-----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, ERutw9hRSje14hAs6xGg50Zddck1kWix145qD//GsnjL76M/7u5XKrFrECN89G9A 7f6C8GC39lE2rgTv6XZHSw== 0000950142-04-000479.txt : 20040217 0000950142-04-000479.hdr.sgml : 20040216 20040217163635 ACCESSION NUMBER: 0000950142-04-000479 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040217 GROUP MEMBERS: FRANK H. PEARL GROUP MEMBERS: GEORGE SOROS GROUP MEMBERS: PERSEUS BIOTECH FUND PARTNERS, LLC GROUP MEMBERS: PERSEUS EC, L.L.C. GROUP MEMBERS: PERSEUS-SOROS BIOPHARMACEUTICAL FUND, LP GROUP MEMBERS: PERSEUS-SOROS PARTNERS, LLC GROUP MEMBERS: PERSEUSPUR, LLC GROUP MEMBERS: SFM AH, LLC GROUP MEMBERS: SFM PARTICIPATION, LP GROUP MEMBERS: SOROS FUND MANAGEMENT LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLLAGENEX PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001012270 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 521758016 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47825 FILM NUMBER: 04609332 BUSINESS ADDRESS: STREET 1: 41 UNIVERSITY DRIVE CITY: NEWTON STATE: PA ZIP: 18940 BUSINESS PHONE: 2155797388 MAIL ADDRESS: STREET 1: 41 UNIVERSITY DRIVE CITY: NEWTON STATE: PA ZIP: 18940 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOROS GEORGE CENTRAL INDEX KEY: 0000900203 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212-262--6 MAIL ADDRESS: STREET 1: 888 SEVENTH AVE STREET 2: 33RD FLR CITY: NEW YORK STATE: NY ZIP: 10106 SC 13G/A 1 sc13ga2-collagenex.txt AMENDMENT NO. 2 -- COLLAGENEX PHARMACEUTICALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* COLLAGENEX PHARMACEUTICALS, INC. -------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE -------------------------------------- (Title of Class of Securities) 19419B100 --------- (CUSIP Number) DECEMBER 31, 2003 ----------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) *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 disclosures provided in a prior cover page. The information required on the reminder 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. 19419B100 Schedule 13G Page 2 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Perseus-Soros BioPharmaceutical Fund, LP S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 689,367 (1) ------------- Beneficially (6) Shared Voting Power 0 ------------- Owned by Each (7) Sole Dispositive Power 689,367 (1) ------------- Reporting Person (8) Shared Dispositive Power 0 ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person PN - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 3 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Perseus-Soros Partners, LLC S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 689,367 (1) ------------- Beneficially (6) Shared Voting Power 0 ------------- Owned by Each (7) Sole Dispositive Power 689,367 (1) ------------- Reporting Person (8) Shared Dispositive Power 0 ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 4 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Perseus BioTech Fund Partners, LLC S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 5 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person SFM Participation, L.P. S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person PN - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 6 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person SFM AH LLC S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 7 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Perseus EC, L.L.C. S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 8 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Perseuspur, LLC S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 9 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Frank H. Pearl S.S. or I.R.S. Identifica- (in the capacity described herein) tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 827,947 (1)(2) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 827,947 (1)(2) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 827,947 (1)(2) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. (2) See Item 4(a) herein. CUSIP NO. 19419B100 Schedule 13G Page 10 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person Soros Fund Management LLC S.S. or I.R.S. Identifica- tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person OO; IA - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 11 of 24 - -------------------------------------------------------------------------------- 1. Name of Reporting Person George Soros S.S. or I.R.S. Identifica- (in the capacity described herein) tion No.of Above Person - -------------------------------------------------------------------------------- 2. Check the Appropriate Box (a) [_] if a Member of a Group (b) [X] - -------------------------------------------------------------------------------- 3. S.E.C. Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 ------------- Beneficially (6) Shared Voting Power 689,367 (1) ------------- Owned by Each (7) Sole Dispositive Power 0 ------------- Reporting Person (8) Shared Dispositive Power 689,367 (1) ------------- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 689,367 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [X] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 4.9% ------------- - -------------------------------------------------------------------------------- 12. Type of Reporting Person IA - -------------------------------------------------------------------------------- - ------------------------ (1) Includes warrants to purchase 266,668 shares of Common Stock. CUSIP NO. 19419B100 Schedule 13G Page 12 of 24 Item 1. (a) NAME OF ISSUER CollaGenex Pharmaceuticals, Inc. (the "Company") (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 41 University Drive Newtown, PA 18940 Item 2. (a) NAMES OF PERSONS FILING (i) Perseus-Soros BioPharmaceutical Fund, L.P., a Delaware limited partnership ("PSBF"); (ii) Perseus-Soros Partners, LLC, a Delaware limited liability company ("PSP GP" and general partner of PSBF); (iii) Perseus BioTech Fund Partners, LLC, a Delaware limited liability company ("PBFP Partners" and a managing member of PSP GP); (iv) SFM Participation, L.P., a Delaware limited partnership ("SFM Participation" and a managing member of PSP GP); (v) SFM AH LLC, a Delaware limited liability company ("SFM AH" and general partner of SFM Participation); (vi) Perseus EC, LLC, a Delaware limited liability company ("Perseus EC" and managing member of PBFP Partners); (vii) Perseuspur, LLC, a Delaware limited liability company ("Perseuspur" and member of Perseus EC); (viii) Mr. Frank H. Pearl ("Mr. Pearl" and sole member of Perseuspur); (ix) Soros Fund Management LLC, a Delaware limited liability company ("SFM LLC" and the sole managing member of SFM AH; and (x) Mr. George Soros ("Mr. Soros" and Chairman of SFM LLC). (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE The address of the principal business offices of (i) PSBF and (ii) PSP, GP is 888 Seventh Avenue, 29th Floor, New York, NY 10106. The address of the principal business offices of (i) PBFP Partners, (ii) Perseus EC, (iii) Perseuspur and (iv) Mr. Pearl is 2099 Pennsylvania Ave., N.W., Suite 900, Washington, D.C. 20006. The address of the principal business offices of (i) SFM Participation, (ii) SFM AH, (iii) SFM LLC and (iv) Mr. Soros is 888 Seventh Avenue, 33rd Floor, New York, NY 10106. CUSIP NO. 19419B100 Schedule 13G Page 13 of 24 (c) CITIZENSHIP PSBF - a Delaware limited partnership PSP GP - a Delaware limited liability company PBFP Partners - a Delaware limited liability company SFM Participation - a Delaware limited partnership SFM AH - a Delaware limited liability company Perseus EC - a Delaware limited liability company Perseuspur - a Delaware limited liability company Mr. Pearl - United States SFM LLC - a Delaware limited liability company Mr. Soros - United States (d) TITLE OF CLASS OF SECURITIES Common Stock, par value $.01 per share (the "Common Stock" or "Shares") (e) CUSIP NUMBER 19419B100 Information contained herein concerning SFM Participation, SFM AH, Mr. Soros and SFM LLC has been provided by SFM LLC. PSBF, PSP GP, PBFP Partners, Perseus EC, Perseuspur and Mr. Pearl assume no responsibility for such information. Information contained herein concerning PBFP Partners, Perseus EC, Perseuspur and Mr. Pearl has been provided by each such Reporting Person. PSBF, PSP GP, SFM Participation, SFM AH, Mr. Soros and SFM LLC assume no responsibility for such information. Item 3. This statement is not filed pursuant to either Rule 13d-1(b) or 13d-2(b) or (c). Item 4. OWNERSHIP. (a) AMOUNT BENEFICIALLY OWNED: Each of the Reporting Persons, other than Mr. Pearl, may be deemed to beneficially own an aggregate of 689,367 shares of Common Stock. Mr. Pearl may be deemed to beneficially own an aggregate of 827,947 shares of Common Stock as a result of his voting and dispositive power over the 689,367 shares of Common Stock owned by PSBF and an additional 138,580 shares of Common Stock beneficially owned by New York Life BioVenture Partners LLC, a Delaware limited liability company ("New York Life"). New York Life may be deemed to be an affiliate of Mr. Pearl. CUSIP NO. 19419B100 Schedule 13G Page 14 of 24 (b) PERCENTAGE OWNED: Based on calculations made in accordance with Rule 13d-3(d), and there being 13,838,167 shares of Common Stock outstanding as of this date, each of the Reporting Persons, other than Mr. Pearl, may be deemed to beneficially own approximately 4.9% of the outstanding shares of Common Stock on a diluted basis in accordance with Rule 13d-3(d). Based on calculations made in accordance with Rule 13d-3(d), and there being 13,838,167 shares of Common Stock outstanding as of this date, Mr. Pearl may be deemed to beneficially own approximately 5.9% of the outstanding shares of Common Stock on a diluted basis in accordance with Rule 13d-3(d). (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) Each of PSBF and PSP GP may be deemed to have sole power to direct the voting and disposition of the 689,367 shares of Common Stock beneficially owned by PSBF. (ii) By virtue of the relationships between and among the Reporting Persons as described in Item 2, each of the Reporting Persons, other than PSBF, PSP GP and Mr. Pearl, may be deemed to share the power to direct the voting and disposition of the 689,367 shares of Common Stock beneficially owned by PSBF. Mr. Pearl may be deemed to share the power to direct the voting and disposition of the 689,367 shares of Common Stock beneficially owned by PSBF and the 138,580 shares of Common Stock beneficially owned by New York Life. PSBF, PSP GP, PBFP Partners, Perseus EC, Perseuspur, SFM Participation, SFM AH, Mr. Soros and SFM LLC disclaim beneficial ownership of the 138,580 shares of Common Stock beneficially owned by New York Life. Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS As of the date of this filing, each of the Reporting Persons other than Mr. Pearl ceased to be the beneficial owners of more than 5% of the Issuer's outstanding Common Shares. Accordingly, this is the final amendment to the Schedule 13G and is an exit filing by each of the Reporting Persons other than Mr. Pearl. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON The partners of PSBF have the right to participate in the receipt of dividends from, or proceeds from the sale of, the securities held for the account of PSBF in accordance with their ownership interests in PSBF. Item 7. IDENTIFICATION AND CLASSIFICATION OF SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. CUSIP NO. 19419B100 Schedule 13G Page 15 of 24 Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. Item 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. Item 10. CERTIFICATION By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] CUSIP NO. 19419B100 Schedule 13G Page 16 of 24 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated as of February 17, 2004 PERSEUS-SOROS BIOPHARMACEUTICAL FUND, L.P. By: Perseus-Soros Partners, LLC General Partner By: SFM Participation, L.P. Managing Member By: SFM AH LLC General Partner By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel PERSEUS-SOROS PARTNERS, LLC By: SFM Participation, L.P. Managing Member By: SFM AH LLC General Partner CUSIP NO. 19419B100 Schedule 13G Page 17 of 24 By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel PERSEUS BIOTECH FUND PARTNERS, LLC By: Perseuspur EC, L.L.C. Managing Member By: Perseuspur, LLC Member By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer SFM PARTICIPATION, L.P. By: SFM AH LLC General Partner By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel CUSIP NO. 19419B100 Schedule 13G Page 18 of 24 SFM AH LLC By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel PERSEUS EC, L.L.C. By: Perseuspur, LLC Member By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer PERSEUSPUR, LLC By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer MR. FRANK H. PEARL By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Attorney-in-Fact (1) MR. GEORGE SOROS By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Attorney-in-Fact (2) CUSIP NO. 19419B100 Schedule 13G Page 19 of 24 SOROS FUND MANAGEMENT LLC By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel (1) A Power of Attorney, dated April 9, 2003, appointing Rodd Macklin to act on behalf of Frank Pearl has been filed with the Securities and Exchange Commission. (2) A Power of Attorney, dated October 30, 2002, appointing each of Armando T. Belly, Jodye Anzalotta, John F. Brown, Maryann Canfield, Richard D. Holahan, Jr. and Robert Soros to act on behalf of George Soros has been filed with the Securities Exchange Commission. CUSIP NO. 19419B100 Schedule 13G Page 20 of 24 EXHIBIT INDEX Exhibit 1. Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. EX-99 3 ex1_sc13ga1-collagenex.txt EXHIBIT 1 CUSIP NO. 19419B100 Schedule 13G Page 21 of 24 EXHIBIT 1 --------- JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained herein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate. Dated as of February 17, 2004 PERSEUS-SOROS BIOPHARMACEUTICAL FUND, L.P. By: Perseus-Soros Partners, LLC General Partner By: SFM Participation, L.P. Managing Member By: SFM AH LLC General Partner By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel CUSIP NO. 19419B100 Schedule 13G Page 22 of 24 PERSEUS-SOROS PARTNERS, LLC By: SFM Participation, L.P. Managing Member By: SFM AH LLC General Partner By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel PERSEUS BIOTECH FUND PARTNERS, LLC By: Perseuspur EC, L.L.C. Managing Member By: Perseuspur, LLC Member By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer SFM PARTICIPATION, L.P. By: SFM AH LLC General Partner By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel CUSIP NO. 19419B100 Schedule 13G Page 23 of 24 SFM AH LLC By: Soros Fund Management LLC Managing Member By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel PERSEUS EC, L.L.C. By: Perseuspur, LLC Member By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer PERSEUSPUR, LLC By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Secretary and Treasurer MR. FRANK H. PEARL By: /s/ Rodd Macklin ---------------------------------------- Name: Rodd Macklin Title: Attorney-in-Fact (1) MR. GEORGE SOROS By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Attorney-in-Fact (2) CUSIP NO. 19419B100 Schedule 13G Page 24 of 24 SOROS FUND MANAGEMENT LLC By: /s/ Jodye M. Anzalotta ---------------------------------------- Name: Jodye M. Anzalotta Title: Assistant General Counsel (1) A Power of Attorney, dated April 9, 2003, appointing Rodd Macklin to act on behalf of Frank Pearl has been filed with the Securities and Exchange Commission. (2) A Power of Attorney, dated October 30, 2002, appointing each of Armando T. Belly, Jodye Anzalotta, John F. Brown, Maryann Canfield, Richard D. Holahan, Jr. and Robert Soros to act on behalf of George Soros has been filed with the Securities Exchange Commission. -----END PRIVACY-ENHANCED MESSAGE-----