-----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, B05+eKp+B0vwZ6250lIlg84zVF0DKPrx7Mmgl14g5kibSjLW+DQi0aICCYvuG1Uv yVZg5O6IGCoSoLwNekVZPg== 0000950123-01-504537.txt : 20010723 0000950123-01-504537.hdr.sgml : 20010723 ACCESSION NUMBER: 0000950123-01-504537 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010719 FILED AS OF DATE: 20010720 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROSETTA INPHARMATICS INC CENTRAL INDEX KEY: 0001081935 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 911770023 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-30977 FILM NUMBER: 1685134 BUSINESS ADDRESS: STREET 1: 12040 115TH AVE NE STREET 2: SUITE 210 CITY: KIRKLAND STATE: WA ZIP: 98034 BUSINESS PHONE: 4258237336 MAIL ADDRESS: STREET 1: 12040 115TH AVENUE NE CITY: KIRKLAND STATE: WA ZIP: 98034 COMPANY DATA: COMPANY CONFORMED NAME: MERCK & CO INC CENTRAL INDEX KEY: 0000064978 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] OWNER IRS NUMBER: 221109110 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ONE MERCK DR STREET 2: P O BOX 100 CITY: WHITEHOUSE STATION STATE: NJ ZIP: 08889-0100 BUSINESS PHONE: 9084234044 MAIL ADDRESS: STREET 1: ONE MERCK DR STREET 2: PO BOX 100 WS3AB-05 CITY: WHITEHOUSE STATION STATE: NJ ZIP: 08889-0100 4 1 e51518e4.txt FORM 4 1 - ------------------------------------ --------------------------------------- FORM 4 OMB APPROVAL - ------------------------------------ --------------------------------------- [X] CHECK THIS BOX IF NO LONGER OMB NUMBER: 3235-0287 SUBJECT TO SECTION 16. FORM 4 Expires: December 31, 2001 OR FORM 5 OBLIGATIONS MAY Estimate average burden CONTINUE. SEE INSTRUCTION 1(b). hours per response.................0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Merck & Co., Inc. - -------------------------------------------------------------------------------- (Last) (First) (Middle) One Merck Drive - -------------------------------------------------------------------------------- (Street) Whitehouse Station NJ 08889 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Rosetta Inpharmatics, Inc. (Symbol NASDAQ: RSTA) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Statement for Month/Year July 2001 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (Specify below) See attached (1) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [_] Form filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Month/Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one reporting person, see Instruction 4(b)(v). 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. (Over) SEC 1474 (3-99) 1 of 3 2 FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4, and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Option 07/19 J See See See Com- See See 0 D N/A (contingent /2001 att- att- att mon att- att- right to buy) ached ached ached Stock ached ached (see attached) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: See attached. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. 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 Number. /s/ Celia A. Colbert July 20, 2001 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date CELIA A. COLBERT VICE PRESIDENT, ASSISTANT GENERAL COUNSEL, ON BEHALF OF MERCK & CO., INC. 2 of 3 3 Item 1: Merck & Co., Inc. Item 2: Rosetta Inpharmatics, Inc. (Symbol NASDAQ: RSTA) Item 4: July 2001 EXPLANATION OF RESPONSES This Statement of Changes in Beneficial Ownership on Form 4 (this "Form 4") is being filed by Merck & Co., Inc., a New Jersey corporation ("Merck"). As previously reported on an Initial Statement of Beneficial Ownership on Form 3, filed with the Securities and Exchange Commission (the "Commission") on May 21, 2001, Merck, Rosetta Inpharmatics, Inc., a Delaware corporation (the "Issuer") and Coho Acquisition Corp., a Delaware corporation, a wholly-owned subsidiary of Merck ("Merger Sub"), entered into an Agreement and Plan of Merger dated as of May 10, 2001 (the "Merger Agreement") providing for, among other things, the merger of Merger Sub with the Issuer (the "Merger"). In connection with the Merger Agreement, the Issuer and certain stockholders of Issuer (collectively, the "Stockholders") entered into simultaneous Voting and Stock Option Agreements, dated as of May 10, 2001 (the "Voting Agreements"), pursuant to which each of the Stockholders, among other things, (i) agreed to vote all of their shares in favor of the Merger Agreement, (ii) granted Merck an irrevocable proxy to vote his or her shares in favor of the Merger Agreement and the Merger, and (iii) agreed to grant Merck an option ("Option") to purchase the shares of common stock beneficially owned by the Stockholders as of May 10, 2001 and any shares owned or acquired by such Stockholder after that date, contingent upon termination of the Merger Agreement. As of the date of the Voting Agreements, 9,631,035 outstanding shares of Issuer common stock, par value $0.001 per share (the "Common Stock"), were subject to the Option. In addition, the Stockholders collectively held options to acquire an additional 974,833 shares of Common Stock as of May 10, 2001. On July 19, 2001 (the "Effective Time"), the Merger was consummated and, pursuant to the Merger Agreement, each share of the Issuer's Common Stock issued and outstanding immediately prior to the Effective Time ceased to exist and (other than those shares held in the treasury of Issuer or shares that were owned by Issuer, Merck or Merger Sub) were converted into a right to receive 0.2352 shares of Merck common stock, par value $0.01. As a result, as of the Effective Time, each of the Voting Agreements, including the contingent Option, terminated according to its terms. Following the Merger, the Common Stock was delisted from the Nasdaq National Market and the Issuer filed a Form 15 with the Commission suspending the Issuer's duty to file reports under Sections 13 and 15(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and seeking to deregister the Common Stock under the Exchange Act. 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----