-----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, RIpnfgyRuOtRCqud3xMtXxN+GZ2KNA9lsvi20b+CO6xx0SKR5MEvSa8Hi2xbRrr+ jOODII28FPETEO4LAYChZA== 0000947871-98-000049.txt : 19980218 0000947871-98-000049.hdr.sgml : 19980218 ACCESSION NUMBER: 0000947871-98-000049 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COCENSYS INC CENTRAL INDEX KEY: 0000895034 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 330538836 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-42753 FILM NUMBER: 98539104 BUSINESS ADDRESS: STREET 1: 213 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92718 BUSINESS PHONE: 7147536100 MAIL ADDRESS: STREET 2: 213 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92718 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND BUSINESS PHONE: 2128302413 MAIL ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND STATE: V8 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 - -------------------------------------------------------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 COCENSYS, INC. (Name of Issuer) Common Stock, $0.001 Par Value (Title of Class of Securities) 0001912631 (CUSIP Number) Wayne P. Merkelson, Esq. Novartis Corporation 556 Morris Avenue Summit, NJ 07901-1398 Telephone: (908) 522-6777 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Spencer D. Klein, Esq. Shearman & Sterling 599 Lexington Avenue New York, New York 10022 Telephone: (212) 848-4000 - -------------------------------------------------------------------------------- CUSIP No. 0001912631 (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Novartis AG ----------- (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) |_| (b) (3) SEC Use Only (4) Citizenship or Place of Organization Switzerland Number of (5) Sole Voting Power 0 Shares --- Beneficially (6) Shared Voting Power 2,378,192 Owned by ----------- Each (7) Sole Dispositive Power 0 Reporting --- Person (8) Shared Dispositive Power 2,378,192 With ----------- - ---- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,378,192 ---------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) (11) Percent of Class Represented by Amount in Row (9) 10.43% ------- (12) Type of Reporting Person (See Instructions) CO ---- CUSIP No. 0001912631 (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Novartis Produkte AG -------------------- (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) |_| (b) (3) SEC Use Only (4) Citizenship or Place of Organization Switzerland Number of (5) Sole Voting Power 0 Shares --- Beneficially (6) Shared Voting Power 2,378,192 Owned by ----------- Each (7) Sole Dispositive Power 0 Reporting --- Person (8) Shared Dispositive Power 2,378,192 With ----------- - ---- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,378,192 ---------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) (11) Percent of Class Represented by Amount in Row (9) 10.43% -------- (12) Type of Reporting Person (See Instructions) CO ---- Item 1. Issuer (a) CoCensys, Inc. (b) 201 Technology Drive Irvine, California 92618 Item 2. Person Filing (a) Name of Person Filing: Novartis AG ("Novartis") and Novartis Produkte AG. (b) Address of Principal Office: The principal offices of Novartis and Novartis Produkte AG are located at Schwarzwaldallee 215, CH-4002, Basel, Switzerland. (c) Citizenship: Novartis and Novartis Produkte AG are Swiss corporations. (d) Title of Class of Securities: Common Stock, $0.001 par value. (e) CUSIP Number: 0001912631 Item 3. Not applicable. Item 4. Ownership (a) Amount Beneficially Owned: 2,378,192 (b) Percent of Class: 10.43% (c) Number of shares as to which each person has: (i) Sole Voting Power: 0 (ii) Shared Voting Power: 2,378,192 (iii) Sole Dispositive Power: 0 (iv) Shared Dispositive Power: 2,378,192 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 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. Certification if Statement Filed Pursuant to Rule 13d-1(b) Not Applicable. SIGNATURE After reasonable inquiry to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 1998 NOVARTIS AG By: /s/ Dr. Urs Barlocher ----------------------------- General Counsel By: /s/ Christoph Mader ----------------------------- Senior Corporate Counsel SIGNATURE After reasonable inquiry to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 1998 NOVARTIS PRODUKTE AG By: /s/ Dr. Urs Barlocher ----------------------------- Authorized Signatory By: /s/ Anita Buchli ----------------------------- Authorized Signatory -----END PRIVACY-ENHANCED MESSAGE-----