-----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, IoGmBIPfmwLWd2TYpeRXEz31eMwQtDXB67Cykh6XNsZ9HsCwZjd0UCQi3Kt8Q/dp f9hZJ5Hjjxcg44PT2WLlWA== 0001024739-98-000140.txt : 19980218 0001024739-98-000140.hdr.sgml : 19980218 ACCESSION NUMBER: 0001024739-98-000140 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD GROUP MEMBERS: FRANK H. PEARL GROUP MEMBERS: PERSEUS CAPITAL, L.L.C. GROUP MEMBERS: PERSEUS LLC GROUP MEMBERS: PERSEUS PHARMACEUTICALS, L.L.C. GROUP MEMBERS: PERSEUS, L.L.C. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ILEX ONCOLOGY INC CENTRAL INDEX KEY: 0001001915 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 742699185 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53221 FILM NUMBER: 98539999 BUSINESS ADDRESS: STREET 1: 11550 IH-10 WEST SUITE 300 CITY: SAN ANTONIO STATE: TX ZIP: 78230 BUSINESS PHONE: 2106776080 MAIL ADDRESS: STREET 1: 14785 OMICRON DR SUITE 101 CITY: SAN ANTONIO STATE: TX ZIP: 78245 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PERSEUS LLC CENTRAL INDEX KEY: 0001054817 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 520970543 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1627 I ST NW CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2024520101 MAIL ADDRESS: STREET 1: 1627 I ST NW STREET 2: STE 610 CITY: WASHINGTON STATE: DC ZIP: 20006 SC 13G 1 SCHEDULE 13G ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Ilex Oncology Inc. ------------------------------------------------------ (Name of Issuer) Common Stock, par value $.01 per share ------------------------------------------------------ (Title of Class of Securities) 451923106 ------------------------------------------------------ (CUSIP Number) *The 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 the disclosures provided in a prior cover page. The information required in 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). ================================================================================ Page 1 of 13 Pages CUSIP No. 451923106 Page 2 of 13 Pages - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON Perseus, L.L.C. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 52-1970543 - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x| (b) | | - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- (5) SOLE VOTING POWER 678,206 ------------------------------------------------------ NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED 0 BY EACH ------------------------------------------------------ REPORTING PERSON (7) SOLE DISPOSITIVE POWER WITH 678,206 ------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 841,883 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 451923106 Page 3 of 13 Pages - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON Frank H. Pearl S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x| (b) | | - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- (5) SOLE VOTING POWER 678,206 ------------------------------------------------------ NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED 0 BY EACH ------------------------------------------------------ REPORTING PERSON (7) SOLE DISPOSITIVE POWER WITH 678,206 ------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 841,883 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 451923106 Page 4 of 13 Pages - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON Perseus Pharmaceuticals, L.L.C. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 52-2021673 - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x| (b) | | - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- (5) SOLE VOTING POWER 654,706 ------------------------------------------------------ NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED 0 BY EACH ------------------------------------------------------ REPORTING PERSON (7) SOLE DISPOSITIVE POWER WITH 654,706 ------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,383 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.7% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 451923106 Page 5 of 13 Pages - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON Perseus Capital, L.L.C. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS 52-2032190 - -------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x| (b) | | - -------------------------------------------------------------------------------- (3) SEC USE ONLY - -------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- (5) SOLE VOTING POWER 23,500 ------------------------------------------------------ NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED 0 BY EACH ------------------------------------------------------ REPORTING PERSON (7) SOLE DISPOSITIVE POWER WITH 23,500 ------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,500 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 451923106 Page 6 of 13 Pages Item 1. (a) Name of Issuer: Ilex Oncology Inc. (b) Address of Issuer's Principal Executive Offices: 11500 I.H. 10 West Suite 300 San Antonio, Texas 78230 Item 2. (a) - (c) Name, Address of Principal Business Office, or if None, Residence, and Citizenship of Persons Filing. This statement is filed on behalf of the persons named in paragraphs 1 through 4 below (collectively, the "Reporting Persons") and their written agreement to the joint filing of this statement is attached hereto as Exhibit A. The following information is furnished with respect to each of the Reporting Persons. 1. Perseus, L.L.C. Business Address: 1627 I Street, N.W. Suite 610 Washington, D.C. 20006 Place of Organization: Delaware 2. Frank H. Pearl Business Address: c/o Perseus, L.L.C. 1627 I Street, N.W. Suite 610 Washington, D.C. 20006 Citizenship: United States CUSIP No. 451923106 Page 7 of 13 Pages 3. Perseus Pharmaceuticals, L.L.C. (1) Business Address: 1627 I Street, N.W. Suite 610 Washington, D.C. 20006 Place of Organization: Delaware 4. Perseus Capital, L.L.C. (2) Business Address: 1627 I Street, N.W. Suite 610 Washington, D.C. 20006 Place of Organization: Delaware (d) Title of Class of Securities: Common Stock, par value $.01 per share. (e) CUSIP Number: 451923106 - ---------------- (1) Perseus Pharmaceuticals, L.L.C. is an investment fund managed by Perseus, L.L.C. (2) Perseus Capital, L.L.C. is an investment fund managed indirectly by Perseus, L.L.C. CUSIP No. 451923106 Page 8 of 13 Pages Item 3. Not Applicable. Item 4. Ownership. The aggregate number and percentage of outstanding shares of common stock, par value $.01 per share, of Ilex Oncology, Inc. (the "Shares") beneficially owned by each of the Reporting Persons are set forth below. 1. Perseus, L.L.C. (3) (a) Amount Beneficially Owned: 841,883 (b) Percent of Class: 6.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 678,206 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 678,206 (iv) shared power to dispose or to direct the disposition of: 0 - ---------------- (3) Perseus, L.L.C is the sole manager of Perseus Pharmaceuticals, L.L.C. and the sole manager, indirectly, of Perseus Capital, L.L.C. The amounts reported as beneficially owned by Perseus, L.L.C. consist of 818,383 shares beneficially owned by Perseus Pharmaceuticals, L.L.C. and 23,500 shares beneficially owned by Perseus Capital, L.L.C. CUSIP No. 451923106 Page 9 of 13 Pages 2. Frank H. Pearl (4) (a) Amount Beneficially Owned: 841,883 (b) Percent of Class: 6.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 678,206 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 678,206 (iv) shared power to dispose or to direct the disposition of: 0 - ---------------- (4) Frank H. Pearl is the controlling person of Perseus, L.L.C, a Delaware limited liability company that, in turn, is the sole manager of Perseus Pharmaceuticals, L.L.C. and the sole manager, indirectly, of Perseus Capital, L.L.C. The amounts reported as beneficially owned by Mr. Pearl consist of 818,383 shares beneficially owned by Perseus Pharmaceuticals, L.L.C. and 23,500 shares beneficially owned by Perseus Capital, L.L.C. CUSIP No. 451923106 Page 10 of 13 Pages 3. Perseus Pharmaceuticals, L.L.C. (a) Amount Beneficially Owned: 818,383 (5) (b) Percent of Class: 6.7% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 654,706 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 654,706 (iv) shared power to dispose or to direct the disposition of: 0 - ---------------- (5) Includes 163,677 shares that are subject to warrants held by Perseus Pharmaceuticals, L.L.C. that are exercisable within 60 days. 4. Perseus Capital, L.L.C. (a) Amount Beneficially Owned: 23,500 (b) Percent of Class: 0.2% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 23,500 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 23,500 (iv) shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. Not Applicable. CUSIP No. 451923106 Page 11 of 13 Pages Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. CUSIP No. 451923106 Page 12 of 13 Pages Item 8. Identification and Classification of Members of the Group. The identity of each member of the group is set forth in Exhibit B hereto. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. Not Applicable. CUSIP No. 451923106 Page 13 of 13 Pages SIGNATURES After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 13, 1998 PERSEUS, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President /s/ Frank H. Pearl ------------------------------- FRANK H. PEARL PERSEUS PHARMACEUTICALS, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President PERSEUS CAPITAL, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President Exhibit A JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below hereby agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, par value $.01 per share, of Ilex Oncology Inc. and further agree that this Joint Filing Agreement be included as an Exhibit to such statement. IN WITNESS WHEREOF, the undersigned have executed this Joint Filing Agreement as of February 13, 1998. PERSEUS, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President /s/ Frank H. Pearl ------------------------------- FRANK H. PEARL PERSEUS PHARMACEUTICALS, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President PERSEUS CAPITAL, L.L.C. By: /s/ Kenneth M. Socha ------------------------------- Kenneth M. Socha Executive Vice President Exhibit B IDENTIFICATION OF MEMBERS OF THE GROUP This Statement on Schedule 13G is filed on behalf of a group consisting of the following members: Perseus, L.L.C. Frank H. Pearl Perseus Pharmaceuticals, L.L.C. Perseus Capital, L.L.C. -----END PRIVACY-ENHANCED MESSAGE-----