-----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, Tg2PdCZ/8+Zm8zt1cYuQCBzozOt2E321M09owtF27ip6AQ8ZGoLrLsvFsIJBDeDs 1OyTbeX9bVpNrFUq5umVyg== 0000912057-00-000704.txt : 20000202 0000912057-00-000704.hdr.sgml : 20000202 ACCESSION NUMBER: 0000912057-00-000704 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000110 GROUP MEMBERS: BIOTECHNOLOGY VALUE FUND II,L.P. GROUP MEMBERS: BIOTECHNOLOGY VALUE FUND L P GROUP MEMBERS: BVF INC. GROUP MEMBERS: BVF PARTNERS L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROGEN CORP CENTRAL INDEX KEY: 0000849043 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 222845714 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-41776 FILM NUMBER: 504505 BUSINESS ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: 2034888201 MAIL ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND L P CENTRAL INDEX KEY: 0000918923 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 363924731 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 MAIL ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (AMENDMENT NO.)(1) NEUROGEN CORPORATION (Name of Issuer) COMMON STOCK (Title of Class of Securities) 64124E 10 6 (CUSIP Number) JANUARY 3, 2000 (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) - -------- (1) 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 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).
- --------------------------------------------------- -------------------------------------------------- CUSIP NO. 64124E 10 6 13G PAGE 2 OF 8 PAGES - --------------------------------------------------- -------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: BIOTECHNOLOGY VALUE FUND, L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ---------------------------------------------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF 0 SHARES ------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 450,124 EACH ------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 WITH ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 450,124 - ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 450,124 - ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.1% - ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------- -------------------------------------------------- CUSIP NO. 64124E 10 6 13G PAGE 3 OF 8 PAGES - --------------------------------------------------- -------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: BIOTECHNOLOGY VALUE FUND II, L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ---------------------------------------------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF 0 SHARES ------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 467,494 EACH ------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 WITH ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 467,494 - ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 467,494 - ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.2% - ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------------------------------------------------------------------------------------------------------------------
- --------------------------------------------------- -------------------------------------------------- CUSIP NO. 64124E 10 6 13G PAGE 4 OF 8 PAGES - --------------------------------------------------- -------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: BVF PARTNERS L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ---------------------------------------------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF 0 SHARES ------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 963,604 EACH ------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 WITH ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 963,604 - ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 963,604 - ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- --------------------------------------------------- -------------------------------------------------- CUSIP NO. 64124E 10 6 13G PAGE 5 OF 8 PAGES - --------------------------------------------------- -------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: BVF INC. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): - ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ---------------------------------------------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF 0 SHARES ------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 963,604 EACH ------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 WITH ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 963,604 - ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 963,604 - ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA, CO - ----------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ------------------------------ CUSIP NO. 64124E 10 6 13G PAGE 6 OF 8 PAGES - --------------------------------- ------------------------------ ITEM 1(a). NAME OF ISSUER: Neurogen Corporation ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 35 Northeast Industrial Road Branford, CT 06405 ITEM 2(a). NAME OF PERSON FILING: This amendment to Schedule 13G is being filed on behalf of the following persons*: (i) Biotechnology Value Fund, L.P. ("BVF") (ii) Biotechnology Value Fund II, L.P. ("BVF2") (iii) BVF Partners, L.P. ("Partners") (iv) BVF Inc. ("BVF Inc.") * Attached as Exhibit A is a copy of an agreement between the Persons filing (as specified hereinabove) that this Amendment to Schedule 13G is being filed on behalf of each of them. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE: The principal business office of the persons comprising the group filing this amendment to Schedule 13G is located at 227 West Monroe Street, Suite 4800, Chicago, Illinois 60606. ITEM 2(c). CITIZENSHIP: BVF: a Delaware limited partnership BVF2: a Delaware limited partnership Partners: a Delaware limited partnership BVF Inc.: a Delaware corporation ITEM 2(d). TITLE OF CLASS OF SECURITIES: The class of securities beneficially owned by the persons filing this amendment to Schedule 13G is common stock. ITEM 2(e). CUSIP NUMBER: 64124E 10 6 - --------------------------------- ------------------------------ CUSIP NO. 64124E 10 6 13G PAGE 7 OF 8 PAGES - --------------------------------- ------------------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(C), CHECK THIS BOX: /X/ ITEM 4. OWNERSHIP: The information in items 1 and 5 through 11 on the cover pages (pp.2 - 5) on this amendment to Schedule 13G is hereby incorporated by reference. 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 five percent of the class of securities check the following. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: BVF shares voting and dispositive power over the shares of the Stock it beneficially owns with Partners. BVF2 also shares voting and dispositive power over the shares of the Stock it beneficially owns with Partners. Partners and BVF Inc. share voting and dispositive power over the shares of the Stock they beneficially own with, in addition to BVF and BVF2, certain managed accounts on whose behalf Partners, as investment manager, purchased such shares. BVF Inc. also shares voting and dispositive power over the shares of the Stock they beneficially own with, in addition to BVF, BVF2 and Partners, certain other managed accounts on whose behalf BVF Inc., as investment manager, purchased such shares. None of the managed accounts individually own more than 5% of the Stock of the Issuer. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP: Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not applicable. - --------------------------------- ------------------------------ CUSIP NO. 64124E 10 6 13G PAGE 8 OF 8 PAGES - --------------------------------- ------------------------------ 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. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this amendment to Schedule 13G is true, complete and correct. Dated: January 7, 2000 BIOTECHNOLOGY VALUE FUND, L.P. By: BVF Partners L.P., its general partner By: BVF Inc., its general partner By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President 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 -------------------------- Mark N. Lampert President BVF PARTNERS L.P. By: BVF Inc., its general partner By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President BVF INC. By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President EX-99.A 2 EXHIBIT 99.A EXHIBIT A AGREEMENT REGARDING JOINT FILING The undersigned, Biotechnology Value Fund, L.P., a Delaware limited partnership, Biotechnology Value Fund II, L.P., a Delaware limited partnership, BVF Partners L.P., a Delaware limited partnership, and BVF Inc., a Delaware corporation, hereby agree and acknowledge that the information required by this amendment to Schedule 13G, to which this Agreement is attached as an exhibit, is filed on behalf of each of them. The undersigned further agree that any further amendments or supplements thereto shall also be filed on behalf of each of them. Dated: January 7, 2000 BIOTECHNOLOGY VALUE FUND, L.P. By: BVF Partners L.P., its general partner By: BVF Inc., its general partner By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President 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 -------------------------- Mark N. Lampert President BVF PARTNERS L.P. By: BVF Inc., its general partner By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President BVF INC. By: /s/ Mark N. Lampert -------------------------- Mark N. Lampert President -----END PRIVACY-ENHANCED MESSAGE-----