-----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, JQBOwTm1sbUmWv28d8dX0s1dbBaJ+UCUtUrJQ7j/skrCqD1fimISMDeAHmgckGE1 SjdCmpy9mDi+gabpfmcGug== 0000893750-00-000563.txt : 20001211 0000893750-00-000563.hdr.sgml : 20001211 ACCESSION NUMBER: 0000893750-00-000563 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001130 FILED AS OF DATE: 20001208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AFFYMETRIX INC CENTRAL INDEX KEY: 0000913077 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 770319159 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-28218 FILM NUMBER: 785993 BUSINESS ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4085226000 MAIL ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 COMPANY DATA: COMPANY CONFORMED NAME: GLAXO WELLCOME PLC CENTRAL INDEX KEY: 0000944737 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: BERKELEY SQUARE CITY: LONDON STATE: X0 ZIP: 00000 MAIL ADDRESS: STREET 1: SIMPSON THACHER & BARTLETT STREET 2: 99 BISHOPSGATE CITY: LONDON STATE: X0 4 1 0001.txt OMB APPROVAL OMB Number: 3235-0287 Expires: December 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* AFFYMAX N.V. (Last) (First) (Middle) Glaxo Wellcome House, Berkeley Avenue (Street) Greenford, Middlesex, UB6 ONN, England (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Affymetrix, Inc. (AFFX) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) N/A 4. Statement for Month/Year November 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner ----- ----- Officer (give title below) Other (specify below) ----- ----- 1 of 6 7. Individual or Joint/Group Filing (Check Applicable Line) X -------- Form filed by one Reporting Person -------- Form filed by more than one Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date (Month/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Day/ Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 6,692,214 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 269,920 1 See (1) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/01/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/02/00 See Annex I ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). (Over) 2 of 6 FORM 4 (continued) Table II -- Derivative Securities Aacquired Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: [FN] (1) These securities are owned of record by Affymax Technologies, N.V., which is a wholly-owned subsidiary of the Reporting Person. Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). AFFYMAX N.V. December 8, 2000 -------------------- Date 3 of 6 Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. By: /s/ V.A. Llewellyn ________________________________ Name: V.A. Llewellyn Title: Company Scretary Potential persons who are to respond to the collection of information contained in this form are not requred to respond unless the form dislays a currently valid OMB Number. ** Signature of Reporting Person 4 of 6
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 250000 D 60.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/02 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.250 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.8750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 72.50 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 73.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 74.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 74.18750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 35000 D 74.50 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 74.750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 105000 D 75.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.1250 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.250 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 65000 D 75.50 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 75.750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.8750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 170000 D 76.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 60000 D 76.1250 D 5 of 6 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 76.750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 20000 D 76.8750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 77.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 77.6250 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 78.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 12500 D 79.00 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.1250 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.3750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 500 D 79.43750 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 5000 D 79.50 D 6 of 6 OMB APPROVAL OMB Number: 3235-0287 Expires: December 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* GLAXO VENTURE LIMITED (Last) (First) (Middle) Glaxo Wellcome House, Berkeley Avenue (Street) Greenford, Middlesex, UB6 ONN, England (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Affymetrix, Inc. (AFFX) 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) N/A 4. Statement for Month/Year November 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner - See (1) ----- ----- Officer (give title below) Other (specify below) ----- ----- 1 of 6 7. Individual or Joint/Group Filing (Check applicable line) X -------- Form filed by one Reporting Person -------- Form filed by more than one Reporting Person =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 6,962,134 I See (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/01/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/02/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). 2 of 6 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: [FN] (1) As the parent company of Affymax N.V., which is the parent company of Affymax Technologies N.V., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be the beneficial owner of Common Stock held of record by Affymax N.V. and Affymax Technologies N.V. Accordingly, the Reporting Person may be deemed to be a "10 percent beneficial owner" for purposes of Section 16 of the Act. (2) 6,692,214 shares are owned of record by Affymax N.V., which is a wholly owned subsidiary of the Reporting Person. 269,920 shares are owned of record by Affymax Technologies N.V., which s wholly-owned subsidiary of Affymax N.V. 3 of 6 (3) At the time of disposition, these shares were held of record by Affymax N.V., which is a wholly-owned subsidiary of the Reporting Person. Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). GLAXO VENTURE LIMITED December 8, 2000 ------------------ Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. By: /s/ S. J. Cowden _______________________ Name: S.J. Cowden Title: Secretary Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ** Signature of Reporting Person 4 of 6 ANNEX I
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 250000 D 60.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/02 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.250 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.8750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 72.50 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 73.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 74.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 74.18750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 35000 D 74.50 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 74.750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 105000 D 75.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.1250 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.250 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 65000 D 75.50 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 75.750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.8750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 170000 D 76.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 60000 D 76.1250 I See (3) 5 of 6 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 76.750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 20000 D 76.8750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 77.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 77.6250 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 78.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 12500 D 79.00 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.1250 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.3750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 500 D 79.43750 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 5000 D 79.50 I See (3) 6 of 6 OMB APPROVAL OMB Number: 3235-0287 Expires: December 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* GLAXO GROUP LIMITED (Last) (First) (Middle) Glaxo Wellcome House, Berkeley Avenue (Street) Greenford, Middlesex, UB6 ONN, England (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Affymetrix, Inc. (AFFX) 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) N/A 4. Statement for Month/Year November 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner - See (1) ----- ----- Officer (give title below) Other (specify below) ----- ----- 1 of 6 7. Individual or Joint/Group Filing (Check applicable line) X -------- Form filed by one Reporting Person -------- Form filed by more than one Reporting Person =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 6,692,134 I See (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2,514,458 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/01/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/02/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). (Over) 2 of 6 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: [FN] (1) As the parent company of Glaxo Venture Limited, which is an indirect 16.66% owner of Glaxo Wellcome Americas Inc. and as the parent company of Affymax N.V., which is the parent company of Affymax Technologies N.V., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be the beneficial owner of Common Stock held of record by each of Affymax N.V., Affymax Technologies N.V. and Glaxo Wellcome Americas Inc. and therefore may be deemed to be a "10 percent beneficial owner" for purposes of Section 16 of the Act. (2) 6,692,214 shares are owned of record by Affymax N.V., which is a wholly owned subsidiary of Glaxo Venture Limited, which is a wholly-owned subsidiary of the Reporting Person; 269,920 shares are owned of record by Affymax Technologies N.V., which is a wholly-owned subsidiary of Affymax N.V. (3) These securities are owned of record by Glaxo Wellcome Americas, Inc., which is a wholly-owned subsidiary of Glaxo Wellcome Internationals, which is a wholly-owned subsidiary of Glaxo Wellcome Investments B.V., which is wholly-owned subsidiary of Glaxo Wellcome International B.V., 3 of 6 which is a wholly-owned subsidiary of Glaxo Wellcome Holdings Limited, of which the Reporting Person is a 16.66% owner. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of such Reporting Person's pecuniary interest. (4) At the time of disposition, these shares were held of record by Affymax N.V., which is a wholly-owned subsidiary of Glaxo Venture Limited, which is a wholly-owned subsidiary of the Reporting Person. Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Persons herein state that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). GLAXO GROUP LIMITED December 8, 2000 ------------------ Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. By: /s/ S. J. Cowden _______________________ Name: S.J. Cowden Title: Secretary Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ** Signature of Reporting Person 4 of 6 ANNEX I
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 250000 D 60.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/02 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.250 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.8750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 72.50 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 73.50 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 74.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 74.18750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 35000 D 74.50 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 74.750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 105000 D 75.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.1250 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.250 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 65000 D 75.50 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 75.750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.8750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 170000 D 76.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 60000 D 76.1250 I See (4) 5 of 6 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 76.750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 20000 D 76.8750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 77.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 77.6250 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 78.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 12500 D 79.00 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.1250 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.3750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 500 D 79.43750 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 5000 D 79.50 I See (4) 6 of 6 OMB APPROVAL OMB Number: 3235-0287 Expires: December 31, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* GLAXO WELLCOME PLC (Last) (First) (Middle) Glaxo Wellcome House, Berkeley Avenue (Street) Greenford, Middlesex, UB6 ONN, England (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Affymetrix, Inc. (AFFX) 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) N/A 4. Statement for Month/Year November 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner - See (1) ----- ----- Officer (give title below) Other (specify below) ----- ----- 1 of 6 7. Individual or Joint/Group Filing (Check applicable Line) X -------- Form filed by one Reporting Person -------- Form filed by more than one Reporting Person =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 6,962,134 I See (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2,514,458 I See (3) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 79,966 I See (4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/02/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/02/00 See Annex I - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
[FN] Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). (Over) 2 of 6 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- Option (right $.3375 See (7) 1/16/01 Common 53,333 1 I See (6) to buy) Stock - ----------------------------------------------------------------------------------------------------------------------------------- Option (right $.3375 See (8) 1/16/01 Common 53,333 1 I See (6) to buy) Stock - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: [FN] (1) As the ultimate parent company of Glaxo Wellcome Americas Inc. and as the parent company of Glaxo Group Limited, which is the parent company of Glaxo Venture Limited, which is the parent company of Affymax N.V., which is the parent company of Affymax Technologies N.V., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be the beneficial owner of Common Stock held of record by Affymax N.V., Affymax Technologies N.V. and Glaxo Wellcome Americas Inc. and, therefore, may be deemed to be a "10 percent beneficial owner" for purposes of Section 16 of the Act. (2) 6,692,214 shares are owned of record by Affymax N.V., which is a wholly- owned subsidiary of Glaxo Venture Limited, which is a wholly-owned subsidiary of Glaxo Group Limited, which is a wholly-owned subsidiary of the Reporting Person. 269,920 shares are owned of record by Affymax Technologies N.V., which s wholly-owned subsidiary of Affymax N.V. 3 of 6 (3) These securities are owned of record by Glaxo Wellcome Americas, Inc., which is a wholly-owned subsidiary of Glaxo Wellcome International, which is a wholly-owned subsidiary of Glaxo Wellcome Investments B.V., which is a wholly-owned subsidiary of Glaxo Wellcome International B.V., which is a wholly-owned subsidiary of Glaxo Wellcome Holdings Limited, of which Glaxo Group Limited owns 16.7% and Wellcome Limited owns 83.33%. The Reporting Person is the direct parent company of both Glaxo Group Limited and Wellcome Limited. (4) These securities are held by Mr. Douglas M. Hurt, formerly a director of Affymetrix, Inc. designated by the Reporting Person, for the benefit of the Reporting Person. (5) At the time of disposition, these shares were held of record by Affymax N.V., which is a wholly-owned subsidiary of Glaxo Venture Limited, which is a wholly-owned subsidiary of Glaxo Group Limited, which is a wholly-owned subsidiary of the Reporting Person. (6) These securities are held by Dr. Barry C. Ross, formerly a director of Affymetrix, Inc. designated by the Reporting Person, for the benefit of the Reporting Person. (7) One-quarter of these securities are exercisable on 11/30/96, 11/30/97, 11/30/98 and 11/30/99. Pursuant to the resignation of Dr. Barry C. Ross as a director of Affymetrix, Inc. effective as of 10/18/00, the option lapsed with respect to an additional 13,333 shares of Affymetrix Common Stock, in respect of which the option had not vested. (8) One-quarter of these securities are exercisable on 12/20/96, 12/20/97, 12/20/98 and 12/20/99. Pursuant to the resignation of Dr. Barry C. Ross as a director of Affymetrix, Inc. effective as of 10/18/00, the option lapsed with respect to an additional 13,333 shares of Affymetrix Common Stock, in respect of which the option had not vested. Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Persons herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). GLAXO WELLCOME LIMITED December 8, 2000 ------------------ Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. By: /s/ S. J. Cowden _______________________ Name: S.J. Cowden Title: Secretary Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ** Signature of Reporting Person 4 of 6 ANNEX I
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/01 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 250000 D 60.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Dispositions Consummated 11/02 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.250 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 71.8750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 72.50 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 73.50 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 74.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 74.18750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 35000 D 74.50 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 74.750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 105000 D 75.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.1250 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 72.250 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 65000 D 75.50 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 75.750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 25000 D 75.8750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 170000 D 76.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 60000 D 76.1250 I See (5) 5 of 6 - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 76.750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 20000 D 76.8750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 50000 D 77.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 77.6250 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 78.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 12500 D 79.00 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.1250 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 10000 D 79.3750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 500 D 79.43750 I See (5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock S 5000 D 79.50 I See (5) 6 of 6
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