-----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, Aw7LE9tnMotqEBF3C+rOrBWWkKLwvzkhUKKXb8FxKy7zblcp0cDWEIbyIWqYZjXI f0WI6O7JLLAzmMe8QHK1zg== 0001144204-05-000251.txt : 20050104 0001144204-05-000251.hdr.sgml : 20050104 20050104211504 ACCESSION NUMBER: 0001144204-05-000251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20041230 FILED AS OF DATE: 20050104 DATE AS OF CHANGE: 20050104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP GLOBAL INVESTORS L P CENTRAL INDEX KEY: 0001281161 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510229 MAIL ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS GLOBAL INVESTORS LP CENTRAL INDEX KEY: 0001162622 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510224 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-899-3689 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS A LP CENTRAL INDEX KEY: 0001167095 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510223 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899 3689 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SEATTLE GENETICS INC /WA CENTRAL INDEX KEY: 0001060736 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 911874389 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21823 30TH DRIVE SE STREET 2: SUITE CITY: BOTHELL STATE: WA ZIP: 98021 BUSINESS PHONE: 4255274000 MAIL ADDRESS: STREET 1: 21823 30TH DRIVE SE STREET 2: SUITE CITY: BOTHELL STATE: WA ZIP: 98021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN CHASE & CO CENTRAL INDEX KEY: 0000019617 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510225 BUSINESS ADDRESS: STREET 1: 270 PARK AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: CHASE MANHATTAN CORP /DE/ DATE OF NAME CHANGE: 19960402 FORMER NAME: FORMER CONFORMED NAME: CHEMICAL BANKING CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: CHEMICAL NEW YORK CORP DATE OF NAME CHANGE: 19880508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS BHCA LP CENTRAL INDEX KEY: 0001106607 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510228 BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: CHASE EQUITY ASSOCIATES LLC DATE OF NAME CHANGE: 20000214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP CENTRAL INDEX KEY: 0001169889 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510230 BUSINESS ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP CENTRAL INDEX KEY: 0001169890 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510222 BUSINESS ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP MASTER FUND MANAGER L P CENTRAL INDEX KEY: 0001243235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510227 BUSINESS ADDRESS: STREET 1: JP MORGAN PARTNERS LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899-3400 MAIL ADDRESS: STREET 1: C/O JPMORGAN PARTNERS LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL. CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP CAPITAL CORP CENTRAL INDEX KEY: 0001243236 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32405 FILM NUMBER: 05510226 BUSINESS ADDRESS: STREET 1: C/O J.P. MORGAN PARTNERS, LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899-3400 MAIL ADDRESS: STREET 1: C/O JPMORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL. CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: JPMP CAPITAL LLC DATE OF NAME CHANGE: 20030618 4 1 v010757_ex.xml X0202 4 2004-12-30 0 0001060736 SEATTLE GENETICS INC /WA SGEN 0001106607 JP MORGAN PARTNERS BHCA LP C/O J.P. MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS NEW YORK NY 10020 0 0 1 0 0001243235 JPMP MASTER FUND MANAGER L P JP MORGAN PARTNERS LLC 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001243236 JPMP CAPITAL CORP C/O J.P. MORGAN PARTNERS, LLC 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0000019617 J P MORGAN CHASE & CO 270 PARK AVE 39TH FL NEW YORK NY 10017 0 0 1 0 0001162622 JP MORGAN PARTNERS GLOBAL INVESTORS LP 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001167095 J P MORGAN PARTNERS GLOBAL INVESTORS A LP 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001169890 J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP C/O J P MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FL NEW YORK NY 10020 0 0 1 0 0001169889 J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP C/O J P MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FL NEW YORK NY 10020 0 0 1 0 0001281161 JPMP GLOBAL INVESTORS L P 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10021 0 0 1 0 Warrants 6.25 2004-12-30 4 S 0 38114 123003.49 D 2003-07-08 2011-12-31 Common Stock 601925 601925 D Warrants 6.25 2003-07-08 2011-12-31 Common Stock 101421 101421 I See footnote Warrants 6.25 2003-07-08 2011-12-31 Common Stock 13826 13826 I See footnote Warrants 6.25 2003-07-08 2011-12-31 Common Stock 51478 51478 I See footnote Warrants 6.25 2003-07-08 2011-12-31 Common Stock 5736 5736 I See footnote Warrants 6.25 2004-12-30 4 P 0 38114 123003.49 A 2003-07-08 2011-12-31 Common Stock 381140 381140 I See footnote Series A Convertible Preferred Stock 2.50 2004-12-30 4 S 0 30491 22.80 D 2004-07-08 Common Stock 4815400 4815400 D Series A Convertible Preferred Stock 2.50 2004-07-08 Common Stock 811370 811370 I See footnote Series A Convertible Preferred Stock 2.50 2004-07-08 Common Stock 110610 110610 I See footnote Series A Convertible Preferred Stock 2.50 2004-07-08 Common Stock 411820 411820 I See footnote Series A Convertible Preferred Stock 2.50 2004-07-08 Common Stock 45890 45890 I See footnote Series A Convertible Preferred Stock 2.50 2004-12-30 4 P 0 30491 22.80 A 2004-07-08 Common Stock 304910 304910 I See footnote Stock Options (Right to Purchase) 7.26 2005-05-16 2014-05-16 Common Stock 10000 10000 I See footnote The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. These options were granted to Srinivas Akkaraju, a director of the Issuer. Mr. Akkaraju is obligated to transfer any shares issued under the Stock Option to J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") at the request of JPM BHCA. J.P. Morgan Partners (BHCA), L.P. By: JPMP Master Fund Manager, L.P., its general partner By: JPMP Capital Corp., its general partner By: /s/ Damion E. Wicker Managing Director 2005-01-04 EX-99.1 2 v010757_ex99-1.htm Unassociated Document

JPM BHCA/Barrier Therapeutics, Inc. Exhibit 99.1

 
 
Name and Address of Reporting Person(1)
 
 
 
Designated Reporter(1)
 
 
Statement for (month/day/year)
 
 
Issuer Name, Ticker
or Trading Symbol
 
 
Title and Amount of
Security
Title of Derivative Securities and Title and Amount of Securities Underlying Derivative Securities
 
Ownership Form:
Direct (D) or
Indirect (I)
 
 
Nature of Indirect
Beneficial Ownership
 
 
Disclaims
Pecuniary Interest
JPMP Master Fund Manager, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas - 40th Floor
New York, NY 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 1 and 6
See Table II
Rows 1 and 6
I
See Explanatory
Note 2 below
No
JPMP Capital Corp.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas - 40th Floor
New York, NY 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
See Table II
I
See Explanatory
Note 3 below
No
J.P. Morgan Chase & Co.
270 Park Avenue
35th Floor
New York, NY 10017
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
See Table II
I
See Explanatory
Note 4 below
No
J.P. Morgan Partners Global Investors, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 2 and 8
See Table II
Rows 2 and 8
D
    
J.P. Morgan Partners Global Investors (Cayman), L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 3 and 9
See Table II
Rows 3 and 9
D
    
J.P. Morgan Partners Global Investors A, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Row 4 and 10
See Table II
Rows 4 and 10
D
    
 

 
     
 

J.P. Morgan Partners Global Investors (Cayman) II, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 5 and 11
See Table II
Rows 5 and 11
D
    
J.P. Morgan Partners Global Investors (Selldown), L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 6 and 12
See Table II
Rows 6 and 12
D
    
JPMP Global Investors, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (BHCA), L.P.
December 30, 2004
Seattle Genetics, Inc. (“SGEN”)
See Table II
Rows 2-6 and 8-12
See Table II
Rows 2-6 and 8-12
I
See Explanatory Note 5
No
Explanatory Note:

1) The Designated Reporter is executing this report on behalf of all Reporting Persons, each of whom has authorized it to do so. Each of the Reporting Persons disclaims beneficial ownership of the Issuer’s securities to the extent it exceeds such Person’s pecuniary interest.

2) The amounts shown in Table II in rows 1 and 6 represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole general partner of JPM BHCA.

3) The amounts shown in Table II represent the beneficial ownership of the Issuer’s equity securities by (a) JPM BHCA, and (b) J.P. Morgan Partners Global Investors, L.P., J.P. Morgan Partners Global Investors A, L.P., J.P. Morgan Partners Global Investors (Cayman), L.P., J.P. Morgan Partners Global Investors (Cayman) II, L.P. and J.P. Morgan Partners Global Investors (Selldown), L.P. (the “JPMP Global Entities”), a portion of which may be deemed attributable to the Reporting Person because it is (1) the general partner of JPMP Master Fund Manager, L.P. (“MF Manager”), the sole general partner of JPM BHCA and (2) the general partner of JPMP Global Investors, L.P. which is the general partner of each of the JPMP Global Entities. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA, MF Manager and each of the JPMP Global Entities. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein.

4) The amounts shown in Table II represent the beneficial ownership of the Issuer’s equity securities by JPM BHCA and the JPMP Global Entities, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp. and of Chatham Ventures, Inc., the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA, MF Manager and the each of the JPMP Global Entities. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein.

5) The amounts shown in Table II in rows 2-6 and 8-12 represent the beneficial ownership of the Issuer’s equity securities by the JPMP Global Entities. The Reporting Person is the general partner of each of the JPMP Global Entities.



 
     
 

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