0001144204-12-039476.txt : 20120713
0001144204-12-039476.hdr.sgml : 20120713
20120713184752
ACCESSION NUMBER: 0001144204-12-039476
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120713
FILED AS OF DATE: 20120713
DATE AS OF CHANGE: 20120713
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SYNAGEVA BIOPHARMA CORP
CENTRAL INDEX KEY: 0000911326
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 561808663
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 128 SPRING STREET
STREET 2: SUITE 520
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: (781) 357-9900
MAIL ADDRESS:
STREET 1: 128 SPRING STREET
STREET 2: SUITE 520
CITY: LEXINGTON
STATE: MA
ZIP: 02421
FORMER COMPANY:
FORMER CONFORMED NAME: TRIMERIS INC
DATE OF NAME CHANGE: 19970516
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAKER FELIX
CENTRAL INDEX KEY: 0001087940
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23155
FILM NUMBER: 12962545
MAIL ADDRESS:
STREET 1: BAKER BROTHERS ADVISORS
STREET 2: 667 MADISON AVENUE, 21ST FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10065
4
1
form451937_20120713064716-.xml
X0306
4
2012-07-13
0
0000911326
SYNAGEVA BIOPHARMA CORP
GEVA
0001087940
BAKER FELIX
667 MADISON AVENUE, 21ST FLOOR
NEW YORK
NY
US 10065
1
0
1
0
Common Stock
500
D
Common Stock
143462
I
See Footnotes
Common Stock
206800
I
See Footnotes
Common Stock
165213
I
See Footnotes
Common Stock
55479
I
See Footnotes
Common Stock
100490
I
See Footnotes
Common Stock
1736065
I
See Footnotes
Common Stock
2012-07-13
4
P
0
864918
41.2
A
5942594
I
See Footnotes
Common Stock
2012-07-13
4
P
0
21082
41.2
A
156821
I
See Footnotes
Felix J. Baker may be deemed to have an indirect pecuniary interest in 143,462 shares of Common Stock of Synageva Biopharma Corp. (the "Issuer") directly held by FBB Associates. Felix J. Baker and Julian C. Baker are the sole partners of FBB Associates. Felix J. Baker disclaims beneficial ownership of the securities held directly by FBB Associates except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Felix J. Baker or Julian C. Baker is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Julian C. Baker is filing a Form 4 separately.
As a result of his ownership interest in Baker Tisch Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in 206,800 shares of Common Stock of the Issuer directly held by Baker Tisch Investments, L.P. ("Baker Tisch"), a limited partnership of which the sole general partner is Baker Tisch Capital, L.P., a limited partnership of which the sole general partner is Baker Tisch Capital (GP), LLC, due to Baker Tisch Capital, L.P.'s right to receive an allocation of a portion of the profits from Baker Tisch.
As a result of his ownership interest in Baker Bros. Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in 165,213 shares of Common Stock of the Issuer directly held by Baker Bros. Investments, L.P. ("Bake Bros. Investments"), a limited partnership of which the sole general partner is Baker Bros. Capital, L.P., a limited partnership of which the sole general partner is Baker Bros. Capital (GP), LLC, due to Baker Bros. Capital, L.P.'s right to receive an allocation of a portion of the profits from Baker Bros. Investments.
As a result of his ownership interest in Baker Bros. Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in 55,479 shares of Common Stock of the Issuer directly held by Baker Bros. Investments II, L.P. ("Baker Bros. Investments II"), a limited partnership of which the sole general partner is Baker Bros. Capital, L.P., a limited partnership of which the sole general partner is Baker Bros. Capital (GP), LLC, due to Baker Bros. Capital, L.P.'s right to receive an allocation of a portion of the profits from Baker Bros. Investments II.
As a result of his ownership interest in Baker Biotech Capital II(A) (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in 100,490 shares of Common Stock of the Issuer directly held by Baker Biotech II(A), L.P. ("Baker Biotech"), a limited partnership of which the sole general partner is Baker Biotech Capital II(A), L.P., a limited partnership of which the sole general partner is Baker Biotech Capital II(A) (GP), LLC, due to Baker Biotech Capital II(A), L.P.'s right to receive an allocation of a portion of the profits from Baker Biotech.
As a result of his ownership interest in Baker Biotech Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in 1,736,065 shares of Common Stock of the Issuer directly held by 667, L.P. ("667"), a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667.
On July 13, 2012, Baker Brothers Life Sciences, L.P. ("Life Sciences") and 14159, L.P. ("14159", and together with Baker Tisch, Baker Bros. Investments, Baker Bros. Investments II, Baker Biotech, 667 and Life Sciences, the "Funds") purchased 864,918 and 21,082 shares of the Issuer's common stock, respectively, pursuant to an underwritten public offering.
After giving effect to the transaction reported herein, and as a result of his ownership interest in Baker Brothers Life Sciences Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences.
After giving effect to the transaction reported herein, and as a result of his ownership interest in 14159 Capital (GP), LLC, Felix J. Baker may be deemed to have an indirect pecuniary interest in the Issuer's shares of Common Stock reported in Column 5 of Table I directly held by 14159, a limited partnership of which the sole general partner is 14159 Capital, L.P., a limited partnership of which the sole general partner is 14159 Capital (GP), LLC, due to 14159 Capital, L.P.'s right to receive an allocation of a portion of the profits from 14159.
The aggregate indirect beneficial ownership reported on this form is 8,506,924 shares.
Baker Bros. Advisors, LLC (the "Adviser") serves as the Investment Adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Felix J. Baker and Julian C. Baker are principals of the Adviser. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. Felix J. Baker, Julian C. Baker and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Felix J. Baker, Julian C. Baker and/or the Adviser are beneficial owners of such securities for purposes of Section 16 or any other purpose.
/s/ Felix J. Baker
2012-07-13