-----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, DPibTbRDLJGvkZlj9YdlB/vRZ8QcdZvnjtMnOGtpiyLAGCG246CoZqPfV1o/9vPb +zJKLG6EdwISwMya+Ns3Mw== 0000950135-02-000758.txt : 20020414 0000950135-02-000758.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950135-02-000758 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20020213 GROUP MEMBERS: ANTIGENICS HOLDINGS LLC GROUP MEMBERS: ARMEN PARTNERS LP FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ARMEN GARO H CENTRAL INDEX KEY: 0000935679 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 135 EAST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 630 FIFTH AVENUE STREET 2: SUITE 918 CITY: NEW YORK STATE: NY ZIP: 10111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANTIGENICS INC /DE/ CENTRAL INDEX KEY: 0001098972 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 061562417 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60419 FILM NUMBER: 02541948 BUSINESS ADDRESS: STREET 1: 630 FIFTH AVENUE SUITE 2170 CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 2123324774 MAIL ADDRESS: STREET 1: 630 FIFTH AVENUE SUITE 2170 CITY: NEW YORK STATE: NY ZIP: 10111 SC 13G/A 1 b41936gasc13ga.txt GARO H ARMEN UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* ANTIGENICS INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 037032-10-9 (CUSIP Number) DECEMBER 31, 2001 [Date of Event that Requires Filing this Statement] CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: [ ] RULE 13D-1(B) [ ] RULE 13D-1(C) [X] 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 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 (the "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. 037032-10-9 13G Page 2 of 11 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Garo Armen - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 304,004(1) NUMBER OF -------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 11,304,274(2) EACH -------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 304,003(1) -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 11,304,274(2) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,608,278 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 34.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- (1) Includes 249,004 shares issuable upon exercise of options to purchase Antigenics Inc. common stock. (2) Consists of (i) 11,154,274 shares held by Antigenics Holdings LLC, of which Dr. Armen is the Chief Executive Officer, Chairman of the Board of Managers and a member and (ii) 150,000 shares held by Armen Partners LP, of which Dr. Armen is the General Partner. CUSIP No. 037032-10-9 13G Page 3 of 11 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Antigenics Holdings LLC (13-3769335) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 11,154,274 SHARES --------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH --------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 11,154,274 --------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,154,274 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 34.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO-Limited Liability Company - -------------------------------------------------------------------------------- CUSIP No. 037032-10-9 13G Page 4 of 11 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Armen Partners LP (22-2964842) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |X| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 150,000 SHARES --------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH --------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 150,000 --------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 150,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .01% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO-Limited Partnership - -------------------------------------------------------------------------------- CUSIP No. 037032-10-9 13G Page 5 of 11 Pages ITEM 1(a). NAME OF ISSUER: Antigenics Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 630 Fifth Avenue, Suite 2100 New York, NY 10111 ITEM 2(a). NAME OF PERSON FILING: Garo Armen Antigenics Holdings LLC Armen Partners LP ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICES OR, IF NONE, RESIDENCE: For each Reporting Person: c/o Antigenics Inc. 630 Fifth Avenue, Suite 2100 New York, NY 10111 ITEM 2(c). CITIZENSHIP: Garo Armen is a citizen of the United States of America. Antigenics Holdings LLC is a Delaware limited liability company. Armen Partners LP is a Delaware limited partnership. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $0.01 par value per share. ITEM 2(e). CUSIP NUMBER: 037032-10-9 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment Company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); CUSIP No. 037032-10-9 13G Page 6 of 11 Pages (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Not applicable. ITEM 4. OWNERSHIP (AS OF DECEMBER 31, 2000). 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: See Box 9 on cover pages. (b) Percent of class: See Box 11 on cover pages. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: See Box 5 on cover pages. (ii) Shared power to vote or direct the vote: See Box 6 on cover pages. CUSIP No. 037032-10-9 13G Page 7 of 11 Pages (iii) Sole power to dispose or to direct the disposition of: See Box 7 on cover pages. (iv) Shared power to dispose or to direct the disposition of: See Box 8 on cover pages. 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 had ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 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. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. CUSIP No. 037032-10-9 13G Page 8 of 11 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. Dated: February 8, 2002 /s/ Garo Armen ---------------------------------- Garo Armen Antigenics Holdings LLC By: /s/ Garo Armen ------------------------------- Name: Garo Armen Title: Manager Armen Partners LP By: /s/ Garo Armen ------------------------------- Name: Garo Armen Title: General Partner The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). CUSIP No. 037032-10-9 13G Page 9 of 11 Pages EXHIBIT INDEX TO SCHEDULE 13G Exhibit 1 - --------- Agreement as to Joint Filing of Schedule 13G. Exhibit 2 - --------- List of all members of group. EX-99.1 3 b41936gaex99-1.txt AGREEMENT AS TO JOINT FILING CUSIP No. 037032-10-9 13G Page 10 of 11 Pages EXHIBIT 1 --------- Each of the undersigned hereby affirms that he, she or it is individually eligible to use Schedule 13G and agrees that this Schedule 13G is filed on his, her or its behalf. Dated: February 8, 2002 /s/ Garo Armen ---------------------------------- Garo Armen Antigenics Holdings LLC By: /s/ Garo Armen ------------------------------- Name: Garo Armen Title: Manager Armen Partners LP By: /s/ Garo Armen ------------------------------- Name: Garo Armen Title: General Partner EX-99.2 4 b41936gaex99-2.txt LIST OF ALL GROUP MEMBERS CUSIP No. 037032-10-9 13G Page 11 of 11 Pages EXHIBIT 2 --------- Members of the Group -------------------- Garo Armen Antigenics Holdings LLC Armen Partners LP -----END PRIVACY-ENHANCED MESSAGE-----