-----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, DQ+lYWN8KdmJw3D77juNqsiW7MQHNBo6N3CMHmhcWqKsIkoOODAkro+/aGE/CPtp Jj0SSCllLwnakYQWl/FqRA== 0000912057-01-542646.txt : 20020412 0000912057-01-542646.hdr.sgml : 20020412 ACCESSION NUMBER: 0000912057-01-542646 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20011210 GROUP MEMBERS: BIOTECHNOLOGY VALUE FUND II, L.P. GROUP MEMBERS: BVF INC. GROUP MEMBERS: BVF INVESTMENTS L.L.C. GROUP MEMBERS: BVF PARTENRS L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUTOIMMUNE INC CENTRAL INDEX KEY: 0000879106 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 133489062 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44757 FILM NUMBER: 1810438 BUSINESS ADDRESS: STREET 1: 1199 MADIA STREET CITY: PASADENA STATE: CA ZIP: 91103 BUSINESS PHONE: 6267921235 MAIL ADDRESS: STREET 1: 128 SPRING STREET CITY: LEXINGTON STATE: MA ZIP: 02173 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 13D/A 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 SC 13D/A 1 a2065621zsc13da.htm SC 13D/A Prepared by MERRILL CORPORATION
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 1)1

Autoimmune Inc.
(Name of Issuer)

Common Stock
(Title of Class of Securities)

052776101
(CUSIP Number)

Hope Flack
BVF Partners L.P
227 West Monroe Street, Suite 4800
Chicago, Illinois 60606
(312) 263-7777
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

November 1, 20012
(Date of Event Which Requires Filing of this Statement)

    If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box /x/

    Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

(Continued on following pages)

(Page 1 of 9 Pages)


    1The 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).

    2This Amendment is being filed to correct the Schedule 13D initially filed on November 13, 2001.




 
   
   
CUSIP NO. 052776101   13D   Page 2 of 9 Pages

   



1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

Biotechnology Value Fund, L.P.


2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) X

 

 

(b)


3.

 

SEC Use Only


4.

 

Source of Funds (See Instructions)  WC


5.

 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)


6.

 

Citizenship or Place of Organization  Delaware

Number of   7.   Sole Voting Power  0
Shares  
Beneficially   8.   Shared Voting Power  1,350,729
Owned by Each  
Reporting   9.   Sole Dispositive Power  0
Person With  
    10.   Shared Dispositive Power  1,350,729

11.   Aggregate Amount Beneficially Owned by Each Reporting Person
    1,350,729


12.

 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


13.

 

Percent of Class Represented by Amount in Row (11)  
    8.0%


14.

 

Type of Reporting Person (See Instructions)
    PN

* SEE INSTRUCTIONS BEFORE FILLING OUT!


 
   
   
CUSIP NO. 052776101   13D   Page 3 of 9 Pages

   



1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

Biotechnology Value Fund II, L.P.


2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) X

 

 

(b)


3.

 

SEC Use Only


4.

 

Source of Funds (See Instructions)  WC


5.

 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)


6.

 

Citizenship or Place of Organization  Delaware

Number of   7.   Sole Voting Power  0
Shares  
Beneficially   8.   Shared Voting Power  571,163
Owned by Each  
Reporting   9.   Sole Dispositive Power  0
Person With  
    10.   Shared Dispositive Power  571,163

11.   Aggregate Amount Beneficially Owned by Each Reporting Person
    571,163


12.

 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


13.

 

Percent of Class Represented by Amount in Row (11)
    3.4%


14.

 

Type of Reporting Person (See Instructions)
    PN

* SEE INSTRUCTIONS BEFORE FILLING OUT!


 
   
   
CUSIP NO. 052776101   13D   Page 4 of 9 Pages

   



1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

BVF Investments, L.L.C.


2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) X

 

 

(b)


3.

 

SEC Use Only


4.

 

Source of Funds (See Instructions)  WC


5.

 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)


6.

 

Citizenship or Place of Organization  Delaware

Number of   7.   Sole Voting Power  0
Shares  
Beneficially   8.   Shared Voting Power  1,331,455
Owned by Each  
Reporting   9.   Sole Dispositive Power  0
Person With  
    10.   Shared Dispositive Power  1,331,455

11.   Aggregate Amount Beneficially Owned by Each Reporting Person
    1,331,455


12.

 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


13.

 

Percent of Class Represented by Amount in Row (11)  
    7.9%


14.

 

Type of Reporting Person (See Instructions)
    OO

* SEE INSTRUCTIONS BEFORE FILLING OUT!


 
   
   
CUSIP NO. 052776101   13D   Page 5 of 9 Pages

   



1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

BVF Partners L.P.


2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) X

 

 

(b)


3.

 

SEC Use Only


4.

 

Source of Funds (See Instructions)  OO


5.

 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)


6.

 

Citizenship or Place of Organization  Delaware

Number of   7.   Sole Voting Power  0
Shares  
Beneficially   8.   Shared Voting Power  3,424,597
Owned by Each  
Reporting   9.   Sole Dispositive Power  0
Person With  
    10.   Shared Dispositive Power  3,424,597

11.   Aggregate Amount Beneficially Owned by Each Reporting Person
3,424,597


12.

 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


13.

 

Percent of Class Represented by Amount in Row (11)  
    20.2%


14.

 

Type of Reporting Person (See Instructions)
    PN

* SEE INSTRUCTIONS BEFORE FILLING OUT!


 
   
   
CUSIP NO. 052776101   13D   Page 6 of 9 Pages

   



1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

BVF Inc.


2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) X

 

 

(b)


3.

 

SEC Use Only


4.

 

Source of Funds (See Instructions)  OO


5.

 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)


6.

 

Citizenship or Place of Organization  Delaware

Number of   7.   Sole Voting Power  0
Shares  
Beneficially   8.   Shared Voting Power  3,424,597
Owned by Each  
Reporting   9.   Sole Dispositive Power  0
Person With  
    10.   Shared Dispositive Power  3,424,597

11.   Aggregate Amount Beneficially Owned by Each Reporting Person
    3,424,597


12.

 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


13.

 

Percent of Class Represented by Amount in Row (11)  
    20.2%


14.

 

Type of Reporting Person (See Instructions)
    IA, CO

* SEE INSTRUCTIONS BEFORE FILLING OUT!


 
   
   
CUSIP NO. 052776101   13D   Page 7 of 9 Pages

    This Amendment No. 1 (the "Amendment") to the Statement on Schedule 13D (the "Statement") is being filed with the Securities and Exchange Commission on behalf of Biotechnology Value Fund, L.P., a Delaware limited partnership ("BVF"), Biotechnology Value Fund II, L.P., a Delaware limited partnership ("BVF2"), BVF Investments L.L.C., a Delaware limited liability company ("Investments"), BVF Partners L.P., a Delaware limited partnership ("Partners") and BVF Inc., a Delaware corporation ("BVF Inc." and, together with BVF, BVF2, Investments, and Partners, the "Reporting Persons") with respect to the Common Stock, par value $0.01 per share (the "Stock"), of Autoimmune Inc., a Delaware corporation ("Autoimmune"). The principal executive office of Autoimmune is located at 1199 Madia Street, Pasadena, California, 91103.

    Item 3 is hereby amended to read in its entirety as follows:


ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.

    Since September 17, 2001, Partners, in its capacity as (i) general partner of BVF, has purchased on behalf of such limited partnership an aggregate number of 150,520 shares of the Stock for an aggregate consideration of $108,341.46, utilizing funds provided by BVF from its working capital pursuant to the terms of its limited partnership agreement with Partners; (ii) general partner of BVF2, has purchased on behalf of such limited partnership an aggregate number of 83,800 shares of the Stock for an aggregate consideration of $73,832.70, utilizing funds provided by BVF2 from its working capital pursuant to the terms of its limited partnership agreement with Partners; and (iii) manager of Investments, has purchased on behalf of such limited liability company an aggregate number of 180,699 shares of the Stock for an aggregate consideration of $168,351.64 utilizing funds provided by Investments from its working capital pursuant to the terms of its investment advisory agreement with Partners.

Item 5 is hereby amended to read in its entirety as follows:


ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.

    (a) BVF beneficially owns 1,350,729 shares of the Stock, BVF2 beneficially owns 571,163 shares of the Stock, Investments beneficially owns 1,331,455 shares of the Stock and each of Partners and BVF Inc. beneficially owns 3,424,597 shares of the Stock, representing approximately 8.0%, 3.4%, 7.9% and 20.2% respectively, of the aggregate number of shares of the Stock outstanding as of October 31, 2001.

    (b) Each of BVF, BVF2 and Investments shares with Partners voting and dispositive power over the shares of the Stock each such entity beneficially owns. Partners and BVF Inc. share voting and dispositive power over the 3,424,597 shares of the Stock they beneficially own with, in addition to BVF, BVF2 and Investments, Investment 10, L.L.C., an Illinois limited liability company ("ILL10") and managed account on whose behalf Partners, as investment advisor, purchased such shares. ILL10 specializes in holding biotechnology stocks for investment purposes and its business address is BVF Partners L.P., 227 West Monroe Street, Suite 4800, Chicago, Illinois 60606.

    (c) Exhibit B attached hereto contains information as to all transactions in the Stock by the Reporting Persons since September 17, 2001. All such transactions were made for cash in open market, over-the-counter transactions. No other transactions in the Stock have been effected by the Reporting Persons during the last 60 days.

    (d) ILL10 is entitled to receive dividends and any sale proceeds with respect to shares of the Stock in proportion to its respective ownership interest therein.


 
   
   
CUSIP NO. 052776101   13D   Page 8 of 9 Pages

Item 7 is hereby amended to read in its entirety as follows:


ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.

Exhibit A—Agreement Regarding Joint Filing

Exhibit B—Transactions in the Stock by Reporting Persons


 
   
   
CUSIP NO. 052776101   13D   Page 9 of 9 Pages

    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.

Dated: December 10, 2001                
    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 INVESTMENTS L.L.C.

 

 

By:

 

BVF Partners L.P., its manager

 

 

 

 

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



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ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
EX-99.A 3 a2065621zex-99_a.htm EXHIBIT 99A Prepared by MERRILL CORPORATION
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EXHIBIT 99A


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 Investments, L.L.C., a Delaware limited liability company, BVF Partners L.P., a Delaware limited partnership, and BVF Inc., a Delaware corporation, hereby agree and acknowledge that the information required by Schedule 13D, to which this Agreement is attached as an exhibit, is filed on behalf of each of them. The undersigned further agree that any amendments or supplements thereto shall also be filed on behalf of each of them.

Dated: December 10, 2001                
    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 INVESTMENTS L.L.C.

 

 

By:

 

BVF Partners L.P., its manager

 

 

 

 

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



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EXHIBIT 99A
EXHIBIT A AGREEMENT REGARDING JOINT FILING
EX-99.B 4 a2065621zex-99_b.htm EXHIBIT 99B Prepared by MERRILL CORPORATION
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Exhibit 99B


EXHIBIT B
TRANSACTIONS IN THE STOCK BY THE REPORTING PERSONS

Trade Date

  By
  For the Account of
  Quantity
  Price per Share
  Type of Trade
  Broker
09/17/01   Partners   ILL10   5,000   $ 2.5000   Sale   INET
09/21/01   Partners   BVF   140,000   $ 0.6900   Purchase   WEED
09/21/01   Partners   BVF2   30,000   $ 0.6900   Purchase   WEED
09/21/01   Partners   Investments   70,000   $ 0.6900   Purchase   WEED
10/01/01   Partners   BVF2   27,000   $ 0.8337   Purchase   INET
10/11/01   Partners   BVF2   4,400   $ 1.0900   Purchase   INET
10/22/01   Partners   Investments   3,100   $ 1.0300   Purchase   INET
10/23/01   Partners   Investments   61,200   $ 1.0458   Purchase   INET
10/24/01   Partners   BVF2   1,500   $ 1.0500   Purchase   HRZG
10/24/01   Partners   Investments   3,500   $ 1.0500   Purchase   HRZG
10/26/01   Partners   Investments   10,000   $ 1.1000   Purchase   INET
10/30/01   Partners   BVF   1,500   $ 1.0756   Purchase   INET
10/30/01   Partners   ILL10   100   $ 1.0756   Purchase   INET
10/30/01   Partners   BVF2   500   $ 1.0756   Purchase   INET
10/30/01   Partners   Investments   1,500   $ 1.0756   Purchase   INET
10/31/01   Partners   BVF   3,320   $ 1.0900   Purchase   INET
10/31/01   Partners   BVF2   2,500   $ 1.0900   Purchase   INET
10/31/01   Partners   Investments   8,500   $ 1.0900   Purchase   INET
11/01/01   Partners   BVF   3,000   $ 1.0900   Purchase   INET
11/01/01   Partners   BVF2   1,500   $ 1.0900   Purchase   INET
11/01/01   Partners   Investments   3,500   $ 1.0900   Purchase   INET
11/02/01   Partners   BVF2   2,000   $ 1.0900   Purchase   INET
11/05/01   Partners   BVF   2,700   $ 1.1218   Purchase   INET
11/05/01   Partners   Investments   3,000   $ 1.1218   Purchase   INET
11/06/01   Partners   BVF2   14,400   $ 1.1200   Purchase   INET
11/07/01   Partners   Investments   10,299   $ 1.1000   Purchase   INET
11/08/01   Partners   ILL10   2,500   $ 1.1000   Purchase   INET
11/16/01   Partners   Investments   6,100   $ 1.0900   Purchase   INET

HRZG = Herzog, Heine & Geduld

INET = Instinet

WEED = Wheaton




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Exhibit 99B
EXHIBIT B TRANSACTIONS IN THE STOCK BY THE REPORTING PERSONS
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