0000921895-14-000398.txt : 20140220
0000921895-14-000398.hdr.sgml : 20140220
20140220200023
ACCESSION NUMBER: 0000921895-14-000398
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140218
FILED AS OF DATE: 20140220
DATE AS OF CHANGE: 20140220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAMPERT MARK N
CENTRAL INDEX KEY: 0001233840
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631360
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631361
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631362
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 II LP
CENTRAL INDEX KEY: 0001102444
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631364
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 L P
CENTRAL INDEX KEY: 0000918923
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631365
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
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LIGAND PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0000886163
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 770160744
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11119 NORTH TORREY PINES ROAD
STREET 2: SUITE 200
CITY: LA JOLLA
STATE: CA
ZIP: 92037
BUSINESS PHONE: 858-550-7500
MAIL ADDRESS:
STREET 1: 11119 NORTH TORREY PINES ROAD
STREET 2: SUITE 200
CITY: LA JOLLA
STATE: CA
ZIP: 92037
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631363
BUSINESS ADDRESS:
STREET 1: ONE SANSOME ST. 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: BVF PARTNERS L P/IL
CENTRAL INDEX KEY: 0001055947
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33093
FILM NUMBER: 14631366
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
4
1
form407422010_02202014.xml
OWNERSHIP DOCUMENT
X0306
4
2014-02-18
0
0000886163
LIGAND PHARMACEUTICALS INC
LGND
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
0001132245
BVF INVESTMENTS LLC
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, $0.001 par value
2014-02-18
4
S
0
16915
74.6561
D
307921
I
By Biotechnology Value Fund, L.P.
Common Stock, $0.001 par value
2014-02-18
4
S
0
16331
74.6561
D
174636
I
By Biotechnology Value Fund II, L.P.
Common Stock, $0.001 par value
2014-02-18
4
S
0
153751
74.6561
D
1855083
I
By BVF Investments, L.L.C.
Common Stock, $0.001 par value
2014-02-18
4
S
0
14003
74.6561
D
87520
I
By Investment 10, L.L.C.
Common Stock, $0.001 par value
2014-02-19
4
S
0
9464
73.0333
D
298457
I
By Biotechnology Value Fund, L.P.
Common Stock, $0.001 par value
2014-02-19
4
S
0
5395
73.0333
D
169241
I
By Biotechnology Value Fund II, L.P.
Common Stock, $0.001 par value
2014-02-19
4
S
0
57370
73.0333
D
1797713
I
By BVF Investments, L.L.C.
Common Stock, $0.001 par value
2014-02-19
4
S
0
2771
73.0333
D
84749
I
By Investment 10, L.L.C.
Common Stock, $0.001 par value
2014-02-20
4
S
0
18615
73.0479
D
279842
I
By Biotechnology Value Fund, L.P.
Common Stock, $0.001 par value
2014-02-20
4
S
0
10557
73.0479
D
158684
I
By Biotechnology Value Fund II, L.P.
Common Stock, $0.001 par value
2014-02-20
4
S
0
112369
73.0479
D
1685344
I
By BVF Investments, L.L.C.
Common Stock, $0.001 par value
2014-02-20
4
S
0
5359
73.0479
D
79390
I
By Investment 10, L.L.C.
This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), BVF Investments, L.L.C. ("BVLLC"), 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 shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein.
Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF.
Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2.
Shares of Common Stock owned directly by BVLLC. As the manager of BVLLC, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVLLC. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVLLC. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVLLC.
Pursuant to the operating agreement of BVLLC, Partners is authorized, among other things, to invest the contributed capital of Samana Capital, L.P., the majority member of BVLLC, in the Common Stock and other securities of the Issuer and to vote, exercise or convert and dispose of such securities and is entitled to receive fees based on assets under management and, subject to certain exceptions, allocations based on realized and unrealized gains on such assets.
Shares of Common Stock owned directly by ILL10. As the investment adviser of ILL10, Partners may be deemed to beneficially own the shares of CommonStock owned directly by ILL10. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares ofCommon Stock owned directly by ILL10. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stockowned directly by ILL10.
BVF Partners L.P., By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President
2014-02-20
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
2014-02-20
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
2014-02-20
BVF Investments, L.L.C., By: BVF Partners L.P., its manager, By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President
2014-02-20
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
2014-02-20
BVF Inc., By: /s/ Mark N. Lampert, President
2014-02-20
/s/ Mark N. Lampert
2014-02-20