-----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, Cb8J0yOXMQLcEta+1ecHjMN2NVMtDFislxfhUlZZgvsWpBMOAaEEbi+D4JVf5xh3 NRjh9N1cGYN/9aNBYYlD1Q== 0000950168-02-000219.txt : 20020414 0000950168-02-000219.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950168-02-000219 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: BLUEFISH PARTNERS, L.P. GROUP MEMBERS: JAMES E. DAVERMAN GROUP MEMBERS: LLOYD D. RUTH GROUP MEMBERS: MARQUETTE GENERAL II, L.P. GROUP MEMBERS: MARQUETTE VENTURE PARTNERS, II, L.P. GROUP MEMBERS: MVP II AFFILIATES FUND, L.P. GROUP MEMBERS: REDFISH PARTNERS, L.P. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVERMAN JAMES E CENTRAL INDEX KEY: 0001033489 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 500 CORPORATE CENTRE STREET 2: 520 LAKE COOK ROAD SUITE 450 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8474058396 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: 02549340 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 SC 13G/A 1 dsc13ga.txt AMENDMENT #4 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ----------- SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4)/1/ CollaGenex Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 19419B100 - -------------------------------------------------------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- - ----------------------- 1 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 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 12 Pages =============================================================================== CUSIP NO. 19419B100 13G Page 2 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. Marquette Venture Partners II, L.P. 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3820302 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 916,669 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 916,669 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 916,669 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN =============================================================================== * SEE INSTRUCTIONS BEFORE FILLING OUT! =============================================================================== CUSIP NO. 19419B100 13G Page 3 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON: MVP II Affiliates Fund, L.P. 1 S.S or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3871877 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 740 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 740 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 740 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.00672% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN =============================================================================== * SEE INSTRUCTIONS BEFORE FILLING OUT! \ =============================================================================== CUSIP NO. 19419B100 13G Page 4 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. Marquette General II, L.P. 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3820303 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 917,409 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 917,409 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 917,409 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN =============================================================================== * SEE INSTRUCTIONS BEFORE FILLING OUT! =============================================================================== CUSIP NO. 19419B100 13G Page 5 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. Redfish Partners, L.P. (formerly known as JED Limited Partnership) 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3760173 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 917,409 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 917,409 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 917,409 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN =============================================================================== * SEE INSTRUCTIONS BEFORE FILLING OUT! =============================================================================== CUSIP NO. 19419B100 13G Page 6 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. Bluefish Partners, L.P. (formerly known as LDR Limited Partnership) 1 S.S or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 36-3760176 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 917,409 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 917,409 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 917,409 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN =============================================================================== * SEE INSTRUCTIONS BEFORE FILLING OUT! =============================================================================== CUSIP NO. 19419B100 13G Page 7 of 12 Pages --------- --- --- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. James E. Daverman 1 S.S or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 80,000 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 917,409 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 80,000 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 917,409 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 997,409 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 9.1% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12 IN =============================================================================== *SEE INSTRUCTIONS BEFORE FILLING OUT! =============================================================================== CUSIP No. 19419B100 13G Page 8 of 12 Pages --------- -- -- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON. Lloyd D. Ruth 1 S.S or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 18,500 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 917,409 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 18,500 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 917,409 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 935,909 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 8.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN =============================================================================== *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: --------------- CollaGenex Pharmaceuticals, Inc. ("CollaGenex") Item 1(b) Address of Issuer's Principal Executive Offices: ------------------------------------------------ 41 University Drive Suite 200 Newtown, PA 18940 Item 2(a) Name of Person Filing: ---------------------- This Schedule 13G is being jointly filed by each of the following persons pursuant to Rule 13d-(1)(f) promulgated by the Securities and Exchange Commission pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the "Act"): (i) Marquette Venture Partners II, L.P. ("MVP II"), a Delaware limited partnership, by virtue of its direct beneficial ownership of 916,669 shares of common stock, par value $0.01 per share (the "Common Stock"), of CollaGenex; (ii) MVP II Affiliates Fund, L.P. ("MVP II Affiliates"), a Delaware limited partnership, by virtue of its direct beneficial ownership of 740 shares of Common Stock; (iii) Marquette General II, L.P. ("MG II"), a Delaware limited partnership, as the sole general partner of MVP II and MVP II Affiliates; (iv) Redfish Partners, L.P. ("Redfish"), a Delaware limited partnership, as a general partner of MG II; (v) Bluefish Partners, L.P. ("Bluefish"), a Delaware limited partnership, as a general partner of MG II; (vi) James E. Daverman ("Mr. Daverman"), as an individual stockholder and optionholder and as an affiliate of Redfish; and (vii) Lloyd D. Ruth ("Mr. Ruth"), as an individual stockholder and as an affiliate of Bluefish. MVP II, MVP II Affiliates, MG II, Redfish, Bluefish, Mr. Daverman and Mr. Ruth are hereinafter collectively referred to as the "Reporting Persons." The Reporting Persons have entered into a Joint Filing Agreement, dated February 13, 1997, a copy of which was previously filed with this Schedule 13G pursuant to which the Reporting Persons have agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(f)(1) under the Act. Item 2(b) Address of Principal Business Office or, if none, Residence: ------------------------------------------------- The address of the principal business office of each of the Reporting Persons is: Corporate 500 Centre 520 Lake Cook Road, Suite 450 Deerfield, Illinois 60015 Page 9 of 12 Pages Item 2(c) Citizenship ----------- MVP II, MVP II Affiliates, MG II, Redfish and Bluefish are limited partnerships organized under the laws of Delaware. Mr. Daverman and Mr. Ruth are United States citizens. Item 2(d) Title of Class of Securities: ----------------------------- Common Stock, $0.01 par value per share. Item 2(e) CUSIP No.: ---------- 19419B100 Item 3 If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the persons filing is a: ------------------------------------------------------- The persons filing are not described in any category listed under this item. Item 4 Ownership --------- MG II is the sole general partner of both MVP II and MVP II Affiliates; Redfish and Bluefish are the general partners of MG II; Mr. Daverman is an affiliate of Redfish; and Mr. Ruth is an affiliate of Bluefish. As a result of such relationships, MG II, Redfish and Bluefish and both Messrs. Daverman and Ruth may be deemed to share voting and dispositive power with respect to the shares held by MVP II and MVP II Affiliates. The cover pages are incorporated herein by reference. Each Reporting Person expressly disclaims beneficial ownership of any shares of Common Stock beneficially owned by each other Reporting Person. 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 [ ]. Item 6 Ownership of More Than Five Percent on Behalf of Another Person: ------------------------------------------------ No other person has the right to receive or the power to direct the receipt of dividends from, or other proceeds from the sale of, the shares. Page 10 of 12 Pages 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 Members of the Group: ----------------------------------------------------------- Not applicable. Item 9 Notice of Dissolution of Group: ------------------------------ Not applicable. Item 10 Certification: -------------- Not applicable. 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 14, 2002 MARQUETTE VENTURE PARTNERS II, L.P. MVP II AFFILIATES FUND, L.P. MARQUETTE GENERAL II, L.P. BLUEFISH PARTNERS, L.P. By: /s/ Lloyd D. Ruth ---------------------------------- Lloyd D. Ruth as authorized signatory REDFISH PARTNERS, L.P. By: /s/ James E. Daverman ---------------------------------- James E. Daverman as authorized signatory /s/ James E. Daverman ------------------------------------- JAMES E. DAVERMAN /s/ Lloyd D. Ruth -------------------------------------- LLOYD D. RUTH Page 12 of 12 Pages -----END PRIVACY-ENHANCED MESSAGE-----