-----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, HIfzGCxxYRscaaOlA25HCn9C4l+0pnaVxHxQ/RU5J/BYPIlvrm7/n1IwBwsJW3gn p05hC5V8LXK3grsRktKyyw== 0001047469-98-006050.txt : 19980218 0001047469-98-006050.hdr.sgml : 19980218 ACCESSION NUMBER: 0001047469-98-006050 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980213 SROS: NONE GROUP MEMBERS: FLEMING STANDISH GROUP MEMBERS: ROYSTON, IVOR 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 13G SEC ACT: SEC FILE NUMBER: 005-52635 FILM NUMBER: 98538739 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: FLEMING STANDISH CENTRAL INDEX KEY: 0001026764 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 10975 TORREYANA ROAD SUITE 230 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6194528799 MAIL ADDRESS: STREET 1: 10975 TORREYANA ROAD SUITE 230 CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G 1 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 AND EXCHANGE ACT OF 1934 (Amendment No. )(1) ------ CORIXA CORPORATION ---------------------------------- (Name of Issuer) COMMON STOCK ---------------------------------- (Title of Class of Securities) 21887F100 ---------------------------------- (CUSIP Number) (Continued on following pages(s)) (Page 1 of 6 Pages) - ---------------------- (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 the disclosures provided in a prior 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. 21887F100 13G Page 2 of 6 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) STANDISH M. FLEMING - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF SHARES 36,331 (+) shares of Common Stock BENEFICIALLY ------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER REPORTING PERSON 572,233 (++) shares of Common Stock WITH ------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 36,331 (+) shares of Common Stock ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 572,233 (++) shares of Common Stock - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 608,564(+)(++) shares of Common Stock - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.2% as of December 31, 1997 - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! + Includes 1,510 shares of Common Stock issuable upon the exercise of warrants within 60 days of December 31, 1997 ++ Includes 60,273 shares of Common Stock issuable upon the exercise of warrants and 511,960 shares, all of which are directly owned by Forward Ventures II, L.P., of which Forward II Associates, L.P. is the general partner, of which Mr. Fleming is a general partner. Mr. Fleming disclaims beneficial ownership of these 572,233 shares other than to the extent of his individual partnership interest CUSIP NO. 21887F100 13G Page 3 of 6 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) IVOR ROYSTON - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------- NUMBER 5 SOLE VOTING POWER OF SHARES 36,331 (+) shares of Common Stock BENEFICIALLY ------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER REPORTING PERSON 572,233 (++) shares of Common Stock WITH ------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 36,331 (+) shares of Common Stock ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 572,233 (++) shares of Common Stock - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 608,564(+)(++) shares of Common Stock - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.2% as of December 31, 1997 - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! + Includes 1,510 shares of Common Stock issuable upon the exercise of warrants within 60 days of December 31, 1997, all of which are held directly by the Royston Family Trust, of which Dr. Royston is a Co-Trustee. ++ Includes 60,273 shares of Common Stock issuable upon the exercise of warrants and 511,960 shares, all of which are directly owned by Forward Ventures II, L.P., of which Forward II Associates, L.P. is the general partner, of which Dr. Royston is a general partner. Dr. Royston disclaims beneficial ownership of these 572,233 shares other than to the extent of his individual partnership interest Page 4 of 6 Pages ITEM 1(a) NAME OF ISSUER: Corixa Corporation ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1124 Columbia Street, Suite 200 Seattle, WA 98104 ITEM 2(a) NAME OF PERSON FILING: Pursuant to Rule 13d-1(f) promulgated under the Securities Exchange Act of 1934, this statement is being filed jointly by (i) Standish M. Fleming, a general partner of Forward II Associates, L.P. and (ii) Ivor Royston, a general partner of Forward II Associates, L.P. and a Co-Trustee of the Royston Family Trust UTD March 18, 1992. Mr. Fleming and Dr. Royston are making this single, joint filing to comply with the reporting requirements with respect to Common Stock of Corixa Corporation that each beneficially owns. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: c/o Forward II Associates, L.P. 10975 Torreyana Road, Suite 230 San Diego, CA 92121 ITEM 2(c) CITIZENSHIP: U.S.A. ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e) CUSIP NUMBER: 21887F100 Page 5 of 6 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: See Row 9 of cover page for each individual. (b) Percent of Class: See Row 11 of cover page for each individual. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page for each individual. (ii) shared power to vote or to direct the vote: See Row 6 of cover page for each individual. (iii) sole power to dispose or to direct the disposition of: See Row 7 of cover page for each individual. (iv) shared power to dispose or to direct the disposition of: See Row 8 of cover page for each individual. 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. Not Applicable Page 6 of 6 Pages ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable ITEM 10. CERTIFICATION. 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. Date: February 13, 1998 /s/ Standish M. Fleming ---------------------------------------- Standish M. Fleming /s/ Ivor Royston ---------------------------------------- Ivor Royston EX-99.1 2 EXHIBIT 99.1 EXHIBIT 1 AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, the undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Corixa Corporation shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 13, 1998 /s/ Standish M. Fleming ---------------------------------------- Standish M. Fleming /s/ Ivor Royston ---------------------------------------- Ivor Royston -----END PRIVACY-ENHANCED MESSAGE-----