-----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, Vll7Tp3e5ZhbAtvKczsvVR9Nci3j8rK6OfltnT8gBT0+MnlkgNbioEKzAAo+9oGc jGEk+G0E2hYaxG+1UnfLPQ== 0000318771-00-000003.txt : 20000501 0000318771-00-000003.hdr.sgml : 20000501 ACCESSION NUMBER: 0000318771-00-000003 CONFORMED SUBMISSION TYPE: 10-K405/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENENTECH INC CENTRAL INDEX KEY: 0000318771 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 942347624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K405/A SEC ACT: SEC FILE NUMBER: 001-09813 FILM NUMBER: 613173 BUSINESS ADDRESS: STREET 1: 1 DNA WAY CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 4152251000 MAIL ADDRESS: STREET 1: 460 POINT SAN BRUNO BLVD STREET 2: . CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 10-K405/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) X ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 1999 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 1-9813 GENENTECH, INC. A Delaware Corporation 94-2347624 (State or other jurisdiction of (I.R.S. employer incorporation or organization) identification number) 1 DNA Way, South San Francisco, California 94080-4990 (Address of principal executive offices and zip code) (650) 225-1000 (Registrant's telephone number, including area code) Securities registered pursuant to Section 12(b) of the Act: ============================================================================= Title of Each Class Name of Each Exchange on Which Registered - ----------------------------------------------------------------------------- Common Stock, $0.02 par value New York Stock Exchange ============================================================================= Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. [ X ] The approximate aggregate market value of voting stock held by nonaffiliates of the registrant is $11,769,690,559 as of December 31, 1999. (A) Number of shares of Common Stock outstanding as of December 31, 1999: 258,110,279 Documents incorporated by reference: PARTS INCORPORATED DOCUMENT BY REFERENCE (1) Annual Report to stockholders for the year ended II December 31, 1999 (specified portions) (2) Definitive Proxy Statement with respect to the 2000 III Annual Meeting of Stockholders to be filed by Genentech, Inc. with the Securities and Exchange Commission (hereinafter referred to as "Proxy Statement") - ----------------------------------------------------------------------------- (A) Excludes 170,603,286 shares of Common Stock held by Directors, Officers and stockholders whose ownership exceeds five percent of the Common Stock outstanding at December 31, 1999 and Roche Holdings, Inc. which was calculated based on their filings as of December 31, 1999, with the Securities and Exchange Commission pursuant to Section 13(g) of the Securities Exchange Act of 1934. As of February 7, 2000, it is unconfirmed whether any other person or entity holds greater than five percent of the registrant's Common Stock. Exclusion of shares held by any person should not be construed to indicate that such person possesses the power, direct or indirect, to direct or cause the direction of the management or policies of the registrant, or that such person is controlled by or under common control with the registrant. In this Form 10-K, "Genentech," "we," "us" and "our" refer to Genentech, Inc., "Common Stock" refers to Genentech's Common Stock, par value $0.02 per share, and "Special Common Stock" refers to Genentech's callable putable Common Stock, par value $0.02 per share. In addition, all numbers relating to the number of shares and price per share of Common Stock and Special Common Stock give effect to the two-for-one split of our Common Stock on November 2, 1999. GENENTECH, INC. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Date: April 27, 2000 GENENTECH, INC. /s/LOUIS J. LAVIGNE, JR. --------------------------------- Louis J. Lavigne, Jr. Executive Vice President and Chief Financial Officer /s/JOHN M. WHITING --------------------------------- John M. Whiting Controller and Chief Accounting Officer -----END PRIVACY-ENHANCED MESSAGE-----