-----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, Wa6l+sFdl1aJIyAQl9dmuYm9rDFjo18avc1ebO2vPCF8yWkE6XlNCXyREwbEXFY5 r/+fSEubrJrhc60sz2I09g== 0001047469-98-006422.txt : 19980218 0001047469-98-006422.hdr.sgml : 19980218 ACCESSION NUMBER: 0001047469-98-006422 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD GROUP MEMBERS: A. DANA CALLOW, JR. GROUP MEMBERS: BD PARTNERS LIMITED PARTNERSHIP GROUP MEMBERS: CALLOW A DANA JR GROUP MEMBERS: DAVID KRONFELD GROUP MEMBERS: H.J. VON DER GOLTZ 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: 98541560 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: CALLOW A DANA JR CENTRAL INDEX KEY: 0001018241 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O BOSTON CAPITAL VENTURES STREET 2: 45 SCHOOL ST CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 6172276550 SC 13G 1 SCHEDULE 13G ---------------------------- UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION ---------------------------- Washington, D.C. 20549 OMB Number: 3235--145 Expires: December 31, 1997 Estimated average burden hours per response....14.90 ---------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ILEX Oncology, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - ------------------------------------------------------------------------------- (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). - ------------------- ---------------------- CUSIP No. 451923106 13G Page 2 of 12 Pages - ------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Boston Capital Ventures III, Limited Partnership - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 771,547 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 771,547 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 771,547 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ---------------------- CUSIP No. 451923106 13G Page 3 of 12 Pages - ------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BD Partners Limited Partnership - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 771,547 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 771,547 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 771,547 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * PN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ---------------------- CUSIP No. 451923106 13G Page 4 of 12 Pages - ------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON A. Dana Callow, Jr. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 21,178 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 771,547 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 21,178 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 771,547 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 792,725 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ---------------------- CUSIP No. 451923106 13G Page 5 of 12 Pages - ------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON H.J. von der Goltz - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Guatemala - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 771,547 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 771,547 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 771,547 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ---------------------- CUSIP No. 451923106 13G Page 6 of 12 Pages - ------------------- ---------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David Kronfeld - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY ------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 771,547 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 771,547 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 771,547 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------ ------------------------- CUSIP No. 451923106 13G Page 7 of 12 Pages - ------------------ ------------------------- NOTE: This Statement on Schedule 13G is being filed on behalf of (i) Boston Capital Ventures III, Limited Partnership; (ii) BD Partners Limited Partnership; (iii) A. Dana Callow, Jr.; (iv) H. J. von der Goltz; and (v) David Kronfeld. Item 1. (a) Name of Issuer ------------------ ILEX Oncology, Inc. (b) Address of Issuer's Principal Executive Offices ----------------------------------------------- 1150 I.H. 10 West Suite 300 San Antonio, Texas 78230 Item 2.
Item 2(a) Item 2(b) Item 2(c) ---------- ----------- ---------------------- Citizenship or Place Name of Person Filing Address of Organization --------------------- --------- ----------------------- Boston Capital Ventures III, c/o Boston Capital Delaware Limited Partnership Ventures ("BCV III") 45 School Street Boston, MA 02108 BD Limited Partnership c/o Boston Capital Delaware ("BDP"), the sole general Ventures partner of BCV III 45 School Street Boston, MA 02108 A. Dana Callow, Jr., c/o Boston Millennia United States a general partner Partners of BDP 30 Rowes Wharf Boston, MA 02110 H. J. von der Goltz, c/o Boston Capital Guatemala a general partner Ventures of BDP 45 School Street Boston, MA 02108 David Kronfeld, a JK & B Capital United States general partner 205 N. Michigan Avenue, of BDP Suite 808 Chicago, IL 60601
Item 2(d). Title of Class of Securities - ----------------------------------- Common Stock, $.01 par value Item 2(e). CUSIP Number - --------------- 451923106 - ------------------ ------------------------- CUSIP No. 451923106 13G Page 8 of 12 Pages - ------------------ ------------------------- Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13(d)-2(b), check whether the person filing is a: (a) ---- Broker or Dealer registered under Section 15 of the Securities Exchange act of 1934 ("the Act"). (b) --- Bank as defined in Section 3(a)(6) of the Act. (c) ---- Insurance Company as defined in Section 3(a)(19) of the Act. (d) --- Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) --- Investment adviser registered under Section 203 of the Investment Advisers Act of 1940. (f) --- Employee Benefit Plan, Pension Fund which is subject to the provision of the Employee Retirement Income Security Act of 1974 or endowment Fund; see Rule 13-d(b)(1)(ii)(F) of the Act. (g) --- Parent Holding company, in accordance with Rule 13(d)-1(b)(ii)(G) of the Act. (h) --- Group, in accordance with rule 13d-1(b)(ii)(H) of the Act. None of the above. Item 4. Ownership. (a) Amount Beneficially Owned As of December 31, 1997, each of the following is the holder of record of (i) the number of shares of Common Stock and (ii) warrants for the purchase of the number of shares of Common Stock, indicated below;
Common Stock Warrants ---------------- -------------- BCVIII 707,418 shares 64,129 BDP 707,418 shares 64,129 Mr. Callow 14,385 shares 1,081 Mr. von der Goltz 0 shares 0 Mr. Kronfeld 0 shares 0
In addition, Mr. Callow may be deemed the beneficial owner of 5,712 shares subject to stock options which are currently exercisable or exercisable within 60 days from the date hereof.. (b) Percent of Class BCVIII 6.3% BDP 6.3% Mr. Callow 6.5% Mr. von der Goltz 6.3% Mr. Kronfeld 6.3%
(c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: BCVIII 0 BDP 0 Mr. Callow 21,178 Mr. von der Goltz 0
- ------------------ ------------------------- CUSIP No. 451923106 13G Page 9 of 12 Pages - ------------------ ------------------------- Mr. Kronfeld 0
(ii) shared power to vote or direct the vote: BCVIII 771,547 BDP 771,547 Mr. Callow 771,547 Mr. von der Goltz 771,547 Mr. Kronfeld 771,547
(iii) sole power to dispose or to direct the disposition of: BCVIII 0 BDP 0 Mr. Callow 21,178 Mr. von der Goltz 0 Mr. Kronfeld 0
(iv) shared power to dispose or to direct the disposition of: BCVIII 771,547 BDP 771,547 Mr. Callow 771,547 Mr. von der Goltz 771,547 Mr. Kronfeld 771,547
Each of BCVIII, BDP, Mr. Callow, Mr. von der Goltz and Mr. Kronfeld expressly disclaims beneficial ownership of any shares of Common Stock of ILEX Oncology, Inc., except any shares held directly of record or any shares in which they have an actual pecuniary interest. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: / / Not applicable. 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. Item 8. Identification and Classification of Member of the Group. Not applicable. BCVIII, BDP, Mr. Callow, Mr. von der Goltz and Mr. Kronfeld expressly disclaim membership in a "group" as defined in Rule 13d-1(b)(1)(ii)(H). Item 9. Notice of Dissolution of Group. Not applicable. - ------------------ ------------------------- CUSIP No. 451923106 13G Page 10 of 12 Pages - ------------------ ------------------------- Item 10. Certification. Not applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). Attached as Exhibit 1 hereto is a Joint Filing Agreement executed by each of the filing persons pursuant to Rule 13-1(f) under Section 13(d) of the Act. - ------------------ ------------------------- CUSIP No. 451923106 13G Page 11 of 12 Pages - ------------------ ------------------------- Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 17, 1998 BOSTON CAPITAL VENTURES III, LIMITED PARTNERSHIP By: BD Partners Limited Partnership its general Partner By: /s/ A. Dana Callow, Jr. ---------------------------------- A. Dana Callow, Jr., General Partner BD PARTNERS LIMITED PARTNERSHIP By: /s/ A. Dana Callow, Jr. ---------------------------------- A. Dana Callow, Jr., General Partner /s/ A. Dana Callow, Jr. ---------------------------- A. Dana Callow, Jr. /s/ H.J. von der Goltz ----------------------------- H.J. von der Goltz /s/ David Kronfeld ----------------------------- David Kronfeld - ------------------ ------------------------- CUSIP No. 451923106 13G Page 12 of 12 Pages - ------------------ ------------------------- EXHIBIT 1 JOINT FILING AGREEMENT OF BOSTON CAPITAL VENTURES III, LIMITED PARTNERSHIP, BD PARTNERS LIMITED PARTNERSHIP, A. DANA CALLOW, JR., H. J. VON DER GOLTZ, AND DAVID KRONFELD Each of the undersigned hereby agrees that the foregoing Schedule 13G with respect to the securities of ILEX Oncology, Inc. is filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended. Dated February 17, 1998 BOSTON CAPITAL VENTURES III, LIMITED PARTNERSHIP By: BD Partners Limited Partnership its General Partner By: /s/ A. Dana Callow, Jr. --------------------------------- A. Dana Callow, Jr., General Partner BD PARTNERS LIMITED PARTNERSHIP By: /s/ A. Dana Callow, Jr. ------------------------ A. Dana Callow, Jr., General Partner /s/ A. Dana Callow, Jr. -------------------------- A. Dana Callow, Jr. /s/ H.J. von der Goltz ---------------------------- H. J. von der Goltz /s/ David Kronfeld ---------------------------- David Kronfeld -----END PRIVACY-ENHANCED MESSAGE-----