-----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, WuP2T0ablVC9CmAiFhxpYP+YCmjoO+9auIiMJRihERpEVDAeVGMixAPFfsYM7sow 1hlTi1i5Ljg4GCi/tfZWcQ== 0000889812-97-000753.txt : 19970325 0000889812-97-000753.hdr.sgml : 19970325 ACCESSION NUMBER: 0000889812-97-000753 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970324 SROS: NASD GROUP MEMBERS: ALAN PATRICOF GROUP MEMBERS: APAX PARTNERS & CIE GESTION GROUP MEMBERS: APAX PARTNERS & CO. VENTURES LIMITED GROUP MEMBERS: APAX VENTURE CAPITAL MANAGERS (JERSEY) LIMITED GROUP MEMBERS: ARTHUR HALE GROUP MEMBERS: MAURICE TCHENIO GROUP MEMBERS: PATRICOF & CO VENTURES INC GROUP MEMBERS: RONALD COHEN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CREATIVE BIOMOLECULES INC CENTRAL INDEX KEY: 0000857121 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 942786743 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-42517 FILM NUMBER: 97561561 BUSINESS ADDRESS: STREET 1: 45 S STREET CITY: HOPKINTON STATE: MA ZIP: 01748 BUSINESS PHONE: 5084359001 MAIL ADDRESS: STREET 1: 45 SOUTH ST CITY: HOPKINTON STATE: MA ZIP: 01748 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PATRICOF & CO VENTURES INC CENTRAL INDEX KEY: 0000938219 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 132647531 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127536300 MAIL ADDRESS: STREET 1: 445 PARK AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D 1 STATEMENT OF BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Creative BioMolecules, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 225270107 (CUSIP Number) Alan Patricof Lawrence G. Goodman, Esq. Patricof & Co. Ventures, Inc. Shereff, Friedman, Hoffman & Goodman, LLP 445 Park Avenue 919 Third Avenue New York, New York 10022 New York, New York 10022 (212) 753-6300 (212) 758-9500 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 5, 1997 (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 which is the subject of this Schedule 13D, and is filing this statement because of Rule 13d-1(b) (3) or (4), check the following: / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. 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 (however, see the Notes). SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 2 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Patricof & Co. Ventures, Inc. | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | New York | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 197,785 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 0 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 197,785 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 0 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 197,785 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 0.6% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | CO | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of __ SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 3 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Apax Partners & Co. Ventures Limited | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | Great Britain | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 3,060,856 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 0 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 3,060,856 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 0 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 3,060,856 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 9.8% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | CO | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 4 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Apax Venture Capital Managers (Jersey) Limited | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | Jersey, Channel Islands | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 764,994 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 0 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 764,994 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 0 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 764,994 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 2.5% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | CO | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 5 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Ronald Cohen | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | PF, AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | Great Britain | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 24,178 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 3,102,106 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 24,178 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 3,102,106 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 3,126,284 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 10.0% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | IN | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 6 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Arthur Hale | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | PF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | Great Britain | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 114,561 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 11,900 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 114,561 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 11,900 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 126,461 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 0.4% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | IN | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 7 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Apax Partners & Cie Gestion | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | France | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 428,900 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 0 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 428,900 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 0 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 428,900 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 1.4% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | CO | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 8 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Maurice Tchenio | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | France | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 57,815 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 428,900 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 57,815 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 428,900 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 486,715 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 1.6% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | IN | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of SCHEDULE 13D - ------------------------- -------------------------- |CUSIP No. 225270107 | |Page 9 of 18 Pages | - ------------------------- -------------------------- - ----------------------------------------------------------------------------- |1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | Alan Patricof | - ----------------------------------------------------------------------------- |2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| | | | (b) |_| | - ----------------------------------------------------------------------------- |3 | SEC USE ONLY | | | | - ----------------------------------------------------------------------------- |4 | SOURCE OF FUNDS* | | | PF, AF | ---------------------------------------------------------------------------- |5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED |_| | | | PURSUANT TO ITEMS 2(d) or 2(e) | | | | - ----------------------------------------------------------------------------- |6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | United States | - ----------------------------------------------------------------------------- | |7 | SOLE VOTING POWER | | NUMBER OF | | 45,878 | | SHARES ------------------------------------------------------------- |BENEFICIALLY |8 | SHARED VOTING POWER | |OWNED BY EACH | | 4,452,535 | | REPORTING ------------------------------------------------------------- | PERSON WITH |9 | SOLE DISPOSITIVE POWER | | | | 45,878 | | ------------------------------------------------------------- | |10| SHARED DISPOSITIVE POWER | | | | 4,452,535 | - ----------------------------------------------------------------------------- |11| AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 4,498,413 | - ----------------------------------------------------------------------------- |12| CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES |_| | | | CERTAIN SHARES* | | | N/A | - ----------------------------------------------------------------------------- |13| PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | 14.4% | - ----------------------------------------------------------------------------- |14| TYPE OF REPORTING PERSON* | | | IN | - ----------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 of Amendment No. 8 to Schedule 13D Creative BioMolecules, Inc. Item 1. Security and Issuer. This Amendment No. 8 to the Statement on Schedule 13D amends and restates the Statement on Schedule 13D filed May 21, 1993 by Patricof & Co. Ventures, Inc., Apax Partners & Co. Ventures Limited, Apax Partners & Cie Gestion and Apax Venture Capital Managers (Jersey) Limited, (the "Schedule 13D"), Amendment No. 1 to the Schedule 13D filed June 2, 1993 by Patricof & Co. Ventures, Inc., Apax Partners & Co. Ventures Limited, Apax Partners & Cie Gestion, Apax Venture Capital Managers (Jersey) Limited and APA Partners (collectively, the "Filing Entities"), Amendment No. 2 to the Schedule 13D filed July 10, 1993 by the Filing Entities, Amendment No. 3 to the Schedule 13D filed September 14, 1993 by the Filing Entities, Amendment No. 4 to the Schedule 13D filed September 29, 1993 by the Filing Entities, Amendment No. 5 to the Schedule 13D filed September 1, 1994 by the Filing Entities, the Statement on Schedule 13D filed August 9, 1994 by Apax Partners & Co. Ventures Limited, Apax Venture Capital Managers (Jersey) Limited, Ronald Cohen, Arthur Hale, Apax Partners & Cie Gestion and Maurice Tchenio (collectively, the "Foreign Filing Entities"), Amendment No. 6 to the Schedule 13D filed January 26, 1995 by the Filing Entities and the Foreign Filing Entities and Amendment No. 7 to the Schedule 13D filed February 26, 1996 by the Filing Entities and the Foreign Filing Entities relating to the common stock, par value $.01 (the "Common Stock"), of Creative BioMolecules, Inc., a Delaware corporation (the "Company"), whose principal executive offices are located at 35 South Street, Hopkinton, Mass. 01748. Capitalized terms used herein and not defined herein have the meanings assigned thereto in the Schedule 13D. Item 2. Identity and Background. (a), (b), (c) and (f). This statement is being filed by Patricof & Co. Ventures, Inc. ("Patricof"), Apax Partners & Co. Ventures Limited ("Apax"), Apax Venture Capital Managers (Jersey) Limited ("Apax Jersey"), Ronald Cohen, Arthur Hale, Apax Partners & Cie Gestion ("Apax Gestion"), Maurice Tchenio and Alan Patricof. Patricof, Apax, Apax Jersey, Ronald Cohen, Arthur Hale, Apax Gestion, Maurice Tchenio and Alan Patricof are sometimes referred to collectively herein as the "Reporting Persons." In addition, Patricia Cloherty, George Jenkins, Janet Effland and Robert Chefitz are sometimes referred to collectively herein as the "Covered Persons." Set forth below is certain information concerning the Reporting Persons:
Name Business Address Citizenship ---- ---------------- ----------- Patricof & Co. Ventures, Inc. 445 Park Avenue New York 11th Floor New York, New York 10022 Apax Partners & Co. Ventures Limited 15 Portland Place Great Britain London W1N 3AA England Apax Venture Capital Managers 23/25 Broad Street Jersey, Channel Islands (Jersey) Limited St. Helier, Jersey Channel Islands Apax Partners & Cie Gestion 45 Avenue Kleber France Paris, France 75116
Patricof is a corporation organized in New York and is the investment advisor to APA Excelsior Venture Capital Holdings (Jersey), Ltd. ("Excelsior Jersey"), which was organized in Jersey, Channel Islands to make venture capital investments. Apax is a corporation organized in Great Britain and is the general partner of Apax Ventures III ("Ventures III") and APAX Ventures IV ("Ventures IV"), Great Britain limited partnerships organized to make venture capital investments, and the managing general partner of Apax Ventures III International Partners, L.P. ("Ventures III International") and APAX Ventures IV International Partners, L.P. ("Ventures IV International"), Delaware limited partnerships organized to make venture capital investments. Apax Jersey is a corporation organized in Jersey, Channel Islands, and is the manager of Apax Ventures II, Ltd. ("Ventures II"), which was organized in Jersey, Channel Islands to make venture capital investments. Ronald Cohen's principal occupation is Chairman of the Board of Apax and his business address is 15 Portland Place, London W1N 3AA, England. Mr. Cohen is a citizen of Great Britain. Mr. Cohen and members of his family are the beneficiary's of Helliot Trust, a trust organized in Jersey, Channel Islands ("Helliot") and Mr. Cohen is a trustee of Apax Partners Pension Trust, a trust organized in Great Britain ("APPT"). Helliot is the sole stockholder of Helliot Ltd., a corporation organized in Jersey, Channel Islands. 2 Arthur Hale's principal occupation is director of Apax and his business address is 15 Portland Place, London W1N 3AA, England. Mr. Hale is a citizen of Great Britain. Mr. Hale is a member of the board of directors of the Company. Apax Gestion is a corporation organized in France and is the manager of Apax Capital Risque II(A)("CRIIA") and Apax Capital Risque II(C)("CRIIC"), each of which is a commingled investment fund formed under French law to make venture capital investments. Maurice Tchenio's principal occupation is Chairman of the Board of Apax Gestion and his business address is 45 Avenue Kleber, Paris, France 75116. Mr. Tchenio is also the Chairman of the Board and a principal stockholder of Apax Partners & Cie SNC (a limited company) ("APCS") formed in France. Alan Patricof's principal occupation is Chairman of the Board and Chief Executive Officer of Patricof and his business address is 445 Park Avenue, New York, New York 10022. Mr. Patricof is a director of Apax, Apax Jersey and Apax Gestion. See Item 5 for information regarding ownership of Common Stock. The executive officers and directors of Patricof are listed below. All of such persons are citizens of the United States unless otherwise indicated.
Name Business Address Position ---- ---------------- -------- Alan Patricof 445 Park Avenue Chairman of the Board, Chief 11th Floor Executive Officer and Director New York, New York 10022 Maurice Tchenio 45 Avenue Kleber Vice Chairman of the Board and (citizen of France) Paris, France 75116 Director Ronald Cohen 15 Portland Place Vice Chairman of the Board and (citizen of Great Britain) London, W1N 3AA England Director Patricia Cloherty 445 Park Avenue President 11th Floor New York, New York 10022 Arthur Burach 445 Park Avenue Vice President - Finance 11th Floor New York, New York 10022 George Jenkins 445 Park Avenue Vice President 11th Floor New York, New York 10022
3
Name Business Address Citizenship ---- ---------------- ----------- Janet Effland 445 Park Avenue Vice President 11th Floor New York, New York 10022 Robert Chefitz 445 Park Avenue Vice President 11th Floor New York, New York 10022
The executive officers and directors of Apax are listed below. All of such persons are citizens of Great Britain unless otherwise indicated.
Name Business Address Position ---- ---------------- -------- Ronald Cohen 15 Portland Place Chairman of the Board London, W1N 3AA England Adrian Beecroft 15 Portland Place Director London, W1N 3AA England Peter Englander 15 Portland Place Director London, W1N 3AA England Arthur Hale 15 Portland Place Director London, W1N 3AA England Barbara Manfrey 15 Portland Place Director (citizen of United States) London, W1N 3AA England John McMonigall 15 Portland Place Director London, W1N 3AA England Andrew Barrett 15 Portland Place Director London, W1N 3AA England Alan Patricof 445 Park Avenue Director (citizen of United States) 11th Floor New York, New York 10022 Clive Sherling 15 Portland Place Director London, W1N 3AA England Peter Skinner 15 Portland Place Director London, W1N 3AA England
4
Name Business Address Position ---- ---------------- -------- Maurice Tchenio 45 Avenue Kleber Director (citizen of France) Paris, France 75116 Jeffrey Wilkinson 15 Portland Place Director London, W1N 3AA England Rhys Williams 15 Portland Place Director (citizen of Canada and London, W1N 3AA England Great Britain) Michael Cohen 15 Portland Place Secretary London, W1N 3AA England
The executive officers and directors of Apax Jersey are listed below.
Name Business Address Position ---- ---------------- -------- Alan Patricof 445 Park Avenue Director (citizen of United States) 11th Floor New York, New York 10022 Maurice Tchenio 45 Avenue Kleber Director (citizen of France) Paris, France 75116 Ian Strang St. James' House Director (citizen of Great Britain) New St. James' Place St. Helier, Jersey, Channel Islands Michael Voisin St. James' House Director (citizen of Great Britain) New St. James' Place St. Helier, Jersey, Channel Islands
The executive officers and directors of Apax Gestion are listed below. All of such persons are citizens of France unless otherwise indicated.
Name Business Address Position ---- ---------------- -------- Maurice Tchenio 45 Avenue Kleber Chairman of the Board and Paris, France 75116 Director
5
Name Business Address Position ---- ---------------- -------- Ronald Cohen 15 Portland Place Director (citizen of Great Britain) London W1N 3AA England Alan Patricof 445 Park Avenue Director (citizen of United States) 11th Floor New York, New York 10022
(d) and (e). During the past five years, none of the Reporting Persons or the other persons listed above has been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors) or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. The funds used to purchase Common Stock by Mr. Patricof were provided from the personal funds of Mr. Patricof. The funds used to purchase Common Stock by Excelsior Jersey, APCS, CRIIA and CRIIC were provided from the respective corporate funds of Excelsior Jersey, APCS, CRIIA and CRIIC. The funds used to purchase Common Stock by Helliot Ltd. and APPT were provided from the respective trust funds of such entities. The funds used to purchase Common Stock by Ventures III, Ventures III International, Ventures IV and Ventures IV International were provided from the respective partnership funds of Ventures III, Ventures III International, Ventures IV and Ventures IV International. The funds used to purchase Common Stock by the Covered Persons were provided from the personal funds of such Covered Persons. Item 4. Purpose of Transaction. Each of the entities managed or advised by the Reporting Persons and each of the Reporting Persons acquired its respective shares of Common Stock for investment purposes. Each of such persons may acquire or dispose of securities of the Company, including shares of Common Stock, directly or indirectly, in open-market or privately negotiated transactions, depending upon the evaluation of the performance and prospects of the Company by the Reporting Persons, and upon other developments and circumstances, including, but not limited to, general economic and business conditions and stock market conditions. Except for the foregoing and as disclosed below, no Reporting Person has any present plans or proposals which relate to or would result in any of the actions or events described in paragraphs (a) through (j) of Item 4 of Schedule 13D. 6 Item 5. Interest in Securities of Issuer. Except as specifically provided for herein, each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock beneficially owned by any of the other Reporting Persons. Patricof may be deemed to be the beneficial owner of 197,785 shares of Common Stock owned by Excelsior Jersey, which shares represent approximately 0.6% of the issued and outstanding Common Stock. Patricof is the investment advisor to Excelsior Jersey and, as such, may be deemed to have sole voting and dispositive power with respect to 197,785 shares of Common Stock. Apax may be deemed to be the beneficial owner of 778,498 shares of Common Stock owned by Ventures III, which shares represent approximately 2.5% of the issued and outstanding shares of Common Stock, 954,060 shares of Common Stock owned by Ventures III International, which shares represent approximately 3.1% of the issued and outstanding shares of Common Stock, 487,206 shares of Common Stock owned by Ventures IV, which shares represent approximately 1.6% of the issued and outstanding Common Stock and 841,092 shares of Common Stock owned by Ventures IV International, which shares represent approximately 2.7% of the issued and outstanding shares of Common Stock. Apax is the managing general partner of Ventures III International and Ventures IV International and the general partner of Ventures III and Ventures IV and, as such, may be deemed to have sole voting and dispositive power with respect to 3,060,856 shares of Common Stock. Apax Jersey may be deemed to be the beneficial owner of 764,994 shares of Common Stock owned by Ventures II, which shares represent approximately 2.5% of the issued and outstanding Common Stock. Apax Jersey is the manager of Ventures II and, as such, may be deemed to have sole voting and dispositive power with respect to 764,994 shares of Common Stock. Ronald Cohen may be deemed to be the beneficial owner of 778,498 shares of Common Stock owned by Ventures III, 954,060 shares of Common Stock owned by Ventures III International, 487,206 shares of Common Stock owned by Ventures IV, 841,092 shares of Common Stock owned by Ventures IV International, 24,178 shares of Common Stock owned personally, 15,000 shares of Common Stock owned by Helliot and 26,250 shares of Common Stock owned by APPT, which shares represent approximately 2.5%, 3.1%, 1.6%, 2.7%, 0.1%, 0.1% and 0.1% of the issued and outstanding shares of Common Stock, respectively. Mr. Cohen has sole voting and dispositive power with respect to the 24,178 shares of Common Stock owned by him and as the Chairman of the Board of Apax, a beneficiary of Helliot and a trustee of APPT, may be deemed to have shared voting and dispositive power with respect to 3,102,106 shares of Common Stock owned by Ventures III, Ventures III International, Ventures IV, Ventures IV International, Helliot and APPT. 7 Maurice Tchenio may be deemed to be the beneficial owner of 55,008 shares of Common Stock owned by APCS, 306,987 shares of Common Stock owned by CRIIA, 121,913 shares of Common Stock owned by CRIIC and 2,807 shares of Common Stock owned personally, which shares represent approximately 0.2%, 1.0%, 0.4% and 0.1% of the issued and outstanding Common Stock, respectively. Mr. Tchenio has sole voting and dispositive power with respect to the 2,807 shares of Common Stock owned by him and as the Chairman of the Board and a principal stockholder of APCS, may be deemed to have sole voting and dispositive power with respect to 55,008 shares of Common Stock owned by APCS. In addition, Mr. Tchenio is the Chairman of the Board of Apax Gestion and, as such, may be deemed to have shared voting and dispositive power with respect to 428,900 shares of Common Stock owned by CRIIA and CRIIC. APAX Gestion may be deemed to be the beneficial owner of 306,987 shares of Common Stock owned by CRIIA and 121,913 shares of Common Stock owned by CRIIC, which shares represent approximately 1.0% and 0.4% of the issued and outstanding Common Stock, respectively. APAX Gestion is the manager of CRIIA and CRIIC and, as such, may be deemed to have sole voting and dispositive power with respect to 428,900 shares of Common Stock owned by CRIIA and CRIIC. Alan Patricof may be deemed to be the beneficial owner of 778,498 shares of Common Stock owned by Ventures III, 954,060 shares of Common Stock owned by Ventures III International, 487,206 shares of Common Stock owned by Ventures IV, 841,092 shares of Common Stock owned by Ventures IV International, 306,987 shares of Common Stock owned by CRIIA, 121,913 shares of Common Stock owned by CRIIC, 764,994 shares of Common Stock owned by Ventures II, 197,785 shares of Common Stock owned by Excelsior Jersey and 45,878 shares of Common Stock owned personally, which shares represent approximately 2.5%, 3.1%, 1.6%, 2.7%, 1.0%, 0.4%, 2.5%, 0.6%, and 0.1%, of the issued and outstanding shares of Common Stock, respectively. Mr. Patricof has sole voting and dispositive power with respect to the 45,878 shares of Common Stock owned directly by him and as a director of Patricof, Apax, Apax Jersey and Apax Gestion, may be deemed to have shared voting and dispositive power with respect to 4,452,535 shares of Common Stock owned by Ventures III, Ventures III International, Ventures IV, Ventures IV International, CRIIA, CRIIC, Ventures II and Excelsior Jersey. Patricia Cloherty owns 30,429 shares of Common Stock directly. Ms. Cloherty has sole voting and dispositive power with respect to such shares. George Jenkins owns 17,051 shares of Common Stock directly. Mr. Jenkins has sole voting and dispositive power with respect to such shares. Robert Chefitz owns 13,326 shares of Common Stock directly. Ms. Chefitz has sole voting and dispositive power with respect to such shares. Janet Effland owns 7,451 shares of Common Stock directly. Ms. Effland has sole voting and dispositive power with respect to such shares. 8 The percentage of beneficial ownership of the Reporting Persons is based on 31,148,963 outstanding shares of Common Stock of the Company on November 5, 1996 as reported in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 1995. All transactions in the Common Stock effected by the Reporting Persons or the Covered Persons during the past 60 days are set forth on Annex A hereto. All such transactions were open market sales. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of Issuer. There are no express contracts, arrangements or understandings among the Reporting Persons with respect to securities of the Company. However, Patricof, Apax, Apax Jersey and Apax Gestion are associated entities and consult with each other with respect to portfolio companies owned by their respective managed or advised entities and often act in common. Ronald Cohen and Arthur Hale are directors of Apax, Maurice Tchenio is a director of Apax Gestion and Alan Patricof is a director of Patricof, Apax, Apax Jersey and Apax Gestion. Item 7. Materials to Be Filed as Exhibits. None. 9 After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 13, 1997 Patricof & Co. Ventures, Inc. By: /s/Alan Patricof --------------------- Name: Alan Patricof Title: Chairman After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 19, 1997 Apax Partners & Co. Ventures Limited By: /s/Ronald Cohen -------------------- Name: Ronald Cohen Title: Chairman After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 19, 1997 For and on behalf of Coutts & Co. (Jersey) Ltd. Administrators of Apax Venture Capital Managers (Jersey) Limited Per Pro Coutts (Jersey) Limited By: /s/ Sean Ryan --------------------------------- Name: Sean Ryan Title: Corporate Services Officer After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 19, 1997 By: /s/Ronald Cohen --------------------- Ronald Cohen After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 19, 1997 By: /s/Arthur Hale --------------------- Arthur Hale After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 13, 1997 Apax Partners & Cie Gestion By: /s/Maurice Tchenio -------------------- Name: Maurice Tchenio Title: Chairman After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 13, 1997 By: /s/Maurice Tchenio -------------------- Maurice Tchenio After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 13, 1997 By: /s/Alan Patricof -------------------- Alan Patricof ANNEX A Avg. Price Date Person Amount Per Share ---- ------ ------ ---------- 1/22/97 Apax Capital 500 10.625 1/22/97 CRIIA 5,000 10.625 1/22/97 CRIIC 2,000 10.625 1/23/97 Apax Capital 400 10.625 1/23/97 CRIIA 3,300 10.625 1/23/97 CRIIC 1,300 10.625 2/4/97 Apax Capital 700 10.50 2/4/97 CRIIA 6,600 10.50 2/4/97 CRIIC 2,700 10.50 2/5/97 Apax Capital 7,979 11.125 2/5/97 CRIIA 86,635 11.125 2/5/97 CRIIC 35,386 11.125 18 -----END PRIVACY-ENHANCED MESSAGE-----