SC 13G 1 d295047dsc13g.htm SCHEDULE 13G Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

Synageva BioPharma Corp.

(Name of Issuer)

 

 

Common Stock, $0.001 par value per share

(Title of Class of Securities)

87159A 103

(CUSIP Number)

December 31, 2011

(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 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).

 

 

 

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 2 of 13

 

  1   

NAMES OF REPORTING PERSONS

 

James L.L. Tullis

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    1,582,974

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    1,582,974

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,582,974

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    7.5 %

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    IN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 3 of 13

 

  1   

NAMES OF REPORTING PERSONS

 

Tullis-Dickerson Capital Focus II, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    382,407

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    382,407

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    382,407

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    1.8%

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    PN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 4 of 13

 

  1   

NAMES OF REPORTING PERSONS

 

Tullis-Dickerson Partners II, L.L.C.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    382,407

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    382,407

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    382,407

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    1.8%

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    PN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 5 of 13

 

  1   

NAMES OF REPORTING PERSONS

 

TD Javelin Capital Fund II, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    638,358

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    638,358

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    638,358

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    3.0%

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    PN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 6 of 13

 

  1 

  

NAMES OF REPORTING PERSONS

 

TD Lighthouse Capital Fund, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    562,209

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    562,209

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    562,209

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    2.7%

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    PN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 7 of 13

 

  1   

NAMES OF REPORTING PERSONS

 

TD II Regional Partners, Inc.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER*

 

    0

   6   

SHARED VOTING POWER

 

    1,200,567

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    1,200,567

  9

  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,200,567

10

  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)  ¨

 

11

  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9**

 

    5.7%

12

  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    PN

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 8 of 13

 

Item 1  

(a)

    Name of Issuer:      
     Synageva BioPharma Corp.      
Item 1  

(b)

    Address of Issuer’s Principal Executive Offices:      
    

128 Spring Street, Suite 520

Lexington, Massachusetts 02421

      
Item 2  

(a)

    Name of Person Filing:      
    

James L.L. Tullis

Tullis-Dickerson Capital Focus II, L.P.

Tullis-Dickerson Partners II, L.L.C.

TD Javelin Capital Fund II, L.P.

TD Lighthouse Capital Fund, L.P.

TD II Regional Partners, Inc.

      
Item 2  

(b)

    Address of Principal Business Office or, if none, Residence:      
     The address of the principal business office of each of the Reporting Persons is One Stamford Plaza, 263 Tresser Boulevard, Stamford, CT 06901.      
Item 2  

(c)

    Citizenship:      
    

James L.L. Tullis – United States

Tullis-Dickerson Capital Focus II, L.P. – Delaware

Tullis-Dickerson Partners II, L.L.C. – Delaware

TD Javelin Capital Fund II, L.P. – Delaware

TD Lighthouse Capital Fund, L.P. – Delaware

TD II Regional Partners, Inc. – Delaware

      
Item 2  

(d)

    Title of Class of Securities:      
     Common Stock, $0.001 par value per share      
Item 2  

(e)

    CUSIP Number:      
     87159A 103      
Item 3      Not applicable.      
Item 4      Ownership.      
     Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.      

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 9 of 13

 

   (a)    Amount beneficially owned:      
     

James L.L. Tullis – 1,582,974

Tullis-Dickerson Capital Focus II, L.P. – 382,407

Tullis-Dickerson Partners II, L.L.C. – 382,407

TD Javelin Capital Fund II, L.P. – 638,358

TD Lighthouse Capital Fund, L.P. – 562,209

TD II Regional Partners, Inc. – 1,200,567

      
   (b)    Percent of class:      
     

James L.L. Tullis – 7.5%

Tullis-Dickerson Capital Focus II, L.P. – 1.8%

Tullis-Dickerson Partners II, L.L.C. – 1.8%

TD Javelin Capital Fund II, L.P. – 3.0%

TD Lighthouse Capital Fund, L.P. – 2.7%

TD II Regional Partners, Inc. – 5.7%

      
   (c)    Number of shares as to which the person has:      
      (i)    Sole power to vote or to direct the vote      
        

James L.L. Tullis – 0

Tullis-Dickerson Capital Focus II, L.P. – 0

Tullis-Dickerson Partners II, L.L.C. – 0

TD Javelin Capital Fund II, L.P. – 0

TD Lighthouse Capital Fund, L.P. – 0

TD II Regional Partners, Inc. – 0

      
      (ii)    Shared power to vote or to direct the vote      
        

James L.L. Tullis – 1,582,974

Tullis-Dickerson Capital Focus II, L.P. – 382,407

Tullis-Dickerson Partners II, L.L.C. – 382,407

TD Javelin Capital Fund II, L.P. – 638,358

TD Lighthouse Capital Fund, L.P. – 562,209

TD II Regional Partners, Inc. – 1,200,567

      
      (iii)    Sole power to dispose or to direct the disposition of      
        

James L.L. Tullis – 0

Tullis-Dickerson Capital Focus II, L.P. – 0

Tullis-Dickerson Partners II, L.L.C. – 0

TD Javelin Capital Fund II, L.P. – 0

TD Lighthouse Capital Fund, L.P. – 0

TD II Regional Partners, Inc. – 0

      
      (iv)    Shared power to dispose or to direct the disposition of      

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 10 of 13

 

        

James L.L. Tullis – 1,582,974

Tullis-Dickerson Capital Focus II, L.P. – 382,407

Tullis-Dickerson Partners II, L.L.C. – 382,407

TD Javelin Capital Fund II, L.P. – 638,358

TD Lighthouse Capital Fund, L.P. – 562,209

TD II Regional Partners, Inc. – 1,200,567

      
  

As the general partner of Tullis-Dickerson Capital Focus II, L.P., Tullis-Dickerson Partners II, L.L.C. is deemed to beneficially own 382,407 shares of the Issuer’s common stock. As the general partner of each of TD Javelin Capital Fund II, L.P. and TD Lighthouse Capital Fund, L.P., TD II Regional Partners, Inc. is deemed to beneficially own 1,200,567 shares of the Issuer’s common stock. As the sole Manager of Tullis-Dickerson Partners II, L.L.C. and the Chief Executive Officer and sole director of TD II Regional Partners, Inc., James L.L. Tullis is deemed to beneficially own 1,582,974 shares of the Issuer’s common stock.

 

All share numbers and ownership percentages reported herein are as of January 31, 2012, and are calculated based on 21,155,956 outstanding shares of the Issuer’s common stock as of January 10, 2012.

      
Item 5    Ownership of Five Percent or Less of a Class.   
   If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following  ¨.   
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.      
   The Reporting Persons are parties to a Joint Filing Agreement filed herewith as Exhibit 99.1.      
Item 9    Notice of Dissolution of Group.      

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 11 of 13

 

   Not applicable.      
Item 10    Certification.      
   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.      

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 12 of 13

 

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.

 

Date: February 1, 2012     JAMES L.L. TULLIS
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    TULLIS-DICKERSON CAPITAL FOCUS II, L.P.
    By: Tullis-Dickerson Partners II, L.L.C., its general partner
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    Title: Manager
    TULLIS-DICKERSON PARTNERS II, L.L.C.
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    Title: Manager
    TD LIGHTHOUSE CAPITAL FUND, L.P.
    By: TD II Regional Partners, Inc., its general partner
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    Title: Chief Executive Officer
    TD JAVELIN CAPITAL FUND II, L.P.
    By: TD II Regional Partners, Inc., its general partner
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    Title: Chief Executive Officer
    TD II REGIONAL PARTNERS, INC.
   

/s/ James L. L. Tullis

    Name: James L. L. Tullis
    Title: Chief Executive Officer

SCHEDULE 13G

 

CUSIP No. 87159A 103   Page 13 of 13

 

EXHIBIT INDEX

 

Exhibit
No.

      
99.1    Joint Filing Agreement pursuant to Rule 13d-1(k)(1) among James L.L. Tullis, Tullis-Dickerson Capital Focus II, L.P., Tullis-Dickerson Partners II, L.L.C., TD Javelin Capital Fund II, L.P., TD Lighthouse Capital Fund, L.P. and TD II Regional Partners, Inc.