-----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, UXl3hIdSZSlwniDjkSFfNgJHvRinqX6UQ5FSrFUnkGVia37NgESy2NXNv558847m Z/kuVNKKpOo0le1qgxw9sQ== 0001015402-02-003064.txt : 20020904 0001015402-02-003064.hdr.sgml : 20020904 20020904154805 ACCESSION NUMBER: 0001015402-02-003064 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20020904 GROUP MEMBERS: BERTARELLI & CIE GROUP MEMBERS: EMFELD LTD GROUP MEMBERS: FELDON INVEST SA GROUP MEMBERS: KEDGE CAPITAL FUNDS LIMITED SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REGENERON PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000872589 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133444607 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41938 FILM NUMBER: 02756541 BUSINESS ADDRESS: STREET 1: 777 OLD SAW MILL RIVER RD CITY: TARRYTOWN STATE: NY ZIP: 10591-6707 BUSINESS PHONE: 9143477000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERTARELLI ERNESTO CENTRAL INDEX KEY: 0001137404 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2 CHEMIN DES MINES STREET 2: CH 1202 GENEVA CITY: SWITZERLAND MAIL ADDRESS: STREET 1: 2 CHEMIN DES MINES STREET 2: CH 1201 GENEVA CITY: SWITZERLAND SC 13G/A 1 doc1.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C) AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(B) (AMENDMENT NO. 1)* REGENERON PHARMACEUTICALS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 75886F 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) September 3, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). Page 1 of 15 Exhibit Index on Page 13 CUSIP NO. 75886F 10 7 13G/A PAGE 2 ----- of ----- 15 PAGES 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Kedge Capital Funds Limited, Special Situations 1 Fund - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Jersey (Channel Islands) - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power N/A ------------------------------------------------------------------ Shares 6 Shared Voting Power 4,000,000 ------------------------------------------------------------------ Beneficially 7 Sole Dispositive Power N/A ------------------------------------------------------------------ Owned by 8 Shared Dispositive Power Each Reporting 4,000,000 Person With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,000,000 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- CUSIP NO. 75886F 10 7 13G/A PAGE 3 ----- of ----- 15 PAGES 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Feldon Invest SA - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Panama - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power N/A ------------------------------------------------------------------ Shares 6 Shared Voting Power 4,000,000 ------------------------------------------------------------------ Beneficially 7 Sole Dispositive Power N/A ------------------------------------------------------------------ Owned by 8 Shared Dispositive Power Each Reporting 4,000,000 Person With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,000,000 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- CUSIP NO. 75886F 10 7 13G/A PAGE 4 ----- of ----- 15 PAGES 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Emfeld Ltd - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Cayman Islands - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power N/A ------------------------------------------------------------------ Shares 6 Shared Voting Power 4,000,000 ------------------------------------------------------------------ Beneficially 7 Sole Dispositive Power N/A ------------------------------------------------------------------ Owned by 8 Shared Dispositive Power Each Reporting 4,000,000 Person With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,000,000 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- CUSIP NO. 75886F 10 7 13G/A PAGE 5 ----- of ----- 15 PAGES 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Bertarelli & Cie - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Switzerland - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power N/A ------------------------------------------------------------------ Shares 6 Shared Voting Power 4,000,000 ------------------------------------------------------------------ Beneficially 7 Sole Dispositive Power N/A ------------------------------------------------------------------ Owned by 8 Shared Dispositive Power Each Reporting 4,000,000 Person With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,000,000 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) OO - -------------------------------------------------------------------------------- CUSIP NO. 75886F 10 7 13G/A PAGE 6 ----- of ----- 15 PAGES 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Ernesto Bertarelli - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [ ] (See Instructions) (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Switzerland - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power N/A ------------------------------------------------------------------ Shares 6 Shared Voting Power 4,000,000 ------------------------------------------------------------------ Beneficially 7 Sole Dispositive Power N/A ------------------------------------------------------------------ Owned by 8 Shared Dispositive Power Each Reporting 4,000,000 Person With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 4,000,000 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] (See Instructions) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 9.6% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- CUSIP NO. 75886F 10 7 13G/A PAGE 7 ----- of ----- 15 PAGES ITEM 1(a). NAME OF ISSUER: Regeneron Pharmaceuticals, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 777 Old Saw Mill River Road Tarrytown, New York 10591-6707 ITEM 2(a). NAMES OF PERSONS FILING: This statement is being filed jointly by: (i) Kedge Capital Funds Limited, Special Situations 1 Fund, a Jersey (Channel Islands) corporation, the holder of an aggregate of 4,000,000 shares of the issuer's common stock, par value $0.001. (ii) Feldon Invest SA, a Panamanian stock company, which, along with other entities controlled directly or indirectly by Ernesto Bertarelli, holds all of the issued and outstanding voting stock of Kedge Capital Funds Limited; (iii) Emfeld Ltd, a Cayman Islands stock company, which is the holder of all of the issued and outstanding capital stock of Feldon Invest SA; (iv) Bertarelli & Cie, a societe en commandite par actions organized under the laws of Switzerland, which is the holder of all of the issued and outstanding capital stock of Emfeld Ltd; and (v) Ernesto Bertarelli, an individual, who, as President, Managing Director and controlling shareholder of Bertarelli & Cie, controls that entity. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: For Kedge Capital Funds Limited, Special Situations 1 Fund: Lord Coutanche House 66-68 Esplanade St. Helier Jersey (Channel Islands) JE4 5YQ For Feldon Invest SA: Urbanizacion Obarrio Swiss Bank Building 53rd Street Panama City, Panama For Emfeld Ltd: One Capital Place Second Floor P.O. Box 1787 George Town, Grand Cayman, Cayman Islands CUSIP NO. 75886F 10 7 13G/A PAGE 8 ----- of ----- 15 PAGES For Ernesto Bertarelli and Bertarelli & Cie: c/o Abacus Conseil et Expertise Comptable SA 2, Chemin des Mines CH-1202 Geneva Switzerland ITEM 2(c). CITIZENSHIP: Kedge Capital Funds Limited, Special Situations 1 Fund: A corporation organized under the laws of Jersey (Channel Islands) Feldon Invest SA: A stock company organized under the laws of Panama Emfeld Ltd: A stock company organized under the laws of the Cayman Islands Bertarelli & Cie: A societe en commandite par actions organized under the laws of Switzerland Ernesto Bertarelli: Switzerland ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.001 per share ITEM 2(e). CUSIP NUMBER: 75886F 10 7 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP. The ownership percentage set forth below is based on 41,522,075 shares of common stock outstanding as of July 31, 2002, as reported in the issuer's quarterly report on Form 10-Q dated August 13, 2002. With respect to Kedge Capital Funds Limited, Special Situations 1 Fund: (a) Amount beneficially owned: 4,000,000 (b) Percent of class: 9.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: N/A (ii) Shared power to vote or to direct the vote: 4,000,000 (iii) Sole power to dispose or to direct the disposition of: N/A (iv) Shared power to dispose or to direct the disposition of: 4,000,000 CUSIP NO. 75886F 10 7 13G/A PAGE 9 ----- of ----- 15 PAGES With respect to Feldon Invest SA: (a) Amount beneficially owned: 4,000,000 (b) Percent of class: 9.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: N/A (ii) Shared power to vote or to direct the vote: 4,000,000 (iii) Sole power to dispose or to direct the disposition of: N/A (v) Shared power to dispose or to direct the disposition of: 4,000,000 With respect to Emfeld Ltd: (a) Amount beneficially owned: 4,000,000 (b) Percent of class: 9.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: N/A (ii) Shared power to vote or to direct the vote: 4,000,000 (iii) Sole power to dispose or to direct the disposition of: N/A (iv) Shared power to dispose or to direct the disposition of: 4,000,000 With respect to Bertarelli & Cie: (a) Amount beneficially owned: 4,000,000 (b) Percent of class: 9.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: N/A (ii) Shared power to vote or to direct the vote: 4,000,000 (iii) Sole power to dispose or to direct the disposition of: N/A (iv) Shared power to dispose or to direct the disposition of: 4,000,000 With respect to Ernesto Bertarelli: (a) Amount beneficially owned: 4,000,000 (b) Percent of class: 9.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: N/A CUSIP NO. 75886F 10 7 13G/A PAGE 10 ----- of ----- 15 PAGES (ii) Shared power to vote or to direct the vote: 4,000,000 (iii) Sole power to dispose or to direct the disposition of: N/A (iv) Shared power to dispose or to direct the disposition of: 4,000,000 CUSIP NO. 75886F 10 7 13G/A PAGE 11 ----- of ----- 15 PAGES ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP NO. 75886F 10 7 13G/A PAGE 12 ----- of ----- 15 PAGES SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: September 4, 2002 KEDGE CAPITAL FUNDS LIMITED, SPECIAL SITUATIONS 1 FUND /s/ Thomas J. Plotz --------------------------------------- By: Thomas J. Plotz Title: Attorney-in-Fact FELDON INVEST SA /s/ Thomas J. Plotz --------------------------------------- By: Thomas J. Plotz Title: Attorney-in-Fact EMFELD LTD /s/ Thomas J. Plotz --------------------------------------- By: Thomas J. Plotz Title: Attorney-in-Fact BERTARELLI & CIE /s/ Thomas J. Plotz --------------------------------------- By: Thomas J. Plotz Title: Attorney-in-Fact /s/ Ernesto Bertarelli* --------------------------------------- Ernesto Bertarelli * By: /s/ Thomas J. Plotz --------------------------------------- Thomas J. Plotz, Attorney-in-Fact CUSIP NO. 75886F 10 7 13G/A PAGE 13 ----- of ----- 15 PAGES EXHIBITS *1. Power of Attorney of Feldon Invest SA *2. Power of Attorney of Emfeld Ltd *3. Power of Attorney of Bertarelli & Cie *4. Power of Attorney of Ernesto Bertarelli 5. Joint Filing Agreement Pursuant to Rule 13d-1(k)(1) Page 14 6. Power of Attorney of Kedge Capital Funds Limited, Special Situations 1 Fund Page 15 *Previously filed as an exhibit to the Schedule 13G filed by Feldon Invest SA, Emfeld Ltd., Bertarelli & Cie and Ernesto Bertarelli with the Securities and Exchange Commission on April 2, 2001 and incorporated herein by reference. EX-5 3 doc3.txt CUSIP NO. 75886F 10 7 13G/A PAGE 14 ----- of ----- 15 PAGES Exhibit 5 --------- Joint Filing Agreement Pursuant to Rule 13d-1(k)(1) The undersigned hereby agree that this document shall be filed on behalf of each of them. By: KEDGE CAPITAL FUNDS LIMITED, SPECIAL SITUATIONS 1 FUND By: /s/ Thomas J. Plotz ------------------------------------- Name: Thomas J. Plotz Title: Attorney-in-Fact FELDON INVEST SA By: /s/ Thomas J. Plotz ------------------------------------- Name: Thomas J. Plotz Title: Attorney-in-Fact EMFELD LTD By: /s/ Thomas J. Plotz ------------------------------------- Name: Thomas J. Plotz Title: Attorney-in-Fact BERTARELLI & CIE By: /s/ Thomas J. Plotz ------------------------------------- Name: Thomas J. Plotz Title: Attorney-in-Fact By: /s/ Ernesto Bertarelli* ------------------------------------- Ernesto Bertarelli * By: /s/ Thomas J. Plotz ------------------------------------ Thomas J. Plotz, Attorney-in-Fact Dated: September 4, 2002 EX-6 4 doc2.txt CUSIP NO. 75886F 10 7 13G/A PAGE 15 ----- of ----- 15 PAGES Exhibit 6 --------- August 30, 2002 POWER OF ATTORNEY ----------------- The undersigned, Kedge Capital Funds Limited, Special Situations 1 Fund, a corporation organized under the laws of Jersey, by its representatives thereunto duly authorized, hereby constitutes and appoints Thomas J. Plotz, of Shaw Pittman LLP, Washington, D.C., U.S.A., with full power of substitution, its true and lawful attorney-in-fact and agent, in any and all capacities, to sign any and all reports, documents and certificates to be delivered or filed with respect to the ownership, direct or indirect, of the undersigned of shares of the capital stock of Regeneron Pharmaceuticals, Inc., a New York corporation, including, but not limited to, the Schedule 13D or Schedule 13G, the Form 3, any Form 4, any Form 5 and any amendment to any of the foregoing, each to be filed with the United States Securities and Exchange Commission, and to file any such other reports, documents and certificates with respect thereto with any agencies and instrumentalities and other persons with which such other reports, documents or certificates are required to be filed or delivered; and the undersigned hereby grants unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as it might or could do in person, and hereby ratifies and confirms all that said attorney-in-fact and agent, or other substitutes, may lawfully do or cause to be done. Kedge Capital Funds Limited, Special Situations 1 Fund By: /s/ David Hall --------------------------- Name: David Hall Title: Director By: /s/ Peter Newbald --------------------------- Name: Peter Newbald Title: Director -----END PRIVACY-ENHANCED MESSAGE-----