-----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, AaUnerA5jPHh0/HdhsOaJ6iQD2WCplMQygHbwyacG9c9Qd8UKnIgnRaJ832Lraid fryVLDqx8XcELcZTVlDL7w== 0000950134-07-013440.txt : 20070614 0000950134-07-013440.hdr.sgml : 20070614 20070614172410 ACCESSION NUMBER: 0000950134-07-013440 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070614 DATE AS OF CHANGE: 20070614 GROUP MEMBERS: EDWARD W ROSE III SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENITOPE CORP CENTRAL INDEX KEY: 0001028358 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770436313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-79329 FILM NUMBER: 07920749 BUSINESS ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 BUSINESS PHONE: (510) 284-3000 MAIL ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CPMG Inc CENTRAL INDEX KEY: 0001372218 IRS NUMBER: 770616887 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 250 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-871-6809 MAIL ADDRESS: STREET 1: 500 CRESCENT COURT STREET 2: SUITE 250 CITY: DALLAS STATE: TX ZIP: 75201 SC 13D 1 d47536sc13d.htm SCHEDULE 13D sc13d
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No.  )*

Genitope Corporation
(Name of Issuer)
Common Stock
(Title of Class of Securities)
37229P507
(CUSIP Number)
Taylor H. Wilson
Haynes and Boone, LLP
901 Main Street, Suite 3100
Dallas, Texas 75202
(214) 651-5000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
June 11, 2007
(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* 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 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.
 
37229P507 
 

 

           
1   NAMES OF REPORTING PERSONS:

CPMG, Inc.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
 
 
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   o 
  (b)   þ 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  AF/OO
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e):
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  7   SOLE VOTING POWER:
     
NUMBER OF   8,125,370
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   8,125,370
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  8,125,370
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
   
  19.5%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  CO/IA

 


 

                     
CUSIP No.
 
37229P507 
 

 

           
1   NAMES OF REPORTING PERSONS:

Edward W. Rose III
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
 
 
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   o 
  (b)   þ 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  PF/AF/OO
     
5   CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e):
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  7   SOLE VOTING POWER:
     
NUMBER OF   8,125,370
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   8,125,370
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  8,125,370
     
12   CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
   
  19.5%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN

 


 

Item 1.   Security and Issuer.
     This statement relates to the Common Stock of Genitope Corporation. The address of the principal executive offices of the issuer is 6900 Dumbarton Circle, Fremont, California 94555.
Item 2.   Identity and Background.
     This statement is jointly filed by and on behalf of CPMG, Inc., a Texas corporation, and Edward W. Rose III, a United States citizen.
     The principal business of CPMG is serving as an investment adviser and/or manager to other persons. The address of the principal office of CPMG is 2100 McKinney, Suite 1770, Dallas, Texas 75201.
     The business address of Mr. Rose is 2100 McKinney, Suite 1780, Dallas, Texas 75201. The present principal occupation of Mr. Rose is serving as the President of Cardinal Investment Company, Inc. The principal business of Cardinal Investment Company is the investment business. The address of Cardinal Investment Company is 2100 McKinney, Suite 1780, Dallas, Texas 75201.
     During the last five years, no reporting person and no person named in Appendix I hereto in response to Item 2 of Schedule 13D has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). No reporting person and no person named in Appendix I hereto in response to Item 2 of Schedule 13D was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws as a result of a civil proceeding of a judicial or administrative body of competent jurisdiction to which such person was a party during the last five years.
     The information required to be given in this statement by Item 2 of Schedule 13D, if any, with respect to any person enumerated in Instruction C of Schedule 13D is provided in Appendix I hereto or otherwise herein.
Item 3.   Source and Amount of Funds or Other Consideration.
     The securities covered by this statement were purchased or otherwise acquired using an amount of funds or other consideration equal to approximately $43.6 million (including commissions) from a person or persons advised or managed by CPMG or working capital, personal, or other funds or other consideration of one or more of the reporting persons or an affiliate or affiliates of one or more of the reporting persons pursuant to an open market or a private purchase or purchases or another acquisition or other acquisitions.
     On June 11, 2007, the issuer granted to R. Kent McGaughy, Jr., the President and a shareholder of CPMG, a ten year non-qualified stock option that entitles Mr. McGaughy to acquire up to 25,000 shares for $3.67 per share and vests in 36 equal monthly installments beginning on the transaction date. Mr. McGaughy has entered into an arrangement with CPMG to assign any and all profits realized by Mr. McGaughy from or in connection with this option to CPMG. Pursuant to the arrangement, CPMG may provide the amount of funds or other consideration used or to be used in making purchases, if any, pursuant to this option.
     The information required to be given in this statement by Item 3 of Schedule 13D, if any, with respect to any person enumerated in Instruction C of Schedule 13D is provided in Appendix I hereto or otherwise herein.
Item 4.   Purpose of Transaction.
     The securities covered by this statement were acquired for investment purposes.
     Except as described herein, no reporting person and no person named in Appendix I hereto in response to Item 2 of Schedule 13D currently has any plan or proposal which relates to or would result in any of the actions required to be described herein by Item 4 of Schedule 13D. Each reporting person and each person named in Appendix I hereto in response to Item 2 of Schedule 13D is involved in the investment business and plans and proposes to review and analyze the investment(s) in the issuer advised and/or managed by CPMG and/or the

 


 

investment of such person in the issuer, as applicable, on a continuing basis and may, at any time and from time to time, plan and/or propose to effect and/or cause one or more actions relating to and/or resulting in one or more of the actions required to be described by Item 4 of Schedule 13D.
     On June 11, 2007, Mr. McGaughy was elected as a Class I director of the issuer to hold office and serve until the 2010 annual meeting of stockholders of the issuer, until his successor is elected and qualified, or until his earlier death, resignation or removal. The issuer’s nominating and corporate governance committee recommended that the issuer’s board of directors nominate Mr. McGaughy for election to the issuer’s board as a Class I director to fill a vacancy that resulted from the departure of Ronald Goode Ph.D. from the issuer’s board, which nomination was approved by the issuer’s board. Mr. McGaughy is expected to receive the same compensation the issuer provides to other newly elected directors of the issuer. Mr. McGaughy was recommended for nomination to the issuer’s board by Stanford C. Finney, an independent director of the issuer. The issuer’s board of directors has affirmatively determined that Mr. McGaughy would be an independent director within the meaning of the applicable NASDAQ listing standards based on the information the issuer’s board has to date.
     The information required to be given in this statement by Item 4 of Schedule 13D, if any, with respect to any person enumerated in Instruction C of Schedule 13D is provided in Appendix I hereto or otherwise herein.
Item 5.   Interest in Securities of the Issuer.
     Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, the beneficial owner of any securities covered by this statement.
     Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for the purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding, or disposing of securities of the issuer or otherwise with respect to the issuer or any securities of the issuer or (ii) a member of any group with respect to the issuer or any securities of the issuer.
     (a) The aggregate number and percentage of the class of securities identified pursuant to Item 1 of this statement beneficially owned (identifying those shares which there is a right to acquire) by each reporting person is stated below.
                 
Name   Aggregate Number   Percentage
 
CPMG, Inc.
    8,125,370 (1)     19.5  
Edward W. Rose III
    8,125,370 (1)     19.5  
 
(1)   CPMG serves as an investment adviser and/or manager to other persons. CPMG may be deemed to beneficially own securities owned and/or held by and/or for the account and/or benefit of another person or other persons. Mr. Rose is the sole director and a shareholder of CPMG. Mr. Rose may be deemed to beneficially own securities owned and/or held by and/or for the account and/or benefit of CPMG. Includes 328,630 shares directly owned and/or held by and/or for the account and/or benefit of Mr. Rose.
     (b) Number of shares as to which each person named in response to paragraph (a) of this Item 5 has:
  (i)   Sole power to vote or to direct the vote:
 
      See disclosure provided in response to Item 7 on the attached cover page(s).
 
  (ii)   Shared power to vote or to direct the vote:
 
      See disclosure provided in response to Item 8 on the attached cover page(s).

 


 

  (iii)   Sole power to dispose or to direct the disposition of:
 
      See disclosure provided in response to Item 9 on the attached cover page(s).
 
  (iv)   Shared power to dispose or to direct the disposition of:
 
      See disclosure provided in response to Item 10 on the attached cover page(s).
     (c) Transactions in the class of securities reported on that were effected during the past sixty days or since the most recent filing of Schedule 13D, whichever is less, by the person(s) named in response to paragraph (a) of this Item 5 are described below.
                                     
Transaction   Effecting   Shares   Shares   Price Per   Description of
Date   Person(s)   Acquired   Disposed   Share ($)   Transaction
 
May 9, 2007
  CPMG, Inc.     550,000       0       3.5988     Open market purchase
May 11, 2007
  CPMG, Inc.     171,000       0       3.45     Open market purchase
May 11, 2007
  CPMG, Inc.     211,745       0       3.418     Open market purchase
May 22, 2007
  CPMG, Inc.     105,229       0       3.6107     Open market purchase
May 23, 2007
  CPMG, Inc.     61,154       0       3.6456     Open market purchase
May 24, 2007
  CPMG, Inc.     52,325       0       3.5917     Open market purchase
June 1, 2007
  CPMG, Inc.     32,588       0       3.6657     Open market purchase
June 5, 2007
  CPMG, Inc.     150,510       0       3.7147     Open market purchase
     (d) Other persons are known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities beneficially owned by the reporting persons. CY Offshore Fund, Ltd. is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, more than five percent of the class of securities reported on.
     (e) Not applicable.
     The information required to be given in this statement by Item 5 of Schedule 13D, if any, with respect to any person enumerated in Instruction C of Schedule 13D is provided in Appendix I hereto or otherwise herein.
Item 6.   Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
     On June 11, 2007, the issuer granted to Mr. McGaughy a ten year non-qualified stock option that entitles Mr. McGaughy to acquire up to 25,000 shares for $3.67 per share and vests in 36 equal monthly installments beginning on the transaction date. Mr. McGaughy has entered into an arrangement with CPMG to assign any and all profits realized by Mr. McGaughy from or in connection with this option to CPMG. Pursuant to the arrangement, CPMG may provide the amount of funds or other consideration used or to be used in making purchases, if any, pursuant to this option.
     The information required to be given in this statement by Item 6 of Schedule 13D, if any, with respect to any person enumerated in Instruction C of Schedule 13D is provided in Appendix I hereto or otherwise herein.
Item 7.   Material to be Filed as Exhibits.
     Not applicable.

 


 

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.
         
  CPMG, Inc.
 
 
  By:   /s/ R. Kent McGaughy, Jr.    
  Name:   R. Kent McGaughy, Jr.   
  Title:   President  
  Date: June 14, 2007  
 
         
  Edward W. Rose III
 
 
  By:   /s/ Debbie Crady    
  Name:   Debbie Crady   
  Title:   Attorney-in-Fact  
  Date: June 14, 2007  
 

 


 

APPENDIX I
Information with respect to Persons Enumerated in Instruction C of Schedule 13D
Item 2.   Identity and Background.
             
    State or Other       Address of
    Place of       Principal Office or
    Organization or   Principal Business or Present Principal Occupation or   Residence or
Name   Citizenship   Employment   Business Address
 
Edward W. Rose, III
  United States   President of Cardinal Investment Company, Inc.   (1)
R. Kent McGaughy, Jr.
  United States   President of CPMG, Inc.   (2)
James W. Traweek, Jr.
  United States   Executive Officer of CPMG, Inc.   (2)
John Bateman
  Unites States   Chief Operating Officer, Chief Compliance   (2)
 
      Officer, and Secretary of CPMG, Inc.    
 
(1)   2100 McKinney, Suite 1780, Dallas, Texas 75201.
 
(2)   2100 McKinney, Suite 1770, Dallas, Texas 75201.
Item 3.   Source and Amount of Funds or Other Consideration.
     Except as provided herein, no information is called for in this statement by Item 3 of Schedule 13D with respect to any person enumerated in Instruction C of Schedule 13D.
Item 4.   Purpose of Transaction.
     Except as provided herein, no information is called for in this statement by Item 4 of Schedule 13D with respect to any person enumerated in Instruction C of Schedule 13D.
Item 5.   Interest in Securities of the Issuer.
     (a) The aggregate number and percentage of the class of securities identified pursuant to Item 1 of this statement beneficially owned (identifying those shares which there is a right to acquire) by each person named in this Appendix in response to Item 2 of Schedule13D is stated below.
                                                 
    Sole   Shared   Sole   Shared        
    Voting   Voting   Dispositive   Dispositive   Aggregate    
Name   Power   Power   Power   Power   Number   Percentage
 
Edward W. Rose, III
    0       0       0       0       0       0.0  
R. Kent McGaughy, Jr.
    25,000 (1)     0       25,000 (1)     0       25,000 (1)     0.1  
James W. Traweek, Jr.
    0       0       0       0       0       0.0  
John Bateman
    0       0       0       0       0       0.0  
 
(1)   Represents shares issued or issuable by the issuer to Mr. McGaughy pursuant to a ten year non-qualified stock option granted on June 11, 2007 by the issuer to Mr. McGaughy that entitles Mr. McGaughy to acquire such shares for $3.67 per share and vests in 36 equal monthly installments beginning on the transaction date. Mr. McGaughy has entered into an arrangement with CPMG to assign any and all profits realized by Mr. McGaughy from or in connection with this option to CPMG. Pursuant to the arrangement, CPMG may provide the amount of funds or other consideration used or to be used in making purchases, if any, pursuant to this option.
     (b) Number of shares as to which each person named in response to paragraph (a) of Item 5 of this Appendix has:
  (i)   Sole power to vote or to direct the vote:

 


 

      See disclosure provided in response to paragraph (a) of Item 5 of this Appendix.
 
  (ii)   Shared power to vote or to direct the vote:
 
      See disclosure provided in response to paragraph (a) of Item 5 of this Appendix.
 
  (iii)   Sole power to dispose or to direct the disposition of:
 
      See disclosure provided in response to paragraph (a) of Item 5 of this Appendix.
 
  (iv)   Shared power to dispose or to direct the disposition of:
 
      See disclosure provided in response to paragraph (a) of Item 5 of this Appendix.
     (c) Transactions in the class of securities reported on that were effected during the past sixty days or since the most recent filing of Schedule 13D, whichever is less, by the person(s) named in response to paragraph (a) of Item 5 of this Appendix are described below.
                             
Transaction   Effecting   Shares   Shares   Price Per   Description
Date   Person(s)   Acquired   Disposed   Share ($)   of Transaction
 
June 11, 2007
  R. Kent McGaughy, Jr.   25,000 (1)     0       0.00     Director stock option grant
 
(1)   Represents shares issued or issuable by the issuer to Mr. McGaughy pursuant to a ten year non-qualified stock option granted on June 11, 2007 by the issuer to Mr. McGaughy that entitles Mr. McGaughy to acquire such shares for $3.67 per share and vests in 36 equal monthly installments beginning on the transaction date. Mr. McGaughy has entered into an arrangement with CPMG to assign any and all profits realized by Mr. McGaughy from or in connection with this option to CPMG. Pursuant to the arrangement, CPMG may provide the amount of funds or other consideration used or to be used in making purchases, if any, pursuant to this option.
     (d) Except as provided herein, no other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities beneficially owned by the person(s) named in response to paragraph (a) of Item 5 of this Appendix.
     (e) Not applicable.
Item 6.   Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
     As a director of the issuer, Mr. McGaughy is subject to the issuer’s code of business conduct and ethics and insider trading policy and each of the issuer’s other codes, policies, and plans applicable to Mr. McGaughy as a director with respect to securities of the issuer.
     Except as provided herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among any of the persons named in this Appendix in response to Item 2 of Schedule 13D or between any such person and any other person with respect to any securities of the issuer.

 

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