-----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, A9zZD/CDONup1Nm5ReYc5RoAT4vEtgA5SNA7/vB0I/UHnRUDlc3422/UzEuddfaF wmXzqxhXEuD18W2GYIzU2g== 0000899243-02-000181.txt : 20020414 0000899243-02-000181.hdr.sgml : 20020414 ACCESSION NUMBER: 0000899243-02-000181 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020207 GROUP MEMBERS: AMC VENTURES, L.P. GROUP MEMBERS: APEX ENTERPRISES, INC. GROUP MEMBERS: ROBINHOOD VENTURES, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TANOX INC CENTRAL INDEX KEY: 0001099414 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 760196733 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58871 FILM NUMBER: 02529332 BUSINESS ADDRESS: STREET 1: 10301 STELLA LINK CITY: HOUSTON STATE: TX ZIP: 77025 BUSINESS PHONE: 7136642288 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHANG NANCY T CENTRAL INDEX KEY: 0001135041 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4888 LOOP CENTRAL DRIVE STREET 2: SUITE 820 CITY: HOUSTON STATE: TX ZIP: 77081 BUSINESS PHONE: 7135784022 MAIL ADDRESS: STREET 1: 4888 LOOP CENTRAL DRIVE STREET 2: SUITE 820 CITY: HOUSTON STATE: TX ZIP: 77081 SC 13G/A 1 dsc13ga.txt SCHEDULE 13G/A - NANCY T. CHANG & GROUP Page 1 of 10 Pages UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Tanox, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 87588Q 10 9 (CUSIP Number) December 31, 2001 (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) [ ] 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 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. 87588Q 10 9 Page 2 of 10 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Nancy T. Chang - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 6,963,770 (1) SHARES BENEFICIALLY ------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH REPORTING --- ------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH 6,963,770 (1) - -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,963,770 (1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.72%(1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- (1) Includes (i) 130,400 shares that may be acquired by Ms. Chang within 60 days upon the exercise of outstanding employee stock options, (ii) 3,076,866 shares held by the Nancy Chang GRAT (3/6/01), (iii) 34,816 shares held by AMC Ventures, L.P., and (iv) 243,074 shares held by the Nancy Chang GRAT. Ms. Chang is the President of Apex Enterprises, Inc., the sole general partner of AMC Ventures, L.P., and is the beneficial owner of shares held by that partnership. CUSIP NO. 87588Q 10 9 Page 3 of 10 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Robinhood Ventures, L.P. (1) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION The limited partnership was formed under the laws of the State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF --- SHARES BENEFICIALLY ------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH REPORTING --- PERSON ------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON --- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) ---% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- (1) Robinhood Ventures, L.P. made liquidating distributions of all its shares of Tanox, Inc. stock in June 2001, to Nancy T. Chang and the Nancy Chang GRAT (3/6/01). CUSIP NO. 87588Q 10 9 Page 4 of 10 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AMC Ventures, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION The limited partnership was formed under the laws of the State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 34,816 SHARES BENEFICIALLY ------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH REPORTING --- PERSON ------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 34,816 - -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 34,816 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9)EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .08% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- CUSIP NO. 87588Q 10 9 Page 5 of 10 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Apex Enterprises, Inc. (1) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION The corporation was formed under the laws of the State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 34,816 SHARES BENEFICIALLY ------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH REPORTING --- PERSON ------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 34,816 - -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 34,816(1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .08% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- (1) Apex Enterprises, Inc. is the sole general partner of AMC Ventures, L.P. and is deemed to beneficially own the 34,816 shares held by it. CUSIP NO. 87588Q 10 9 Page 6 of 10 Pages ITEM 1. Item 1(a) Name of Issuer: Tanox, Inc. Item 1(b) Address of Issuer's 10301 Stella Link Principal Executive Offices: Houston, Texas 77025 ITEM 2. Item 2(a) Name of Person Filing: Nancy T. Chang Item 2(b) Address of Principal 4888 Loop Central Drive, Suite 820 Business Office: Houston, Texas 77081 Item 2(c) Citizenship: United States Item 2(d) Title of Class: Common Stock Item 2(e) CUSIP Number: 87588Q 10 9 Item 2(a) Name of Person Filing: Robinhood Ventures, L.P. Item 2(b) Address of Principal c/o Nancy T. Chang Business Office: 4888 Loop Central Drive, Suite 820 Houston, Texas 77081 Item 2(c) Citizenship: The limited partnership was formed under the laws of the State of Delaware Item 2(d) Title of Class: Common Stock Item 2(e) CUSIP Number: 87588Q 10 9 Item 2(a) Name of Person Filing: AMC Ventures, L.P. Item 2(b) Address of Principal c/o Nancy T. Chang Business Office: 4888 Loop Central Drive, Suite 820 Houston, Texas 77081 Item 2(c) Citizenship: The limited partnership was formed under the laws of the State of Delaware Item 2(d) Title of Class: Common Stock Item 2(e) CUSIP Number: 87588Q 10 9 Item 2(a) Name of Person Filing: Apex Enterprises, Inc. Item 2(b) Address of Principal c/o Nancy T. Chang Business Office: 4888 Loop Central Drive, Suite 820 Houston, Texas 77081 Item 2(c) Citizenship: The corporation was formed under the laws of the State of Delaware Item 2(d) Title of Class: Common Stock Item 2(e) CUSIP Number: 87588Q 10 9 CUSIP NO. 87588Q 10 9 Page 7 of 10 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO Rule 13d-1(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment Company registered under section 8 of the Investment Company Act of 1940 (15 (U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (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(12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP Nancy T. Chang: (a) Amount Beneficially Owned: 6,963,770 (see footnote 1 on page 2) (b) Percent of Class: 15.72% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: 6,963,770 (ii) Shared power to vote or to direct the vote: none (iii) Sole power to dispose or to direct the disposition of: 6,963,770 (iv) Shared power to dispose or to direct the disposition of none CUSIP NO. 87588Q 10 9 Page 8 of 10 Pages AMC Ventures, L.P.: (a) Amount Beneficially Owned: 34,816 (b) Percent of Class: .08% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: 34,816 (ii) Shared power to vote or to direct the vote: none (iii) Sole power to dispose or to direct the disposition of: 34,816 (iv) Shared power to dispose or to direct the disposition of none Apex Enterprises, Inc.: (a) Amount Beneficially Owned: 34,816 (b) Percent of Class: .08% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: 34,816 (ii) Shared power to vote or to direct the vote: none (iii) Sole power to dispose or to direct the disposition of: 34,816 (iv) Shared power to dispose or to direct the disposition of none ITEM 5. Ownership of Five Percent or Less of a Class Robinhood Ventures, L.P. made liquidating distributions of all its shares of Tanox Inc. stock in June 2001 to Nancy T. Chang and the Nancy Chang GRAT (3/6/01). 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 CUSIP NO. 87588Q 10 9 Page 9 of 10 Pages ITEM 10. Certification Not Applicable CUSIP NO. 87588Q 10 9 Page 10 of 10 Pages SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 6, 2002 Nancy T. Chang -------------------------- Nancy T. Chang ROBINHOOD VENTURES, L.P. BY: APEX ENTERPRISES, INC., ITS SOLE GENERAL PARTNER By: Nancy T. Chang ------------------------------------- Nancy T. Chang, President AMC VENTURES, L.P. BY: APEX ENTERPRISES, INC., ITS SOLE GENERAL PARTNER By: Nancy T. Chang ------------------------------------- Nancy T. Chang, President APEX ENTERPRISES, INC. By: Nancy T. Chang ------------------------------------- Nancy T. Chang, President EXHIBIT INDEX EXHIBIT 99 Joint filing agreement EX-99 3 dex99.txt AGREEMENT EXHIBIT 99 AGREEMENT The undersigned hereby agree in writing pursuant to the provisions of Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, that the Schedule 13G to which this Agreement is attached is filed on behalf of each of the undersigned. Dated: February 6, 2002 Nancy T. Chang --------------------------------- Nancy T. Chang ROBINHOOD VENTURES, L.P. BY: APEX ENTERPRISES, INC., ITS SOLE GENERAL PARTNER By: Nancy T. Chang ------------------------------- Nancy T. Chang, President AMC VENTURES, L.P. BY: APEX ENTERPRISES, INC., ITS SOLE GENERAL PARTNER By: Nancy T. Chang -------------------------------- Nancy T. Chang, President APEX ENTERPRISES, INC. By: Nancy T. Chang ------------------------------- Nancy T. Chang, President -----END PRIVACY-ENHANCED MESSAGE-----