-----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, HI4OfQ1KA7v31O0tMknv7U/Tw4QBHlN+m/6jN0H0PJI162IXHO9pKGUnl5IEopq/ evcg8rKS7cGeSA5aE0LoBg== 0000893220-99-000143.txt : 19990208 0000893220-99-000143.hdr.sgml : 19990208 ACCESSION NUMBER: 0000893220-99-000143 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990205 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CORIXA CORP CENTRAL INDEX KEY: 0001042561 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 911654387 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-52635 FILM NUMBER: 99522830 BUSINESS ADDRESS: STREET 1: 1124 COLUMBIA STREET SUIE 200 CITY: SEATTLE STATE: WA ZIP: 98104 BUSINESS PHONE: 2066675711 MAIL ADDRESS: STREET 1: 1124 COLUMBIA STREET SUTIE200 CITY: SEATTLE STATE: WA ZIP: 98104 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: S R ONE LTD CENTRAL INDEX KEY: 0000923194 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: PA FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 565 E SWEDESFORD RD STREET 2: STE 315 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6102932404 MAIL ADDRESS: STREET 1: BAY COLONY EXEC PARK STREET 2: 565 E SWEDESFORD RD STE 315 CITY: WAYNE STATE: PA ZIP: 19087 SC 13D 1 CORIXA CORPORATION SC 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 Corixa Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 21887F100 - -------------------------------------------------------------------------------- (CUSIP Number) Donald F. Parman, SmithKline Beecham Corporation One Franklin Plaza, Philadelphia, PA 19102 Telephone 215-751-7633 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 30, 1998 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) 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). 2 SCHEDULE 13D CUSIP NO. 21887F100 PAGE 2 OF 7 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON S.R. One, Limited 23-1729901 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /x/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Pennsylvania Business Trust - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 505,050 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 505,050 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 505,050 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- 3 SCHEDULE 13D CUSIP NO. 21887F100 PAGE 3 OF 7 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SmithKline Beecham plc 98-0101920 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /x/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION England - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 427,807 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 427,807 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 427,807 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 Page 4 of 7 Pages Item 1. Security and Issuer. Common Stock, $.001 Par Value Corixa Corporation 1124 Columbia St., Suite 200 Seattle, WA 98104 Item 2. Identity and Background. (a) S.R. One, Limited ("SRO"), a Pennsylvania business trust, is a venture capital company. SmithKline Beecham plc (SBplc), a company organized under the laws of England, discovers, develops, manufactures and markets pharmaceuticals, vaccines, over-the-counter medicines and health-related products, and the provision of healthcare services including clinical laboratory testing, disease management, and pharmaceutical benefit management. Collectively, SRO and SBplc are sometimes referred to as the "Group". (b) The principal business address for SRO is: Four Tower Bridge 200 Barr Harbor Drive, Suite 250 West Conshohocken, PA 19428-2977 The principal business address for SBplc is: New Horizons Court Brentford Middlesex ENGLAND TW8 9EP (c) Information concerning the Group is set forth in response to Item 2(a) above. (d) During the last five years, the Group has not been convicted in a criminal proceeding, excluding traffic violations or similar misdemeanors. (e) During the last five years the Group was not a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result thereof 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. (f) Not applicable. 5 Page 5 of 7 Pages Item 3. Source and Amount of Funds or Other Consideration. In May 1996, SRO purchased 1,666,667 shares of Series B Preferred stock for $5,000,001 in a private placement. In connection with the Issuer's initial public offering ("IPO") in October 1997, SRO received 505,050 shares of Common stock upon the conversion of its Series B Preferred stock. On November 30, 1998 SBplc purchased 427,807 shares of Common stock for $2,499,997 in a private placement. In each case, the source of funds is Working Capital. Item 4. Purpose of Transaction. The Group intends to review from time to time the business affairs and financial position of the Issuer. Based on such evaluation and review, as well as general economic and industry conditions existing at the time and the Group's own financial plans, the Group may consider from time to time various alternative courses of action. Such actions may include the acquisition of additional shares through open market purchases, privately negotiated transactions or otherwise. Alternatively, such actions may involve the sale of all or a portion of the shares in the open market, in privately negotiated transactions, through public offering or otherwise. All of the securities acquired have been purchases for investment purposes. Item 5. Interest in Securities of the Issuer. (a) Amount and Percent Beneficially Owned Registered Name No. of Shares Percent --------------- ------------- ------- SRO 505,050 3.9% SBplc 427,807 3.3% ------- ---- 932,857 7.2% (b) The respective members of the Group have sole power to vote and to dispose of all of the shares of Common Stock identified in subparagraph (a) above. (c) In May 1996, SRO purchased 1,666,667 shares of Series B Preferred stock for $5,000,001 in a private placement. These shares were converted into 505,050 shares of Common stock following Issuer's IPO in October 1997. Pursuant to a Collaboration and License Agreement ("Agreement") dated October 28, 1998 between SBplc and Issuer, SBplc acquired 427,807 shares of Common Stock for an acquisition price of $2,499,997. In addition, the Agreement provides that Issuer may require SBplc to purchase an additional $2.5 million worth of Corixa common stock at a premium to market. (d) The only transactions involving the Group and the Common Stock of the Issuer are the transactions referenced above. (e) Not applicable 6 Page 6 of 7 Pages Item 6. Contracts, Arrangements, Understandings or Relationship With respect to Securities of the Issuer. None Item 7. Materials to be Filed as Exhibits. Exhibit 1. Joint Filing Agreement dated as of February 1, 1999 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in the Statement is true, correct and complete. DATED: February 1, 1999 S.R. ONE, LIMITED By: /s/ Donald F. Parman Donald F. Parman Vice President and Secretary 7 Page 7 of 7 Pages EXHIBIT 1 The undersigned hereby agree, pursuant to Rule 13d-1(f)(1) under Section 13(d) of the Securities Exchange Act of 1934, as amended, that (1) they shall cause a single Schedule 13D to be filed on behalf of both parties in respect of their ownership interests in the Common Stock of Corixa Corporation and (2) S.R. One, Limited shall be authorized to sign said Schedule 13D and any amendments thereto on behalf of both members of the Group. S.R. ONE, LIMITED By:/s/ Donald F. Parman ------------------------ Donald F. Parman Vice President and Secretary SMITHKLINE BEECHAM plc By: /s/ Clare McClintock ------------------------ Clare McClintock Assistant Secretary DATED: February 1, 1999 -------------------- -----END PRIVACY-ENHANCED MESSAGE-----