-----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, DYpjTorBQyb1njRl60zg50x8QiTGSTYNHJ/D7BNDoIDwPARzHfWOVJKFFayofjXc T3kKPcf+OCGXnsXms1BwwA== 0001278774-04-000012.txt : 20040809 0001278774-04-000012.hdr.sgml : 20040809 20040809165804 ACCESSION NUMBER: 0001278774-04-000012 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040809 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STURZA EVAN CENTRAL INDEX KEY: 0001278774 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: BUSINESS PHONE: 212-541-9224 MAIL ADDRESS: STREET 1: 1370 AVENUE OF THE AMERICAS STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AEROGEN INC CENTRAL INDEX KEY: 0001039160 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330488580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60561 FILM NUMBER: 04962040 BUSINESS ADDRESS: STREET 1: 2071 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 650 864-7300 MAIL ADDRESS: STREET 1: 2071 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 SC 13G/A 1 r13ga4.txt AMENDMENT #4 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)^ Aerogen Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 007779309 - -------------------------------------------------------------------------------- (CUSIP NUMBER) July 30, 2004 - -------------------------------------------------------------------------------- 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 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 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP No. 007779309 Page 2 of 6 Pages - ------------------------------------------------------------------------------- 1) Name of Reporting Person I.R.S. Identification Evan Sturza No. of Above Person (Entities Only) - ------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) N/A if a Member of a Group (b) N/A - ------------------------------------------------------------------------------- 3) SEC Use Only - ------------------------------------------------------------------------------- 4) Citizenship or Place U.S.A. of Organization - ------------------------------------------------------------------------------- Number of 5) Sole Voting 991,307 Shares Beneficially Power Owned by Each Reporting Person With -------------------------------------------------- 6) Shared Voting Power 0 -------------------------------------------------- 7) Sole Disposi- tive Power 991,307 -------------------------------------------------- 8) Shared Dis- positive Power 0 -------------------------------------------------- 9) Aggregate Amount Beneficially 991,307 (Please see footnote to Owned by Each Reporting person Item 4) - ------------------------------------------------------------------------------- 10) Check if the Aggregate N/A Amount in Row (9) Excludes Certain Shares - ------------------------------------------------------------------------------- 11) Percent of Class Represented by 3.4% Amount in Row (9) - ------------------------------------------------------------------------------- 12) Type of Reporting Person IN CUSIP No. 007779309 Page 3 of 6 Pages Schedule 13G ------------ Item 1(a) - Name of Issuer: Aerogen Inc. Item 1(b) - Address of Issuer's Principal Executive Offices: 2071 Stierlin Court Mountainview, CA 94043 Item 2(a) - Name of Person Filing: Evan Sturza Item 2(b) - Address of Principal Business Office: 1370 Avenue of the Americas, 27th Floor New York, NY 10019 Item 2(c) - Citizenship: U.S.A. Item 2(d) - Title of Class of Securities: Common Stock Item 2(e) - CUSIP Number: 007779309 Item 3 - Statements Filed Pursuant to Rules 13d-1(b) or 13d-2(b): (a) N/A (b) N/A (c) N/A (d) N/A (e) N/A (f) N/A (g) N/A (h) N/A (i) N/A (j) N/A CUSIP No. 007779309 Page 4 of 6 Pages Item 4 - Ownership. (a) Amount Beneficially Owned: 991,307* (b) Percent of Class: 3.4% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 991,307* (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 991,307* (iv) shared power to dispose or to direct the disposition of: 0 *Evan Sturza is the owner of two separate entities that are exempt from registration under the Investment Advisors Act of 1940 and provide investment management services to two privately owned entities exempt from registration under the Investment Company Act of 1940. Each of the entities, which have different beneficial owners, hold less than five percent of the common stock of the Issuer, but the aggregate holdings of the two entities exceeded five percent of the common stock of the Issuer. Therefore, for the purposes of Rule 13d-3 of the Securities Exchange Act of 1934, Evan Sturza may be deemed to be the beneficial owner of the common stock of the Issuer held by the separate entities. Evan Sturza disclaims beneficial ownership of the common stock covered by this Schedule 13G. Item 5 - Ownership of Five Percent or Less of a Class: N/A Item 6 - Ownership of More than Five Percent on Behalf of Another Person: The entities referenced in the footnote to Item 4 have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of the common stock covered by this Schedule 13G, however, neither entity's interests relate to more than five percent of the common stock of the Issuer. CUSIP No. 007779309 Page 5 of 6 Pages Item 7 - Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Company: N/A Item 8 - Identification and Classification of Members of the Group: N/A Item 9 - Notice of Dissolution of Group: N/A Item 10 - Certification: (a) N/A (b) By signing below I certify that, to the best of my 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. CUSIP No. 007779309 Page 6 of 6 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. August 9, 2004 --------------------------- Date /s/ Evan Sturza --------------------------- Evan Sturza -----END PRIVACY-ENHANCED MESSAGE-----