0001193125-13-062643.txt : 20130218 0001193125-13-062643.hdr.sgml : 20130218 20130215155337 ACCESSION NUMBER: 0001193125-13-062643 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20130215 DATE AS OF CHANGE: 20130215 GROUP MEMBERS: JAMES L.L. TULLIS GROUP MEMBERS: TD II REGIONAL PARTNERS, INC. GROUP MEMBERS: TD JAVELIN CAPITAL FUND II, L.P. GROUP MEMBERS: TD LIGHTHOUSE CAPITAL FUND, L.P. GROUP MEMBERS: TULLIS-DICKERSON PARTNERS II, L.L.C. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYNAGEVA BIOPHARMA CORP CENTRAL INDEX KEY: 0000911326 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 561808663 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52299 FILM NUMBER: 13619611 BUSINESS ADDRESS: STREET 1: 128 SPRING STREET STREET 2: SUITE 520 CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: (781) 357-9900 MAIL ADDRESS: STREET 1: 128 SPRING STREET STREET 2: SUITE 520 CITY: LEXINGTON STATE: MA ZIP: 02421 FORMER COMPANY: FORMER CONFORMED NAME: TRIMERIS INC DATE OF NAME CHANGE: 19970516 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TULLIS DICKERSON CAPITAL FOCUS II, L.P. CENTRAL INDEX KEY: 0001094221 IRS NUMBER: 061519912 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE GREENWICH PLAZA CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2038618700 MAIL ADDRESS: STREET 1: C/O TULLIS DICKERSON & CO, INC. STREET 2: ONE GREENWICH PLAZA CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: TULLIS DICKERSON CAPITAL FOCUS II L P DATE OF NAME CHANGE: 20010622 SC 13G/A 1 d488090dsc13ga.htm SCHEDULE 13G AMENDMENT Schedule 13G Amendment

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

Synageva BioPharma Corp.

(Name of Issuer)

Common Stock, $0.001 par value per share

(Title of Class of Securities)

87159A 103

(CUSIP Number)

December 31, 2012

(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)

xRule 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 (“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).

 

 

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 2 of 14

 

  1   

Names of reporting persons

 

James L.L. Tullis

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    United States

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    1,925

   6   

Shared voting power

 

    203,294

   7   

Sole dispositive power

 

    1,925

   8   

Shared dispositive power

 

    203,294

  9  

Aggregate amount beneficially owned by each reporting person

 

    203,294

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.8%

12  

Type of reporting person (see instructions)

 

    IN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 3 of 14

 

  1   

Names of reporting persons

 

Tullis-Dickerson Capital Focus II, L.P.

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    0

   6   

Shared voting power

 

    167,500

   7   

Sole dispositive power

 

    0

   8   

Shared dispositive power

 

    167,500

  9  

Aggregate amount beneficially owned by each reporting person

 

    167,500

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.6%

12  

Type of reporting person (see instructions)

 

    PN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 4 of 14

 

  1   

Names of reporting persons

 

Tullis-Dickerson Partners II, L.L.C.

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    3,900

   6   

Shared voting power

 

    167,500

   7   

Sole dispositive power

 

    3,900

   8   

Shared dispositive power

 

    167,500

  9  

Aggregate amount beneficially owned by each reporting person

 

    171,400

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.6%

12  

Type of reporting person (see instructions)

 

    PN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 5 of 14

 

  1   

Names of reporting persons

 

TD Javelin Capital Fund II, L.P.

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    0

   6   

Shared voting power

 

    31,894

   7   

Sole dispositive power

 

    0

   8   

Shared dispositive power

 

    31,894

  9  

Aggregate amount beneficially owned by each reporting person

 

    31,894

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.1%

12  

Type of reporting person (see instructions)

 

    PN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 6 of 14

 

  1   

Names of reporting persons

 

TD Lighthouse Capital Fund, L.P.

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    0

   6   

Shared voting power

 

    0

   7   

Sole dispositive power

 

    0

   8   

Shared dispositive power

 

    0

  9  

Aggregate amount beneficially owned by each reporting person

 

    0

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.0%

12  

Type of reporting person (see instructions)

 

    PN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 7 of 14

 

  1   

Names of reporting persons

 

TD II Regional Partners, Inc.

  2  

Check the appropriate box if a member of a group (see instructions)

(a)  ¨        (b)  ¨

 

  3  

SEC use only

 

  4  

Citizenship or place of organization

 

    Delaware

Number of

shares

beneficially

owned by

each

reporting

person

with

    5    

Sole voting power*

 

    0

   6   

Shared voting power

 

    31,894

   7   

Sole dispositive power

 

    0

   8   

Shared dispositive power

 

    31,894

  9  

Aggregate amount beneficially owned by each reporting person

 

    31,894

10  

Check box if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11  

Percent of class represented by amount in Row 9**

 

    0.1%

12  

Type of reporting person (see instructions)

 

    PN

 

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 8 of 14

 

Item 1(a) Name of Issuer:

 

  Synageva BioPharma Corp.

 

Item 1(b) Address of Issuer’s Principal Executive Offices:

 

  128 Spring Street, Suite 520
  Lexington, Massachusetts 02421

 

Item 2(a) Name of Person Filing:

 

  James L.L. Tullis
  Tullis-Dickerson Capital Focus II, L.P.
  Tullis-Dickerson Partners II, L.L.C.
  TD Javelin Capital Fund II, L.P.
  TD Lighthouse Capital Fund, L.P.
  TD II Regional Partners, Inc.

 

Item 2(b) Address of Principal Business Office or, if none, Residence:

 

  The address of the principal business office of each of the Reporting Persons is One Stamford Plaza, 263 Tresser Boulevard, Stamford, CT 06901.

 

Item 2(c) Citizenship:

 

  James L.L. Tullis – United States
  Tullis-Dickerson Capital Focus II, L.P. – Delaware
  Tullis-Dickerson Partners II, L.L.C. – Delaware
  TD Javelin Capital Fund II, L.P. – Delaware
  TD Lighthouse Capital Fund, L.P. – Delaware
  TD II Regional Partners, Inc. – Delaware

 

Item 2(d) Title of Class of Securities:

 

  Common Stock, $0.001 par value per share

 

Item 2(e) CUSIP Number:

 

  87159A 103

 

Item 3 Not applicable.

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 9 of 14

 

Item 4 Ownership.

 

  Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

  (a) Amount beneficially owned:

 

    James L.L. Tullis – 203,294
    Tullis-Dickerson Capital Focus II, L.P. – 167,500
    Tullis-Dickerson Partners II, L.L.C. – 171,400
    TD Javelin Capital Fund II, L.P. – 31,894
    TD Lighthouse Capital Fund, L.P. – 0
    TD II Regional Partners, Inc. – 31,894

 

  (b) Percent of class:

 

    James L.L. Tullis – 0.8%
    Tullis-Dickerson Capital Focus II, L.P. – 0.6%
    Tullis-Dickerson Partners II, L.L.C. – 0.6%
    TD Javelin Capital Fund II, L.P. – 0.1%
    TD Lighthouse Capital Fund, L.P. – 0.0%
    TD II Regional Partners, Inc. – 0.1%

 

  (c) Number of shares as to which the person has:

 

  (i) Sole power to vote or to direct the vote

 

    James L.L. Tullis – 1,925
    Tullis-Dickerson Capital Focus II, L.P. – 0
    Tullis-Dickerson Partners II, L.L.C. – 3,900
    TD Javelin Capital Fund II, L.P. – 0
    TD Lighthouse Capital Fund, L.P. – 0
    TD II Regional Partners, Inc. – 0

 

  (ii) Shared power to vote or to direct the vote

 

    James L.L. Tullis – 203,294
    Tullis-Dickerson Capital Focus II, L.P. – 167,500
    Tullis-Dickerson Partners II, L.L.C. – 167,500
    TD Javelin Capital Fund II, L.P. – 31,894
    TD Lighthouse Capital Fund, L.P. – 0
    TD II Regional Partners, Inc. – 31,894

 

  (iii) Sole power to dispose or to direct the disposition of

 

    James L.L. Tullis – 1,925
    Tullis-Dickerson Capital Focus II, L.P. – 0
    Tullis-Dickerson Partners II, L.L.C. – 3,900
    TD Javelin Capital Fund II, L.P. – 0
    TD Lighthouse Capital Fund, L.P. – 0
    TD II Regional Partners, Inc. – 0

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 10 of 14

 

  (iv) Shared power to dispose or to direct the disposition of

 

    James L.L. Tullis – 203,294
    Tullis-Dickerson Capital Focus II, L.P. – 167,500
    Tullis-Dickerson Partners II, L.L.C. – 167,500
    TD Javelin Capital Fund II, L.P. – 31,894
    TD Lighthouse Capital Fund, L.P. – 0
    TD II Regional Partners, Inc. – 31,894

 

  As the general partner of Tullis-Dickerson Capital Focus II, L.P., Tullis-Dickerson Partners II, L.L.C. is deemed to beneficially own 167,500 shares of the Issuer’s common stock indirectly, in addition to the 3,900 shares of the Issuer’s common stock which it beneficially owns directly. As the general partner of each of TD Javelin Capital Fund II, L.P. and TD Lighthouse Capital Fund, L.P., TD II Regional Partners, Inc. is deemed to beneficially own 31,894 shares of the Issuer’s common stock. As the sole Manager of Tullis-Dickerson Partners II, L.L.C. and the Chief Executive Officer and sole director of TD II Regional Partners, Inc., James L.L. Tullis is deemed to beneficially own 203,294 shares of the Issuer’s common stock indirectly, in addition to the 1,925 shares of the Issuer’s common stock which he beneficially owns directly.

 

Item 5 Ownership of Five Percent or Less of a Class.

 

  If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x.

 

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 or Control Person.

 

  Not applicable.

 

Item 8 Identification and Classification of Members of the Group.

 

  The Reporting Persons are parties to a Joint Filing Agreement filed herewith as exhibit 99.1.

 

Item 9 Notice of Dissolution of Group.

 

  Not applicable.

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 11 of 14

 

Item 10 Certification.

 

  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.

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 12 of 14

 

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 15, 2013     JAMES L.L. TULLIS
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    TULLIS-DICKERSON CAPITAL FOCUS II, L.P.
    By: Tullis-Dickerson Partners II, L.L.C., its general partner
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    Title:   Manager
    TULLIS-DICKERSON PARTNERS II, L.L.C.
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    Title:   Manager
    TD LIGHTHOUSE CAPITAL FUND, L.P.
    By: TD II Regional Partners, Inc., its general partner
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    Title:   Chief Executive Officer

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 13 of 14

 

    TD JAVELIN CAPITAL FUND II, L.P.
    By: TD II Regional Partners, Inc., its general partner
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    Title:   Chief Executive Officer

SCHEDULE 13G

 

CUSIP No. 87159A 103    Page 14 of 14

 

    TD II REGIONAL PARTNERS, INC.
   

/s/ James L. L. Tullis

    Name:   James L. L. Tullis
    Title:   Chief Executive Officer

EXHIBIT INDEX

 

Exhibit
No.

      
99.1    Joint Filing Agreement, dated as of February 1, 2012, pursuant to Rule 13d-1(k)(1) among James L.L. Tullis, Tullis-Dickerson Capital Focus II, L.P., Tullis-Dickerson Partners II, L.L.C., TD Javelin Capital Fund II, L.P., TD Lighthouse Capital Fund, L.P. and TD II Regional Partners, Inc.
 EX-99.1 2 d488090dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

CUSIP No.: 87159A 103

JOINT FILING AGREEMENT

Joint Filing Agreement, dated as of February 1, 2012, is by and among James L.L. Tullis, Tullis-Dickerson Capital Focus II, L.P., Tullis-Dickerson Partners II, L.L.C., TD Lighthouse Capital Fund, L.P., TD Javelin Capital Fund II, L.P. and TD II Regional Partners, Inc. (the “TD Filers”).

Each of the TD Filers may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13G with respect to shares of Common Stock, par value $0.001 per share, of Synageva BioPharma Corp. beneficially owned by it from time to time. Pursuant to and in accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the TD Filers hereby agree to be responsible for the timely filing of the Schedule 13G and any amendments thereto on behalf of the TD Filers, and for the completeness and accuracy of the information concerning itself contained therein. Each of the TD Filers hereby further agree to file this Joint Filing Agreement as an exhibit to the statement and each such amendment, as required by such rule.

This Joint Filing Agreement may be terminated by any of the TD Filers upon one week’s prior written notice or such lesser period of notice as the TD Filers may mutually agree.

Executed and delivered as of the date first above written.

 

JAMES L.L. TULLIS

/s/ James L. L. Tullis

Name:   James L. L. Tullis
TULLIS-DICKERSON CAPITAL FOCUS II, L.P.
By:   Tullis-Dickerson Partners II, L.L.C., its general partner

/s/ James L. L. Tullis

Name:   James L. L. Tullis
Title:   Manager

TULLIS-DICKERSON PARTNERS II, L.L.C.

/s/ James L. L. Tullis

Name:   James L. L. Tullis
Title:   Manager
TD LIGHTHOUSE CAPITAL FUND, L.P.
By: TD II Regional Partners, Inc., its general partner

/s/ James L. L. Tullis

Name:   James L. L. Tullis
Title:   Chief Executive Officer
TD JAVELIN CAPITAL FUND II, L.P.
By: TD II Regional Partners, Inc., its general partner

/s/ James L. L. Tullis

Name:   James L. L. Tullis
Title:   Chief Executive Officer
TD II REGIONAL PARTNERS, INC.

/s/ James L. L. Tullis

Name:   James L. L. Tullis
Title:   Chief Executive Officer