-----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, KiXWn8+3vSclF5N/pG7D0wD3YzCLcrh9A8NiG0EzeISM2w+NZhgkpYDn5UXHpUcR Y6g3RDAZAtlS940MyUv3QQ== 0000950005-97-000744.txt : 19970912 0000950005-97-000744.hdr.sgml : 19970912 ACCESSION NUMBER: 0000950005-97-000744 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970905 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PROGENITOR INC CENTRAL INDEX KEY: 0000936537 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 311344193 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-51473 FILM NUMBER: 97675569 BUSINESS ADDRESS: STREET 1: 1507 CHAMBERS RD CITY: COLUMBUS STATE: OH ZIP: 43212 BUSINESS PHONE: 6144886688 MAIL ADDRESS: STREET 1: 1507 CHAMBERS ROAD CITY: COLUMBUS STATE: OH ZIP: 43212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERWEST PARTNERS V LP CENTRAL INDEX KEY: 0000908156 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 3000 SAND HILL RD BLDG 3 STREET 2: SUITE 255 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------------- SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Amendment #1 PROGENITOR, INC. - -------------------------------------------------------------------------------- (Name of the Issuer) Common Stock, $.001 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 743188104 - -------------------------------------------------------------------------------- (CUSIP Number) W. Stephen Holmes III 3000 Sand Hill Road, Suite 255 Menlo Park, California 94025 (650) 854-8585 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 6, 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 schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. 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). (Continued on following pages) (Page 1 of 18 pages)
- ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 2 of 18 pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS InterWest Partners V, L.P. - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A. [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION California - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 1,068,686 OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER -0- --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 1,068,686 --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.05% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ----------- -------------------------------------------------------------------------------------------------------- (Page 2 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 3 of 18 pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS InterWest Management Partners V, L.P. - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION California - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER 1,068,686 OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER -0- --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 1,068,686 --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.05% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - ----------- -------------------------------------------------------------------------------------------------------- (Page 3 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 4 of 18 Pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Alan W. Crites - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,075,748 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.1% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 4 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 5 of 18 Pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Philip T. Gianos - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,068,686 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.05% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 5 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 6 of 18 Pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Wallace R. Hawley - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,075,748 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.1% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 6 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 7 of 18 Pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS W. Scott Hedrick - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,075,748 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.1% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 7 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 8 of 18 Pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS W. Stephen Holmes III - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,075,748 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.1% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 8 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 9 of 18 pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Robert R. Momsen - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,075,748 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,075,748 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.1% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 9 of 18 pages) - ------------------------------------------------------ --------------------------------------------------- CUSIP NO. 743188104 13D Page 10 of 18 pages ----------------- - ------------------------------------------------------ --------------------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Arnold L. Oronsky - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS - ----------- -------------------------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) N/A [ ] - ----------- -------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ----------------------------- --------- ---------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER -0- OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH --------- ---------------------------------------------------------------------------- 8 SHARED VOTING POWER 1,068,686 --------- ---------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------- ---------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,068,686 - ----------- -------------------------------------------------------------------------------------------------------- 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) 8.05% - ----------- -------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------------------------------------------- (Page 10 of 18 pages)
Item 1. Security and the Issuer (a) Title of Security: Common Stock, $.001 par value per share. (b) Name of the Issuer: Progenitor, Inc., a Delaware corporation. (c) The Issuer's principal executive office: 1507 Chambers Road Columbus, OH 43212 Description of Business: The Issuer is engaged in the discovery and characterization of genes to identify targets for development of new pharmaceuticals. Item 2. Identity and Background (a) Name of the Reporting Persons: i. InterWest Partners V, L.P. ("IW V"): ii. InterWest Management Partners V, L.P. ("IMP V"); iii. Alan W. Crites ("Crites"); iv. Philip T. Gianos ("Gianos"); v. Wallace R. Hawley ("Hawley"); vi. W. Scott Hedrick ("Hedrick"); vii. W. Stephen Holmes III ("Holmes"); viii. Robert R. Momsen ("Momsen"); and ix. Arnold L. Oronsky ("Oronsky"). (b) Business address: 3000 Sand Hill Road, Suite 255 Menlo Park, CA 94025 (c) Present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted: IW V: Venture Capital Fund (Page 11 of 18 pages) IMP V: General Partner of IW V Crites: General Partner of IMP V Gianos: General Partner of IMP V Hawley: General Partner of IMP V Hedrick: General Partner of IMP V Holmes: General Partner of IMP V Momsen: General Partner of IMP V Oronsky: General Partner of IMP V (d) Convictions in criminal proceedings since June 3, 1992: None. (e) Judgments for violations of Securities Laws since June 3,1992: None. (f) Citizenship or Place of Organization IW V: California IMP V: California Crites: United States Gianos: United States Hawley: United States Hedrick: United States Holmes: United States Momsen: United States Oronsky: United States Item 3: Source and Amount of Funds or Other Consideration. On June 10, 1994, IW V acquired 2,307,692 shares of Mercator Genetics, Inc. ("Mercator") Series B Preferred Stock for $2,999,999.60 using investment capital. Immediately following such acquisition, a change in the conversion ratio of Mercator's Series B Preferred Stock resulted in the issuance of an additional 9,692,306 shares of Mercator's Series B Preferred Stock to IW V. On April 3, 1996, IW V acquired 14,900,666 shares of Mercator's Series C Preferred Stock for $1,490,066.60 using investment capital. In July, 1996, IW V's Series B Preferred Stock and Series C Preferred Stock became subject to a 1:10 reverse stock split. Immediately after such stock split, IW V held 1,199,999 shares of Series B Preferred Stock and 1,490,066 shares of Series C Preferred Stock. (Page 12 of 18 pages) 99,334 shares of Mercator's Series C Preferred Stock for $9,933.40 using investment capital. In July, 1996, II V's Series B Preferred Stock and Series C Preferred Stock became subject to a 1:10 reverse stock split. Immediately after such stock split, II V held 7,999 shares of Series B Preferred Stock and 9,933 shares of Series C Preferred Stock. On October 31, 1996 and December 19, 1996, IW V acquired Convertible Promissory Notes of Mercator for $331,250.00 and $165,625.00, respectively, using investment capital, which converted to 370,802 shares of Mercator Series D Preferred Stock on August 6, 1997, in connection with the merger of a wholly-owned subsidiary of the Issuer with and into Mercator. Also on August 6, 1997, in connection with the initial public offering of Issuer's Common Stock (the "IPO"), IW V received (i) 92,442 shares of Issuer's Common Stock in exchange for its Series D Preferred Stock, (ii) 589,582 shares of Issuer's Common Stock in exchange for its Series B Preferred Stock; and (iii) 316,106 shares of Issuer's Common Stock in exchange for its Series C Preferred Stock. On August 6, 1997, IW V purchased 70,556 units of Issuer's Stock for $493,892.00 in connection with the IPO using investment capital. Each unit consists of one share of common stock and one warrant to purchase one share of common stock at $10.50 per share by 8/6/2002. Item 4. Purpose of the Transaction Reporting Persons acquired the securities of Issuer for purposes of investment. Reporting Persons currently have no plans or proposals with respect to Issuer. Item 5. Interest in Securities of the Issuer
============================================= ========= ========= ========= ========= ========= IW V IMP V Gianos Oronsky Other* - --------------------------------------------- --------- --------- --------- --------- --------- Beneficial Ownership 1,068,686 1,068,686 1,068,686 1,068,686 1,075,748** - --------------------------------------------- --------- --------- --------- --------- --------- Percentage of Class 8.05% 8.05% 8.05% 8.05% 8.1% - --------------------------------------------- --------- --------- --------- --------- --------- Sole Voting Power 1,068,686 1,068,686 0 0 0 - --------------------------------------------- --------- --------- --------- --------- --------- Shared Voting Power 0 0 1,068,686 1,068,686 1,075,748** - --------------------------------------------- --------- --------- --------- --------- --------- Sole Dispositive Power 1,068,686 1,068,686 0 0 0 - --------------------------------------------- --------- --------- --------- --------- --------- Shared Dispositive Power 0 0 1,068,686 1,068,686 1,075,748** ============================================= ========= ========= ========= ========= ========= * Individuals included in this table include: Crites, Hawley, Hedrick, Holmes, and Momsen. ** Includes 7,062 shares of Issuer's Common Stock held by Interwest Investors V, a general partnership, of which Crites, Hawley, Hedrick, Holmes and Momsen are general partners.
(Page 13 of 18 pages) Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer None. Item 7. Material to be Filed as Exhibits Exhibit A: Joint Filing Statement (Page 14 of 18 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. INTERWEST PARTNERS V, L.P. By InterWest Management Partners V, L.P., its General Partner By: /s/ W. Stephen Holmes III September 5, 1997 ------------------------------------ ----------------------------------- General Partner Date INTERWEST MANAGEMENT PARTNERS V, L.P. By: /s/ W. Stephen Holmes III September 5, 1997 ------------------------------------ ----------------------------------- General Partner Date /s/ Alan W. Crites September 5, 1997 - --------------------------------------- ----------------------------------- Alan W. Crites Date /s/ Philip T. Gianos September 5, 1997 - --------------------------------------- ----------------------------------- Philip T. Gianos Date /s/ Wallace R. Hawley September 5, 1997 - --------------------------------------- ----------------------------------- Wallace R. Hawley Date /s/ W. Scott Hedrick September 5, 1997 - --------------------------------------- ----------------------------------- W. Scott Hedrick Date /s/ W. Stephen Holmes III September 5, 1997 - --------------------------------------- ----------------------------------- W. Stephen Holmes III Date (Page 15 of 18 pages) /s/ Robert R. Momsen September 5, 1997 - --------------------------------------- ----------------------------------- Robert R. Momsen Date /s/ Arnold L. Oronsky September 5, 1997 - --------------------------------------- ----------------------------------- Arnold L. Oronsky Date (Page 16 of 18 pages) EXHIBIT A Joint Filing Statement We, the undersigned, hereby express our agreement that the attached Schedule 13D is filed on behalf of each us. INTERWEST PARTNERS V, L.P. By InterWest Management Partners V, L.P., its General Partner By: /s/ W. Stephen Holmes III September 5, 1997 ------------------------------------ ----------------------------------- General Partner Date INTERWEST MANAGEMENT PARTNERS V, L.P. By: /s/ W. Stephen Holmes III September 5, 1997 ------------------------------------ ----------------------------------- General Partner Date /s/ Alan W. Crites September 5, 1997 - --------------------------------------- ----------------------------------- Alan W. Crites Date /s/ Philip T. Gianos September 5, 1997 - --------------------------------------- ----------------------------------- Philip T. Gianos Date /s/ Wallace R. Hawley September 5, 1997 - --------------------------------------- ----------------------------------- Wallace R. Hawley Date /s/ W. Scott Hedrick September 5, 1997 - --------------------------------------- ----------------------------------- W. Scott Hedrick Date (Page 17 of 18 pages) /s/ W. Stephen Holmes III September 5, 1997 - --------------------------------------- ----------------------------------- W. Stephen Holmes III Date /s/ Robert R. Momsen September 5, 1997 - --------------------------------------- ----------------------------------- Robert R. Momsen Date /s/ Arnold L. Oronsky September 5, 1997 - --------------------------------------- ----------------------------------- Arnold L. Oronsky Date (Page 18 of 18 pages) -----END PRIVACY-ENHANCED MESSAGE-----