-----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, Uo1RhqgsgxauHFQGQ9RKPd2OW82na/jU36hyaW5wpi8gE8d8QraYZmtiWnph2v7t w0hGDdZ+Z3TOXgZW6/KdmA== 0000947871-00-000298.txt : 20000419 0000947871-00-000298.hdr.sgml : 20000419 ACCESSION NUMBER: 0000947871-00-000298 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000418 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TANOX INC CENTRAL INDEX KEY: 0001099414 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 760196733 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58871 FILM NUMBER: 603878 BUSINESS ADDRESS: STREET 1: 10301 STELLA LINK CITY: HOUSTON STATE: TX ZIP: 77025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND BUSINESS PHONE: 2128302413 MAIL ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND STATE: V8 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 - -------------------------------------------------------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 TANOX, INC. (Name of Issuer) Common Stock, $0.01 Par Value (Title of Class of Securities) 87588Q (CUSIP Number) April 6, 2000 (Date of Event Which Requires Filing of this Statement) Wayne P. Merkelson, Esq. Novartis Corporation 564 Morris Avenue Summit, NJ 07901-1398 Telephone: (908) 522-6777 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Spencer D. Klein, Esq. Shearman & Sterling 599 Lexington Avenue New York, New York 10022 Telephone: (212) 848-4000 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) - -------------------------------------------------------------------------------- CUSIP No. 87588Q (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Novartis AG ------------------------------------------------------------------ ------------------------------------------------------------------ (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) ------------------------------------------------------------------ |_| (b) ------------------------------------------------------------------ (3) SEC Use Only ----------------------------------------------------------- ----------------------------------------------------------------------- (4) Citizenship or Place of Organization Switzerland --------------------------------- Number of (5) Sole Voting Power 6,373,732 Shares -------------------------- Beneficially -------------------------------------------- Owned by (6) Shared Voting Power 0 Each ------------------------- Reporting -------------------------------------------- Person (7) Sole Dispositive Power 6,373,732 With ---------------------- ---- -------------------------------------------- (8) Shared Dispositive Power 0 -------------------- ----------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 6,373,732 -------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) -------------------------------------------------------------- -------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 15.37% -------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) CO ------------------- Item 1. Issuer (a) Name of Issuer: Tanox, Inc. (b) Address of Issuer's Principal Executive Offices: 10301 Stella Link Houston, Texas 77025 Item 2. Persons Filing (a) Name of Person Filing: Novartis AG ("Novartis") (b) Address of Principal Office: The principal offices of Novartis are located at Schwarzwaldallee 215, CH-4002, Basel, Switzerland. (c) Citizenship: Novartis is a Swiss corporation. (d) Title of Class of Securities: Common Stock, $0.01 par value. (e) CUSIP Number: Item 3. This statement is filed pursuant to ss.240.13d-1(c). Item 4. Ownership (a) Novartis AG owns 6,373,732 shares of Common Stock. (b) The shares of Common Stock held by Novartis constitute approximately 15.37% of the outstanding Common Stock of the Issuer. (c) Novartis has the sole power to vote or to direct the vote or to dispose or direct the disposition of 6,373,732 shares of Common Stock. 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. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification if Statement Filed Pursuant to Rule 13d-1(c) (a) Not applicable. (b) 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. 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: April 17, 2000 NOVARTIS AG By: /s/ Roland Bettex --------------------------------- Name: Roland Bettex Title: Empowered Signatory By: /s/ Herbert Gut --------------------------------- Name: Herbert Gut Title: Empowered Signatory -----END PRIVACY-ENHANCED MESSAGE-----