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