-----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, Bh4+cYrdG/juHMYqqCx8SMIunNqHfIht9xoCA1zius9MCzeq81Ic9IWzlg1Qr3wN brSoU6xoGbpHH8ycrUnMCw== 0001233840-08-000039.txt : 20081110 0001233840-08-000039.hdr.sgml : 20081110 20081110173154 ACCESSION NUMBER: 0001233840-08-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081106 FILED AS OF DATE: 20081110 DATE AS OF CHANGE: 20081110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AVIGEN INC \DE CENTRAL INDEX KEY: 0000932903 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 133647119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY STREET 2: . CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5107487150 MAIL ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BVF INC/IL CENTRAL INDEX KEY: 0001056807 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28272 FILM NUMBER: 081177139 BUSINESS ADDRESS: STREET 1: ONE SANSOME ST STREET 2: 39TH 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: 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: 000-28272 FILM NUMBER: 081177140 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: BIOTECHNOLOGY VALUE FUND II LP CENTRAL INDEX KEY: 0001102444 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28272 FILM NUMBER: 081177141 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: 000-28272 FILM NUMBER: 081177142 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28272 FILM NUMBER: 081177143 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: 900 N. MICHIGAN AVENUE STREET 2: SUITE 1100 CITY: CHICAGO STATE: IL ZIP: 60611 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2008-11-06 0000932903 AVIGEN INC \DE AVGN 0001055947 BVF PARTNERS L P/IL ONE SANSOME STREET, 31ST FLOOR SAN FRANCISCO CA 94104 0 0 1 1 Indirect Beneficial Owner 0000918923 BIOTECHNOLOGY VALUE FUND L P 900 N. MICHIGAN AVE., SUITE 1100 CHICAGO IL 60611 0 0 0 1 Direct Beneficial Owner 0001102444 BIOTECHNOLOGY VALUE FUND II LP 900 N. MICHIGAN AVE., SUITE 1100 CHICAGO IL 60611 0 0 0 1 Direct Beneficial Owner 0001132245 BVF INVESTMENTS LLC 900 N. MICHIGAN AVE., SUITE 1100 CHICAGO IL 60611 0 0 0 1 Direct Beneficial Owner 0001056807 BVF INC/IL ONE SANSOME STREET, 31ST FLOOR SAN FRANCISCO CA 94104 0 0 1 1 Indirect Beneficial Owner Common Stock 2008-11-06 4 P 0 21100 .7091 A 7803515 I See footnotes Common Stock 2008-11-06 4 P 0 14000 .7091 A 7817515 I See footnotes Common Stock 2008-11-06 4 P 0 52000 .7091 A 7869515 I See footnotes Common Stock 2008-11-07 4 P 0 9400 .7245 A 7878915 I See footnotes Common Stock 2008-11-07 4 P 0 7000 .7245 A 7885915 I See footnotes Common Stock 2008-11-07 4 P 0 24000 .7245 A 7909915 I See footnotes The shares reported in this response are indirectly beneficially owned by BVF Partners L.P., a Delaware limited partnership ("Partners"), the designated filer of this joint filing on Form 4, and by its general partner, BVF Inc., a Delaware corporation ("BVF Inc."), which is also an investment advisor to Partners. Partners is the general partner of Biotechnology Value Fund, L.P., a Delaware limited partnership ("BVF, L.P.") and Biotechnology Value Fund II, L.P., a Delaware limited partnership ("BVF2, L.P."), both investment limited partnerships. Partners also is the manager of BVF Investments, L.L.C., a Delaware limited liability company ("Investments"). Pursuant to the operating agreement of Investments, Partners is authorized, among other things, to invest the funds of Ziff Asset Management, L.P., the majority member of Investments, in the shares of Common Stock reported in Table I as being beneficially owned by Investments. Mark N. Lampert is the sole shareholder and sole director of BVF Inc., and is an officer of BVF Inc. This joint filing on Form 4 shall not be deemed an admission that Mark N. Lampert is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any equity securities covered by this joint filing. Shares directly beneficially owned by BVF, L.P. Shares directly beneficially owned by BVF2, L.P. Shares directly beneficially owned by Investments. Total amount of shares indirectly beneficially owned by Partners and BVF Inc. BVF Partners L.P., By: BVF Inc., its GP, By: /s/ Mark N. Lampert 2008-11-10 BIOTECHNOLOGY VALUE FUND, L.P. By: BVF Partners L.P., its GP, By: BVF Inc., By: /s/ Mark N. Lampert 2008-11-10 BIOTECHNOLOGY VALUE FUND II, L.P., By: BVF Partners L.P., its GP, By: BVF Inc., By: /s/ Mark N. Lampert 2008-11-10 BVF INVESTMENTS, L.L.C., By: BVF Partners L.P., its Manager, By: BVF Inc., By: /s/ Mark N. Lampert 2008-11-10 BVF INC., By: /s/ Mark N. Lampert 2008-11-10 -----END PRIVACY-ENHANCED MESSAGE-----