-----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, Dst1RXKA3qU3yxR60fOktiSa06hW5QmHC0Ai8qpsPu6PiLcl/qtzh490NvibW3Pu HIxZvoiwmuGbqhAkmAQfYg== 0000898432-06-000181.txt : 20060213 0000898432-06-000181.hdr.sgml : 20060213 20060213170008 ACCESSION NUMBER: 0000898432-06-000181 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051121 FILED AS OF DATE: 20060213 DATE AS OF CHANGE: 20060213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AEOLUS PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001261734 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 561953785 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 23811 INVERNESS PLACE CITY: LAGUNA NIGUEL STATE: CA ZIP: 92677 BUSINESS PHONE: 9494819825 MAIL ADDRESS: STREET 1: 23811 INVERNESS PLACE CITY: LAGUNA NIGUEL STATE: CA ZIP: 92677 FORMER COMPANY: FORMER CONFORMED NAME: INCARA PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20031205 FORMER COMPANY: FORMER CONFORMED NAME: INCARA INC DATE OF NAME CHANGE: 20030828 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND L P CENTRAL INDEX KEY: 0000918923 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 06604517 BUSINESS ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 415-288-23 MAIL ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BVF PARTNERS L P/IL CENTRAL INDEX KEY: 0001055947 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 06604520 BUSINESS ADDRESS: STREET 1: ONE SANSOME ST STREET 2: 39TH FL CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 3122637777 MAIL ADDRESS: STREET 1: 227 W MONROE STREET 2: SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BVF INC/IL CENTRAL INDEX KEY: 0001056807 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 06604518 BUSINESS ADDRESS: STREET 1: ONE SANSOME ST STREET 2: 39TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 3122637777 MAIL ADDRESS: STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT STREET 2: 227 W MONROE ST, #4800 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND II LP CENTRAL INDEX KEY: 0001102444 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 06604516 BUSINESS ADDRESS: STREET 1: ONE SANSOME ST STREET 2: 39TH FL. CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 3122637777 MAIL ADDRESS: STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT STREET 2: 227 W. MONROE ST #4800 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BVF INVESTMENTS LLC CENTRAL INDEX KEY: 0001132245 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50481 FILM NUMBER: 06604521 BUSINESS ADDRESS: STREET 1: ONE SANSOME ST. 39TH FL CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 3127392123 MAIL ADDRESS: STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT LP STREET 2: 227 W. MONROE ST. #4800 CITY: CHICAGO STATE: IL ZIP: 60606 3 1 bvfpartners-3_ex.xml X0202 3 2005-11-21 0 0001261734 AEOLUS PHARMACEUTICALS, INC. AOLS.OB 0001055947 BVF PARTNERS L P/IL 900 NORTH MICHIGAN AVENUE SUITE 1100 CHICAGO IL 60611 0 0 1 1 Indirect Beneficial Owner 0001056807 BVF INC/IL 900 NORTH MICHIGAN AVENUE SUITE 1100 CHICAGO IL 60611 0 0 1 1 Indirect Beneficial Owner 0000918923 BIOTECHNOLOGY VALUE FUND L P 900 NORTH MICHIGAN AVENUE SUITE 1100 CHICAGO IL 60611 0 0 1 0 0001102444 BIOTECHNOLOGY VALUE FUND II LP 900 NORTH MICHIGAN AVENUE SUITE 1100 CHICAGO IL 60611 0 0 1 0 0001132245 BVF INVESTMENTS LLC 900 NORTH MICHIGAN AVENUE SUITE 1100 CHICAGO IL 60611 0 0 1 0 Common Stock 240000 D Common Stock 170000 D Common Stock 350000 D Common Stock 760000 I See footnotes Common Stock 760000 I See footnotes Series A Convertible Preferred Stock 1.00 Common Stock, par value $0.01 per share 74000 D Series A Convertible Preferred Stock 1.00 Common Stock, par value $0.01 per share 48000 D Series A Convertible Preferred Stock 1.00 Common Stock, par value $0.01 per share 115664 D Series A Convertible Preferred Stock 1.00 Common Stock, par value $0.01 per share 237664 I See footnote Series A Convertible Preferred Stock 1.00 Common Stock, par value $0.01 per share 237664 I See footnotes Warrants (right to purchase Common Stock) 0.40 2004-04-19 2009-04-19 Common Stock, par value $0.01 per share 96000 D Warrants (right to purchase Common Stock) 0.40 2004-04-19 2009-04-19 Common Stock, par value $0.01 per share 68000 D Warrants (right to purchase Common Stock) 0.40 2004-04-19 2009-04-19 Common Stock, par value $0.01 per share 140000 D Warrants (right to purchase Common Stock) 0.40 2004-04-19 2009-04-19 Common Stock, par value $0.01 per share 304000 I See footnote Warrants (right to purchase Common Stock) 0.40 2004-04-19 2009-04-19 Common Stock, par value $0.01 per share 304000 I See footnote Warrants (right to purchase Common Stock) 1.00 2005-11-21 2010-11-21 Common Stock, par value $0.01 per share 74000 D Warrants (right to purchase Common Stock) 1.00 2005-11-21 2010-11-21 Common Stock, par value $0.01 per share 48000 D Warrants (right to purchase Common Stock) 1.00 2005-11-21 2010-11-21 Common Stock, par value $0.01 per share 115664 D Warrants (right to purchase Common Stock) 1.00 2005-11-21 2010-11-21 Common Stock, par value $0.01 per share 237664 I See footnote Warrants (right to purchase Common Stock) 1.00 2005-11-21 2010-11-21 Common Stock, par value $0.01 per share 237664 I See footnotes The shares of Common Stock, Preferred Stock, Warrants and the shares of Common Stock underlying the Preferred Stock and Warrants, as applicable, are directly beneficially owned by Biotechnology Value Fund, L.P., a Delaware limited partnership ("BVF"). The shares of Common Stock, Preferred Stock, Warrants and the shares of Common Stock underlying the Preferred Stock and Warrants, as applicable, are directly beneficially owned by Biotechnology Value Fund II, L.P., a Delaware limited partnership ("BVF2"). The shares of Common Stock, Preferred Stock, Warrants and the shares of Common Stock underlying the Preferred Stock and Warrants, as applicable, are directly beneficially owned by BVF Investments, L.L.C., a Delaware limited liability company ("Investments"). The shares of Common Stock, Preferred Stock, Warrants and the shares of Common Stock underlying the Preferred Stock and Warrants, as applicable, are indirectly beneficially owned by BVF Partners L.P., a Delaware limited partnership ("Partners"). Partners is the general partner of BVF and BVF2, and is the manager of Investments. The shares of Common Stock, Preferred Stock, Warrants and the shares of Common Stock underlying the Preferred Stock and Warrants, as applicable, are indirectly beneficially owned by BVF Inc., a Delaware corporation ("BVF Inc."), which is the general partner of Partners and is also an investment advisor to Partners. Pursuant to the operating agreement of Investments, Partners is authorized, among other things, to invest funds of Ziff Asset Management, L.P., the majority member of Investments, in the shares of Preferred Stock, Common Stock and Warrants described herein and to vote and exercise dispositive power over those securities. Mark N. Lampert is the sole shareholder and sole director of BVF Inc., and is an officer of BVF Inc. This joint filing on Form 3 shall not be deemed an admission that Mark N. Lampert is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this joint filing. Mr. Lampert disclaims beneficial ownership of all securities reported in this joint filing on Form 3, except to the extent that he has a pecuniary interest therein. The Series A Convertible Preferred Stock (the "Preferred Stock") is convertible into two shares of Common Stock at any time, at the holder's election, and has no expiration date. BVF PARTNERS L.P., By: BVF Inc., its General Partner, By: /s/ Mark N. Lampert, President 2006-02-10 BIOTECHNOLOGY VALUE FUND, L.P., By: BVF Partners L.P., its General Partner, By: BVF Inc., its General Partner, By: /s/ Mark N. Lampert, President 2006-02-10 BIOTECHNOLOGY VALUE FUND II, L.P., By: BVF Partners L.P., its General Partner, By: BVF Inc., its General Partner, By: /s/ Mark N. Lampert, President 2006-02-10 BVF INVESTMENTS, L.L.C., By: BVF Partners L.P., its Manager, By: BVF Inc., its General Partner, By: /s/ Mark N. Lampert, President 2006-02-10 BVF INC., By: /s/ Mark N. Lampert, President 2006-02-10 -----END PRIVACY-ENHANCED MESSAGE-----