-----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, JFnnuNMkIAYrnKymT/9qkDsoY1jFyOhNf0vYvGxZTPToTVwYucNK8C1CNdvCJvam tmjbsMpFumF9nMU2B+/GPw== 0001193125-05-090761.txt : 20050502 0001193125-05-090761.hdr.sgml : 20050502 20050429175907 ACCESSION NUMBER: 0001193125-05-090761 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050502 DATE AS OF CHANGE: 20050429 GROUP MEMBERS: JAMES D. WEAVER GROUP MEMBERS: MARY H. CAIN GROUP MEMBERS: WILLIAM A. MCMINN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LEXICON GENETICS INC/TX CENTRAL INDEX KEY: 0001062822 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 760474169 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60409 FILM NUMBER: 05787810 BUSINESS ADDRESS: STREET 1: 8800 TECHNOLOGY FOREST PLACE CITY: THE WOODLANDS STATE: TX ZIP: 77381 BUSINESS PHONE: 2818633000 MAIL ADDRESS: STREET 1: 8800 TECHNOLOGY FOREST PLACE CITY: THE WOODLANDS STATE: TX ZIP: 77381 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESTATE OF GORDON A CAIN CENTRAL INDEX KEY: 0001222990 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: GORDON CAIN & ASSOCIATES STREET 2: 8 GREENWAY PLAZA STE 702 CITY: HOUSTON STATE: TX ZIP: 77046 BUSINESS PHONE: 7138407896 MAIL ADDRESS: STREET 1: 8 GREENWAY PLAZA STE 702 CITY: HOUSTON STATE: TX ZIP: 77046 SC 13D/A 1 dsc13da.htm AMENDMENT NO. 2 TO SCHEDULE 13D Amendment No. 2 to Schedule 13D

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

(Amendment No. 3)

 

 

Under the Securities Exchange Act of 1934

 

 

 

 

LEXICON GENETICS INCORPORATED


(Name of Issuer)

 

 

Common Stock $0.001 Par Value Per Share


(Title of Class of Securities)

 

 

528872 10 4


(CUSIP Number)

 

 

Mr. John Sullivan

Gordon Cain and Associates

8 Greenway Plaza, Suite 702

Houston, Texas 77046

Telephone: (713) 840-7896


(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

 

January 12, 2005


(Date of Event which Requires Filing of this Statement)

 

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 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box:  ¨

 

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.


CUSIP No.: 528872 10 4

 

  1  

Name of Reporting Person

 

            Estate of Gordon A. Cain (01-6222478)

   
  2  

Check the Appropriate Box If A Member of a Group

(a)  ¨

(b)  ¨

   
  3  

SEC Use Only

 

   
  4  

Source of Funds

 

            OO

   
  5  

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)

 

  ¨
  6  

Citizenship or Place of Organization

 

            Texas

   
   

  7    Sole Voting Power

 

                0


  8    Shared Voting Power

 

                0


  9    Sole Dispositive Power

 

                0


10    Shared Dispositive Power

 

                0

11  

Aggregate Amount Beneficially Owned by Reporting Person

 

            0

   
12  

Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares

 

 

¨

 

13  

Percent of Class Represented by Amount in Row (11)

 

            0.0%

   
14  

Type of Reporting Person

 

            OO

   

 

 

-2-


CUSIP No.: 528872 10 4

 

  1  

Name of Reporting Person

 

            Mary H. Cain

   
  2  

Check the Appropriate Box If A Member of a Group

(a)  ¨

(b)  ¨

   
  3  

SEC Use Only

 

   
  4  

Source of Funds

 

            OO

   
  5  

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)

 

  ¨
  6  

Citizenship or Place of Organization

 

            United States of America

   
   

  7    Sole Voting Power

 

                2,937,000*


  8    Shared Voting Power

 

                550,000*


  9    Sole Dispositive Power

 

                2,937,000*


10    Shared Dispositive Power

 

                550,000*

11  

Aggregate Amount Beneficially Owned by Reporting Person

 

            3,487,000*

   
12  

Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares

 

 

¨

 

13  

Percent of Class Represented by Amount in Row (11)

 

            5.5%

   
14  

Type of Reporting Person

 

            IN

   

 

* 1,468,500 of these shares are owned by the Mary H. Cain Marital Trust, of which Mary H. Cain is the trustee and beneficiary.

 

     550,000 of these shares are owned by the Gordon and Mary Cain Foundation, of which Mary H. Cain is the Chairman.

 

-3-


CUSIP No.: 528872 10 4

 

  1  

Name of Reporting Person

 

            James D. Weaver

   
  2  

Check the Appropriate Box If A Member of a Group

(a)  ¨

(b)  ¨

   
  3  

SEC Use Only

 

   
  4  

Source of Funds

 

            OO

   
  5  

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)

 

  ¨
  6  

Citizenship or Place of Organization

 

            United States of America

   
   

  7    Sole Voting Power

 

                15,000


  8    Shared Voting Power

 

                550,000*


  9    Sole Dispositive Power

 

                15,000


10    Shared Dispositive Power

 

                550,000*

11  

Aggregate Amount Beneficially Owned by Reporting Person

 

            565,000*

   
12  

Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares

 

 

¨

 

13  

Percent of Class Represented by Amount in Row (11)

 

            0.9%

   
14  

Type of Reporting Person

 

            IN

   

 

* 550,000 of these shares are owned by the Gordon and Mary Cain Foundation, of which James D. Weaver is the President.

 

-4-


CUSIP No.: 528872 10 4

 

  1  

Name of Reporting Person

 

            William A. McMinn

   
  2  

Check the Appropriate Box If A Member of a Group

(a)  ¨

(b)  ¨

   
  3  

SEC Use Only

 

   
  4  

Source of Funds

 

            OO

   
  5  

Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)

 

  ¨
  6  

Citizenship or Place of Organization

 

            United States of America

   
   

  7    Sole Voting Power

 

                1,059,091


  8    Shared Voting Power

 

                0


  9    Sole Dispositive Power

 

                1,059,091


10    Shared Dispositive Power

 

                0

11  

Aggregate Amount Beneficially Owned by Reporting Person

 

            1,059,091

   
12  

Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares

 

 

¨

 

13  

Percent of Class Represented by Amount in Row (11)

 

            1.7%

   
14  

Type of Reporting Person

 

            IN

   

 

 

-5-


STATEMENT ON SCHEDULE 13D

 

This Amendment No. 3 amends and supplements the Statement on Schedule 13D (the “Initial Statement”) filed by the Estate of Gordon A. Cain, Mary H. Cain, James D. Weaver and William A. McMinn, on March 19, 2003, as amended by Amendment No. 1 filed on July 22, 2003 and Amendment No. 2 filed on January 2, 2004 (collectively, the “Amendments” and, with the Initial Statement, the “Statement”), relating to the shares of Common Stock, par value $0.001 per share (the “Common Stock”) of Lexicon Genetics Incorporated, a Delaware corporation (the “Issuer”). Capitalized terms used but not defined herein shall have the meanings provided therefore in the Statement.

 

The Initial Statement is hereby supplemented and amended to the extent set forth in this Amendment.

 

Item 4. Purpose of Transaction

 

Aside from the transaction described in Item 5(c), Ms. Cain has no plans or proposals with respect to the Shares which relate to or that would result in any of the actions or transactions specified in clauses (a) through (j) of Item 4 of Schedule 13D.

 

Item 5. Interest in Securities of the Issuer

 

(c) On September 30, 2004, the Estate and The Gordon and Mary Cain Foundation, sold 850,000 shares and 150,000 shares respectively in the open market at the price of $6.25 per share. On January 12, 2005, the Estate distributed 1,468,500 shares to each of the Mary H. Cain Marital Trust and to Mary H. Cain, individually. These transfers resulted in the termination of the irrevocable voting proxy dated May 7, 1998 between Gordon A. Cain and William A. McMinn. On April 22, 2004, stock options held by the Estate, which were exercisable for 8,500 shares, expired.

 

(d) On January 12, 2005, each of the Estate, Mr. Weaver and Mr. McMinn ceased to be the beneficial owner of more than five percent of the Common Stock of the Issuer.

 

-6-


SIGNATURE

 

After reasonable inquiry and to the best of the undersigned’s knowledge and belief, the undersigned hereby certifies that the information set forth in this Statement is true, complete and correct.

 

Dated: April 29, 2005

 

ESTATE OF GORDON A. CAIN

By:

 

/s/ MARY H. CAIN


   

Mary H. Cain

   

Co-Executor

By:

 

/s/ JAMES D. WEAVER


   

James D. Weaver

   

Co-Executor

   

/s/ MARY H. CAIN


   

Mary H. Cain

   

/s/ JAMES D. WEAVER


   

James D. Weaver

   

/s/ WILLIAM A. MCMINN


   

William A. McMinn

 

-7-


Each of the undersigned hereby agrees to be included in the filing of the Amendment No. 3 to the Schedule 13D dated April 29, 2005 with respect to the issued and outstanding Common Stock of Lexicon Genetics Incorporated beneficially owned by each of the undersigned, respectively.

 

Dated: April 29, 2005

 

ESTATE OF GORDON A. CAIN

By:

 

/s/ MARY H. CAIN


   

Mary H. Cain

   

Co-Executor

By:

 

/s/ JAMES D. WEAVER


   

James D. Weaver

   

Co-Executor

   

/s/ MARY H. CAIN


   

Mary H. Cain

   

/s/ JAMES D. WEAVER


   

James D. Weaver

   

/s/ WILLIAM A. MCMINN


   

William A. McMinn

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