("SFM Participation"), are the managing members of Perseus-Soros Partners. Perseus EC, L.L.C., a Delaware limited liability company ("Perseus EC"), is the managing member of Perseus Partners. Perseuspur, LLC, a Delaware limited liability company ("Perseuspur"), is a member of Perseus EC. Perseus-Soros Partners may be deemed to indirectly beneficially own the 375,044 shares directly beneficially owned by Perseus-Soros and to directly beneficially own the 76,682 shares distributed to it. Each of the reporting persons other than Perseus-Soros and Perseus-Soros Partners may be deemed to indirectly beneficially own the 375,044 shares directly beneficially owned by Perseus-Soros and the 76,682 shares directly beneficially owned by Perseus-Soros Partners. SFM AH LLC, a Delaware limited liability company ("SFM AH"), is the general partner of SFM Participation. On December 13, 2004, Perseus-Soros converted 750,000 shares of the Issuer's Series A Convertible Participating Preferred Stock ("Series A Preferred Stock") into 1,500,000 shares of common stock at a ratio of 2.0 shares of Common Stock for each share of Series A Preferred Stock. On that same date, Perseus-Soros distributed 1,500,000 shares of the Issuer's Common Stock to its partners in a pro rata distribution, including 76,682 shares of the Issuer's Common Stock to Perseus-Soros Partners, LLC, the sole general partner of Perseus-Soros. No consideration was paid in connection with this distribution. Shares of Series A Preferred Stock are convertible into shares of common stock from the date of issuance, May 8, 2002, and any time thereafter. The Conversion Price of Series A Preferred Stock is equal to $1.50 per share of Common Stock, subject to adjustment upon the occurrence of certain events set forth in the Certificate of Designations for the Series A Preferred Stock. The number of shares of Common Stock issuable upon conversion of the Series A Preferred Stock will be such number equal to the quotient obtained from dividing the then applicable Liquidation Amount of the share of Series A Preferred Stock by the then applicable Conversion Price. No consideration was paid by Perseus-Soros with respect to the conversion of the Series A Preferred Stock. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), Perseus-Soros Partners, Perseus Partners, SFM Participation, Perseus EC, Perseuspur, SFM AH, Frank H. Pearl, Soros Fund Management LLC and George Soros are deemed to be beneficial owners of the shares beneficially owned by Perseus-Soros only to the extent of the greater of his or its respective direct or indirect interest in the profits or capital account of Perseus-Soros. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that Perseus-Soros Partners, Perseus Partners, SFM Participation, Perseus EC, Perseuspur, SFM AH, Frank H. Pearl, Soros Fund Management LLC or George Soros is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities owned by Perseus-Soros in excess of such amount. (7) Ms. Anzalotta is signing in her capacity as Ass't. General Counsel of Soros Fund Management LLC, as Managing Member of SFM AH LLC, as General Partner of SFM Participation, L.P., as Managing Member of Perseus-Soros Partners, LLC, as General Partner of Perseus-Soros BioPharmaceutical Fund, LP. (8) Ms. Anzalotta is signing in her capacity as Ass't. General Counsel of Soros Fund Management LLC, as Managing Member of SFM AH LLC, as General Partner of SFM Participation, L.P., as Managing Member of Perseus-Soros Partners, LLC. (9) Mr. Macklin is signing in his capacity as Secretary and Treasurer of Perseuspur, L.L.C., as Member of Perseus EC, L.L.C., as Managing Member of Perseus BioTech Fund Partners, LLC. (10) Ms. Anzalotta is signing in her capacity as Ass't. General Counsel of Soros Fund Management LLC, as Managing Member of SFM AH LLC, as General Partner of SFM Participation, L.P. (11) Ms. Anzalotta is signing in her capacity as Ass't. General Counsel of Soros Fund Management LLC, as Managing Member of SFM AH LLC. (12) Mr. Macklin is signing in his capacity as Attorney-in-Fact for Frank H. Pearl. (13) Ms. Anzalotta is signing in her capacity as Ass't. General Counsel of Soros Fund Management LLC. (14) Ms. Anzalotta is signing in her capacity as Attorney-in-Fact for George Soros. /s/ Jodye M. Anzalotta, Perseus-Soros BioPharmaceutical Fund, L.P. (7) 2004-12-15 /s/ Jodye M. Anzalotta, Perseus-Soros Partners, LLC (8) 2004-12-15 /s/ Rodd Macklin, Secretary and Treasurer, Perseus Biotech Fund Partners, LLC (9) 2004-12-15 /s/ Jodye M. Anzalotta, SFM Participation, L.P. (10) 2004-12-15 /s/ Jodye M. Anzalotta, SFM AH LLC (11) 2004-12-15 /s/ Rodd Macklin, Secretary and Treasurer, Perseuspur, LLC 2004-12-15 /s/ Rodd Macklin, Attorney-in-Fact for Frank H. Pearl (12) 2004-12-15 /s/ Jodye M. Anzalotta, Soros Fund Management LLC (13) 2004-12-15 /s/ Rodd Macklin, Attorney-in-Fact for George Soros (14) 2004-12-15 -----END PRIVACY-ENHANCED MESSAGE-----