-----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, Hmv/AbDOAcScZnigo+/P0jvDDwLEXu4QKZunpwkxGZqq6o99IQ/5+bni2DO+KbeY 4Cl/BCQUC6TARRbO57gJ3g== 0000950135-97-000573.txt : 19970222 0000950135-97-000573.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000573 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: E.M. WARBURG, PINCUS & CO., LLC GROUP MEMBERS: WARBURG PINCUS CAPITAL CO LP GROUP MEMBERS: WARBURG, PINCUS & CO. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSKARYOTIC THERAPIES INC CENTRAL INDEX KEY: 0000885259 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 043027191 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47221 FILM NUMBER: 97530084 BUSINESS ADDRESS: STREET 1: 195 ALBANY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02138 BUSINESS PHONE: 6173490200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS CAPITAL CO LP CENTRAL INDEX KEY: 0000898600 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061183391 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 466 LEXINGTON AVENUE 10TH FLOOR STREET 2: C/O E M WARBURG PINCUS & CO CITY: NEW YORK STATE: NY ZIP: 10017-3147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS & CO STREET 2: 466 LEXINGTON AVENUE 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017-3147 SC 13G 1 TRANSKARYOTIC THERAPIES INC 1 --------------------------------- OMB APPROVAL OMB NUMBER 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response....14.90 --------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Transkaryotic Therapies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 893735-10-0 ------------------------------------------- (CUSIP Number) *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 9 pages 2 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 2 of 9 pages. ----------- --- --- - ------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Warburg, Pincus Capital Company, L.P. 06-1183391 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 5,929,486 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY Not Applicable EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 5,929,486 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER Not Applicable - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,929,486 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 35.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 3 of 9 pages. ----------- --- --- - ------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Warburg, Pincus & Co. 13-6358475 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 5,929,486 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY Not Applicable EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 5,929,486 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER Not Applicable - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,929,486 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 35.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 4 of 9 pages. ----------- --- --- - ------------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON E.M. Warburg, Pincus & Co., LLC 13-3536050 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 5,929,486 NUMBER OF ------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY Not Applicable EACH ------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 5,929,486 ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER Not Applicable - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,929,486 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 35.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO (Limited Liability Company) - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 5 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 5 of 9 pages. ----------- --- --- - ------------------------- ------------------------- ITEM 1. (a) NAME OF ISSUER. Transkaryotic Therapies, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICE. 195 Albany Street Cambridge, Massachusetts 02139 ITEM 2. (a) NAME OF PERSON FILING. See each of the Reporting Persons listed in Question 1 on the Cover Page of this Schedule 13G. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE. The address of each of the Reporting Persons listed on the Cover Page of this Schedule 13G is c/o E.M. Warburg, Pincus & Co. LLC, 466 Lexington Avenue, New York, NY 10017-3147. (c) CITIZENSHIP. See the response of Each Reporting Person to Question 4 on the Cover Page of this Schedule 13G. (d) TITLE OF CLASS OF SECURITIES. Common Stock, $.01 par value per share (e) CUSIP NUMBER. 893735 10 0 ITEM 3. TYPE OF REPORTING PERSON. Not applicable; this statement is filed pursuant to Rule 13d-1(c). 6 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 6 of 9 pages. ----------- --- --- - ------------------------- ------------------------- ITEM 4. OWNERSHIP. (a) AMOUNT BENEFICIALLY OWNED AS OF DECEMBER 31, 1996. 5,929,486(1)(2) (b) PERCENTAGE OF CLASS. 35.7% (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 5,929,486 (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: Not Applicable (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 5,929,486 (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: Not Applicable 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. - ---------------------------- (1) Includes 478,966 shares which may be acquired within 60 days by each of the Reporting Persons listed on Question 1 on the Cover Page of this Schedule 13G upon the exercise of outstanding warrants. (2) This statement is filed by and on behalf of (a) Warburg, Pincus Capital Company, L.P., a Delaware limited Partnership ("WPCC"); (b) Warburg, Pincus & Co., a New York general partnership ("WP"); and E.M. Warburg, Pincus & Co., LLC, a New York limited liability company ("EMW LLC"), which manages WPCC. WP, the sole general partner of WPCC, has a 20% interest in the profits of WPCC. Lionel I. Pincus is the managing partner of WP and the managing member of EMW LLC and may be deemed to control both WP and EMW LLC. The members of EMW LLC are substantially the same as the partners of WP. 7 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 7 of 9 pages. ----------- --- --- - ------------------------- ------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. This Schedule 13G is being filed on behalf of each of the Reporting Persons listed on Question 1 of the Cover Page to this Schedule 13G pursuant to Rule 13d-1(c) and Rule 13d-1(f)(1). The agreement required by Rule 13d-1(f)(1)(iii) is attached hereto as Exhibit A. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable; this statement is filed pursuant to Rule 13d-1(c). 8 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 8 of 9 pages. ----------- --- --- - ------------------------- ------------------------- SIGNATURE 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. WARBURG, PINCUS CAPITAL COMPANY, L.P. By: Warburg, Pincus & Co., General Partner By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Partner WARBURG, PINCUS & CO. By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Partner E.M. WARBURG, PINCUS & CO., LLC By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Member Dated: February 10, 1997 9 - ------------------------- ------------------------- CUSIP No. 893735-10-0 13G Page 9 of 9 pages. ----------- --- --- - ------------------------- ------------------------- JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f) (1) ----------------------------- The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that it knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts and all of such counterparts taken together shall constitute one and the same instrument. Dated: February 10, 1997 WARBURG, PINCUS CAPITAL COMPANY, L.P. By: Warburg, Pincus & Co., General Partner By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Partner WARBURG, PINCUS & CO. By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Partner E.M. WARBURG, PINCUS & CO., LLC By: /s/ Stephen Distler -------------------------------------- Name: Stephen Distler Title: Member -----END PRIVACY-ENHANCED MESSAGE-----