-----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, MixKBWOfI/5f34uTHVNMScQXOJ13Gy1A0G6uKxY/Z2gXCLS9RuOAicPbFqPvcPwn /n7DhI5iQ7PkvX1UxRgIBw== 0000950005-01-500249.txt : 20010629 0000950005-01-500249.hdr.sgml : 20010629 ACCESSION NUMBER: 0000950005-01-500249 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010628 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADOLOR CORP CENTRAL INDEX KEY: 0001076167 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 311429198 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-60253 FILM NUMBER: 1669426 BUSINESS ADDRESS: STREET 1: 620 PENNSYLVANIA DRIVE CITY: EXTON STATE: PA ZIP: 19341 MAIL ADDRESS: STREET 1: 620 PENNSYLVANIA DRIVE CITY: EXTON STATE: PA ZIP: 19341 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 p13939_13g.txt SCHEDULE 13G/A United States Securities and Exchange Commission WASHINGTON, D.C. 20549 Schedule 13G (Amendment No. _2_)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 ADOLOR CORPORATION -------------------------------- (Name of Issuer) Common Stock -------------------------------- (Title of Class of Securities) 00724X 10 2 -------------------------------- (CUSIP Number) June 20, 2001 - -------------------------------------------------------------------------------- (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. 00724X 10 2 Page 2 of 11 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 526,144 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 526,144 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 526,144 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) Exit Filing 1.88% Please see Attachment A - -------------------------------------------- ------------- (12) Type Of Reporting Person IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00724X 10 2 Page 3 of 11 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 514,392 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 514,392 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 514,392 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) Exit Filing 1.84% Please see Attachment A - -------------------------------------------- ------------ (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------- CUSIP No. 00724X 10 2 Page 4 of 11 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 514,392 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 514,392 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 514,392 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) Exit Filing 1.84% Please see Attachment A - -------------------------------------------- ------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------- CUSIP No. 00724X 10 2 Page 5 of 11 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 11,752 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 11,752 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 11,752 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) Exit Filing 0.04% Please see Attachment A - ------------------------------------ --------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 00724X 10 2 Page 6 of 11 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 32,405 Beneficially Owned By Each Reporting (6) Shared Voting Power 526,144 Person With (7) Sole Dispositive Power 32,405 (8) Shared Dispositive Power 526,144 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 558,549 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) Exit Filing 2.00% Please see Attachment A - -------------------------------------------- ------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00724X 10 2 Page 7 of 11 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 54,509 Beneficially Owned By Each Reporting (6) Shared Voting Power 526,144 Person With (7) Sole Dispositive Power 54,509 (8) Shared Dispositive Power 526,144 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 580,653 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) Exit Filing 2.08% Please see Attachment A - -------------------------------------------- ------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00724X 10 2 Page 8 of 11 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 40,023 Beneficially Owned By Each Reporting (6) Shared Voting Power 526,144 Person With (7) Sole Dispositive Power 40,023 (8) Shared Dispositive Power 526,144 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 566,167 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) Exit Filing 2.03% Please see Attachment A - -------------------------------------------- ------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1. (a) Name of Issuer: Adolor Corporation ("Issuer") (b) Address of Issuer's Principal Executive Offices: 620 Pennsylvania Drive Exton, PA 19341 Item 2. Please see Attachment A (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: 00724X 10 2 Item 3. Not applicable. Item 4 Ownership. Exit Filing --- The entities affiliated with Alta Partners are no longer 5% shareholders due to the sale and distribution of shares of Adolor Corporation Common Stock.
Please see Attachment A - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ AP ACP ACMP AEP JD GG GN - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (a) Beneficial 526,144 514,392 514,392 11,752 558,549 580,653 566,167 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (b) Percentage of 1.88% 1.84% 1.84% 0.04% 2.00% 2.08% 2.03% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ (c) Sole Voting Power 526,144 514,392 514,392 11,752 32,405 54,509 40,023 - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Shared Voting -0- -0- -0- -0- 526,144 526,144 526,144 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Sole Dispositive 526,144 514,392 514,392 11,752 32,405 54,509 40,023 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ Shared -0- -0- -0- -0- 526,144 526,144 526,144 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------
Item 5. Ownership of Five Percent or Less of a Class Exit Filing -- See Attachment A Item 6. Ownership of More than Five Percent on Behalf of Another Person Exit Filing -- See Attachment A 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 Not applicable 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: June 22, 2001 ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P. By: Alta California Management Partners, L.P. By: /s/ Jean Deleage By: /s/ Jean Deleage ------------------------------------- ------------------------------------------- Jean Deleage, President Jean Deleage, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ------------------------------------- ------------------------------------------- Jean Deleage, 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: June 22, 2001 ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P. By: Alta California Management Partners, L.P. By: /s/ Jean Deleage By: /s/ Jean Deleage ------------------------------------- ------------------------------------------- Jean Deleage, President Jean Deleage, General Partner ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ------------------------------------- ------------------------------------------- Jean Deleage, General Partner Jean Deleage, Member /s/ Jean Deleage /s/ Guy Nohra - ---------------------------------------- ------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener - ---------------------------------------- Garrett Gruener
Attachment A Exit Filing ---- Alta Partners is no longer a five percent shareholder 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 514,392 shares of Common Stock. Alta Embarcadero Partners, LLC beneficially owns 11,752 shares of Common Stock. The respective general partners of Alta California Partners L.P. and members of Alta Embarcadero Partners, LLC exercise sole voting and investment power with respect to the shares owned by such funds. The beneficial ownership listed above reflects the following transactions: Common Stock -------------- Stock Sales Date of Sale # of Shares Sold Alta California Partners, L.P. 6/12/01 14,624 6/13/01 9,749 Alta Embarcadero Partners, LLC 6/12/01 376 6/13/01 251 Common Stock -------------- Stock Distribution on 6/20/01 # of Shares Distributed Alta California Partners, L.P. 1,277,801 Alta Embarcadero Partners, LLC 34,341 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 funds, they may be deemed to share voting and investment powers for the shares held by the 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. 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. -----END PRIVACY-ENHANCED MESSAGE-----