0000950005-05-000100.txt : 20120705 0000950005-05-000100.hdr.sgml : 20120704 20050204150840 ACCESSION NUMBER: 0000950005-05-000100 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050204 DATE AS OF CHANGE: 20050204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DYNAVAX TECHNOLOGIES CORP CENTRAL INDEX KEY: 0001029142 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 330728374 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80035 FILM NUMBER: 05576828 BUSINESS ADDRESS: STREET 1: 717 POTTER STREET, SUITE 100 CITY: BERKELEY STATE: CA ZIP: 94710 BUSINESS PHONE: 5108485100 MAIL ADDRESS: STREET 1: 9500 GILMAN DR STREET 2: UNIVERSITY OF CALIFORNIA CITY: LA JOLLA STATE: CA ZIP: 92093-0663 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 p19114_13g.txt FORM SC-13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. __)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 DYNAVAX TECHNOLOGIES CORPORATION -------------------------------- (Name of Issuer) Common Stock -------------------------------- (Title of Class of Securities) 268158102 -------------------------------- (CUSIP Number) December 31, 2004 -------------------------------------------------------------------------------- (Date of Event That 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 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. 268158102 Page 2 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Partners ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization California ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,522,186 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IA ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 3 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Partners, L. P. ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Delaware ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,522,186 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person PN -------------------------------------------------------------------------------------------------------------------
CUSIP No. 268158102 Page 4 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Management Partners, L. P. ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Delaware ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,522,186 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person PN -------------------------------------------------------------------------------------------------------------------
CUSIP No. 268158102 Page 5 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero Partners, LLC ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization California ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,522,186 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person CO -------------------------------------------------------------------------------------------------------------------
CUSIP No. 268158102 Page 6 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Jean Deleage ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,522,186 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 7 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Garrett Gruener ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 1,522,186 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 1,522,186 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,522,186 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.2% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 268158102 Page 8 of 13 Pages ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Guy Nohra ------------------------------------------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X ------------------------------------------------------------------------------------------------------------------- (3) SEC Use Only ------------------------------------------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting -------------------------------------------------------------- Person With (6) Shared Voting Power 1,486,714 -------------------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------------------- (8) Shared Dispositive Power 1,486,714 ------------------------------------------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,486,714 Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* ------------------------------------------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 6.0% Please see Attachment A ------------------------------------------------------------------------------------------------------------------- (12) Type Of Reporting Person IN ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
Item 1. (a) Name of Issuer: Dynavax Technologies Corporation ("Issuer") (b) Address of Issuer's Principal Executive Offices: 2929 7th Street, Suite 130 Berkeley, CA 94710 Item 2. (a) Name of Person Filing: Alta Partners ("AP") Alta California Partners, L.P. ("ACP") Alta California Management Partners, L.P. ("ACMP") Alta Embarcadero Partners, LLC ("AEP") Jean Deleage ("JD") Garrett Gruener ("GG") Guy Nohra ("GN") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: AP - California ACP - Delaware ACMP Delaware AEP California Individuals: JD United States GG United States GN United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 268158102 Item 3. Not applicable. Item 4 Ownership. Please see Attachment A
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ AP ACP ACMP AEP JD GG GN ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (a) Beneficial 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,486,714 Ownership ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (b) Percentage of 6.2% 6.2% 6.2% 6.2% 6.2% 6.2% 6.0% Class ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Shared Voting 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,486,714 Power ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Sole Dispositive -0- -0- -0- -0- -0- -0- -0- Power ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Shared 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,522,186 1,486,714 Dispositive Power ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Item 5. Ownership of Five Percent or Less of a Class 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 Members of the Group No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. 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 acquired and are held in the ordinary course of business and 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. EXHIBITS A: Joint Filing Statement 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 3, 2005
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P. By: Alta California Management Partners, L.P., By: /s/ Jean Deleage By: /s/ Guy Nohra ----------------------------------------- ----------------------------------- Jean Deleage, President Guy Nohra, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Guy Nohra By: /s/ Jean Deleage ----------------------------------------- ------------------------------------ Guy Nohra, General Partner Jean Deleage, Member /s/ Jean Deleage /s/ Guy Nohra -------------------------------------------- ------------------------------------ Jean Deleage Guy Nohra /s/ Garrett Gruener -------------------------------------------- Garrett Gruener
EXHIBIT A AGREEMENT OF JOINT FILING We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: February 3, 2005 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.
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P. By: Alta California Management Partners, L.P., By: /s/ Jean Deleage By: /s/ Guy Nohra ----------------------------------------- ----------------------------------- Jean Deleage, President Guy Nohra, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Guy Nohra By: /s/ Jean Deleage ----------------------------------------- ----------------------------------- Guy Nohra, General Partner Jean Deleage, Member /s/ Jean Deleage /s/ Guy Nohra -------------------------------------------- ------------------------------------ Jean Deleage Guy Nohra /s/ Garrett Gruener -------------------------------------------- Garrett Gruener
Attachment A Alta Partners provides investment advisory services to several venture capital funds including, Alta California Partners L.P. and Alta Embarcadero Partners, LLC. Alta California Partners, L.P. beneficially owns 1,486,714 shares of Common Stock and Alta Embarcadero Partners, LLC beneficially owns 35,472 shares of Common Stock. The respective general partners and members of Alta California Partners L.P. and Alta Embarcadero Partners, LLC exercise sole voting and investment power in respect to the shares owned by such funds. Certain principals of Alta Partners are general partners of Alta California Management Partners, L.P. (which is a general partner of Alta California Partners, L.P.), and members of Alta Embarcadero Partners, LLC. As general partners and members of such entities, they may be deemed to share voting and investment powers over the shares held by such funds. The principals of Alta Partners disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Mr. Garrett Gruener is a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) and a member of Alta Embarcadero Partners, LLC. Thus he currently shares voting and dispositive powers over the 1,486,714 shares of Common Stock beneficially owned by Alta California Partners, L.P. and the 35,472 shares of Common Stock beneficially owned by Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of all such shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Jean Deleage is a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) and a member of Alta Embarcadero Partners, LLC. Thus he currently shares voting and dispositive powers over the 1,486,714 shares of Common Stock beneficially owned by Alta California Partners, L.P. and the 35,472 shares of Common Stock beneficially owned by Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of all such shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) Thus he currently shares voting and dispositive powers over the 1,486,714 shares of Common Stock beneficially owned by Alta California Partners, L.P. He disclaims beneficial ownership of all such shares held by the foregoing fund except to the extent of his proportionate pecuniary interests therein. Alta Partners is a venture capital company with an office in San Francisco. Alta Partners is California Corporation. Alta California Partners, L.P. is a Delaware Limited Partnership and Alta Embarcadero Partners, LLC is a California Limited Liability Company.