0000921895-13-001204.txt : 20130607
0000921895-13-001204.hdr.sgml : 20130607
20130607173151
ACCESSION NUMBER: 0000921895-13-001204
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130604
FILED AS OF DATE: 20130607
DATE AS OF CHANGE: 20130607
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Oncothyreon Inc.
CENTRAL INDEX KEY: 0001412067
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731]
IRS NUMBER: 260868560
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0612
BUSINESS ADDRESS:
STREET 1: 2601 FOURTH AVENUE
STREET 2: SUITE 500
CITY: SEATTLE
STATE: WA
ZIP: 98121
BUSINESS PHONE: (206) 801-2100
MAIL ADDRESS:
STREET 1: 2601 FOURTH AVENUE
STREET 2: SUITE 500
CITY: SEATTLE
STATE: WA
ZIP: 98121
FORMER COMPANY:
FORMER CONFORMED NAME: Biomira CORP
DATE OF NAME CHANGE: 20070911
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAMPERT MARK N
CENTRAL INDEX KEY: 0001233840
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33882
FILM NUMBER: 13901619
MAIL ADDRESS:
STREET 1: ONE SANSOME STREET
STREET 2: 31ST FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BVF INC/IL
CENTRAL INDEX KEY: 0001056807
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33882
FILM NUMBER: 13901620
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 30TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: INVESTMENT 10 LLC
CENTRAL INDEX KEY: 0001233837
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33882
FILM NUMBER: 13901621
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 39TH FL.
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT LP
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
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: 001-33882
FILM NUMBER: 13901623
BUSINESS ADDRESS:
STREET 1: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
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: 001-33882
FILM NUMBER: 13901624
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 39TH FL
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND II LP
CENTRAL INDEX KEY: 0001102444
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33882
FILM NUMBER: 13901622
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST
STREET 2: 39TH FL.
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: 3125066500
MAIL ADDRESS:
STREET 1: C/O GROSVENOR CAPITAL MANAGEMENT
STREET 2: 900 N. MICHIGAN AVENUE, SUITE 1100
CITY: CHICAGO
STATE: IL
ZIP: 60611
3
1
form307422021_06072013.xml
OWNERSHIP DOCUMENT
X0206
3
2013-06-04
0
0001412067
Oncothyreon Inc.
ONTY
0001055947
BVF PARTNERS L P/IL
C/O GROSVENOR CAPITAL MANAGEMENT
900 N. MICHIGAN AVENUE, SUITE 1100
CHICAGO
IL
60611
0
0
1
0
0000918923
BIOTECHNOLOGY VALUE FUND L P
900 N. MICHIGAN AVENUE, SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001102444
BIOTECHNOLOGY VALUE FUND II LP
C/O GROSVENOR CAPITAL MANAGEMENT
900 N. MICHIGAN AVENUE, SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001233837
INVESTMENT 10 LLC
C/O GROSVENOR CAPITAL MANAGEMENT LP
900 N. MICHIGAN AVENUE, SUITE 1100
CHICAGO
IL
60611
0
0
0
1
See Explanation of Responses
0001056807
BVF INC/IL
C/O GROSVENOR CAPITAL MANAGEMENT
900 N. MICHIGAN AVENUE, SUITE 1100
CHICAGO
IL
60611
0
0
1
0
0001233840
LAMPERT MARK N
ONE SANSOME STREET
31ST FLOOR
SAN FRANCISCO
CA
94104
0
0
1
0
Common Stock, $0.0001 par value
4235529
I
By Biotechnology Value Fund, L.P.
Common Stock, $0.0001 par value
2303607
I
By Biotechnology Value Fund II, L.P.
Common Stock, $0.0001 par value
1298842
I
By Investment 10, L.L.C.
Warrants
5.00
2013-12-05
2018-12-05
Common Stock, $0.0001 par value
2695834
I
By Biotechnology Value Fund, L.P.
Warrants
5.00
2013-12-05
2018-12-05
Common Stock, $0.0001 par value
1466298
I
By Biotechnology Value Fund II, L.P.
Warrants
5.00
2013-12-05
2018-12-05
Common Stock, $0.0001 par value
837868
I
By Investment 10, L.L.C.
This Form 3 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Investment 10, L.L.C. ("ILL10"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert. (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.
Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.
Securities owned directly by ILL10. As the investment adviser of ILL10, Partners may be deemed to beneficially own the securities owned directly by ILL10. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by ILL10. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by ILL10.
The Warrants contain a "blocker" provision which restricts exercise of any portion of the Warrants to the extent that after giving effect to such exercise, the Reporting Persons would beneficially own in excess of 9.999% of the shares of Common Stock outstanding immediately after giving effect to such exercise, subject to increase or decrease to the ownership limitation as set forth in the Warrants, but in no event in excess of 19.999% of the shares of Common Stock outstanding.
BVF Partners L.P., By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President
2013-06-07
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
2013-06-07
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
2013-06-07
Investment 10, L.L.C., By: BVF Partners L.P., its investment manager, By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President
2013-06-07
BVF Inc., By: /s/ Mark N. Lampert, President
2013-06-07
/s/ Mark N. Lampert
2013-06-07