-----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, H8tovAyNi7t9LWd2Kuyh8wGK3kbekbMElSW1I0YT2N2n03wPGhzrkOlV9rqzrluX MWVa5gYs0Jj6awxj9jcO+w== /in/edgar/work/0000912057-00-046455/0000912057-00-046455.txt : 20001031 0000912057-00-046455.hdr.sgml : 20001031 ACCESSION NUMBER: 0000912057-00-046455 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001030 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENAISSANCE PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001110009 STANDARD INDUSTRIAL CLASSIFICATION: [8731 ] IRS NUMBER: 061338846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-59601 FILM NUMBER: 749099 BUSINESS ADDRESS: STREET 1: FIVE SCIENCE PARK CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 2037731450 MAIL ADDRESS: STREET 1: FIVE SCIENCE PARK CITY: NEW HAVEN STATE: CT ZIP: 06511 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAISSE DE DEPOT ET PLACEMENT DU QUEBEC CENTRAL INDEX KEY: 0000898286 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1981 AVE MCGILL COLLEGE CITY: MONTREAL STATE: E6 BUSINESS PHONE: 5148423261 FORMER COMPANY: FORMER CONFORMED NAME: CAISSE DE DEPOT ET PALCEMENT DU QUEBEC DATE OF NAME CHANGE: 19930305 SC 13D/A 1 a2028795zsc13da.txt SCHEDULE 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* GENAISSANCE PHARMACEUTICALS, INC. (Name of Issuer) 368 67W 105 (CUSIP Number) GINETTE DEPELTEAU SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC. 1981 MCGILL COLLEGE AVENUE MONTREAL, QUEBEC HCA 3C7 (514) 847-5901 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) [OCTOBER 12, 2000] (Date of Event Which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rules 13d-1 (e), 13d-1(f) or 13d-1(g), check the following box / /. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. (Continued on following pages) - ----------------- *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 disclosure 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). 1 CUSIP No. 368 67W 105 - ---------------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC. - ---------------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / 1 (b) / / 2 - ---------------------------------------------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS*: WC - ---------------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / 3 - ---------------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION MONTREAL, QUEBEC, CANADA - ---------------------------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY 7. SOLE VOTING POWER: OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES WITH ------------------------------------------------------------------ 8. SHARED VOTING POWER: - ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER: 1,204,090 COMMON SHARES ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER: - - ---------------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES - ---------------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / 4 - ---------------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5,33% - ---------------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: CO - ----------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT! 2 CUSIP No. 368 67W 105 - ---------------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CAISSE DE DEPOT ET PLACEMENT DU QUEBEC. - ---------------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / 5 (b) / / 6 - ---------------------------------------------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------------------------------------------- 4. SOURCE OF FUNDS*: WC - ---------------------------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / 7 - ---------------------------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION MONTREAL, QUEBEC, CANADA - ---------------------------------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY 7. SOLE VOTING POWER: OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES WITH ------------------------------------------------------------------ 8. SHARED VOTING POWER: - ------------------------------------------------------------------ 9. SOLE DISPOSITIVE POWER: 1,204,090 COMMON SHARES ------------------------------------------------------------------ 10. SHARED DISPOSITIVE POWER: - - ---------------------------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES - ---------------------------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / 8 - ---------------------------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5,33% - ---------------------------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: CO - ----------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT! 3 This Amendment No. 2, dated October 12, 2000 is being filed jointly on behalf of Caisse de depot et placement du Quebec ("CDPQ") and by its wholly-owned subsidiary, SOFINOV, Societe financiere d'innovation, inc. ("Sofinov") pursuant to Rule 13d-2(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act") pursuant to a Joint Filing Agreement dated October 12, 2000, between CDPQ and Sofinov, a copy of which is attached hereto as Exhibit 1. ITEM 1. SECURITY AND ISSUER. This Schedule 13D relates to the Common Stock of Genaissance Pharmaceuticals, Inc., a Connecticut corporation (the "Company"). The address of the principal executive offices of the Company is 5 Science Park, New Haven, Connecticut 06511. ITEM 2. IDENTITY AND BACKGROUND This Schedule 13D is filed jointly on behalf of CDPQ, a corporation without share capital and an agent of the Crown in right of the Province de Quebec, created by a special act of the Legislature of the Province de Quebec, and Sofinov, a legal entity duly incorporated under part 1A of the Companies ACT (Quebec) and a wholly-owned subsidiary of CDPQ, pursuant to Rule 13d-1(f)(1) under the Exchange Act. The principal business address and the principal office address of each of CDPQ and Sofinov is 1981, Avenue McGill College, Suite 1330, Montreal, Quebec, H3A 3C7, Canada. The name, business address, citizenship and present principal occupation of each director and executive officer of CDPQ and Sofinov are set forth on Schedule I. To the best knowledge of CDPQ and Sofinov, none of the persons listed on Schedule I has, during the last five years, (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, United States federal or state securities laws or finding any violation with respect to such laws. 4 ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION All the funds required to purchase the Initial Shares (as defined below) were obtained from the working capital of Sofinov. ITEM 4. PURPOSE OF TRANSACTION Pursuant to a recent transaction, dated September 13, 2000, Sofinov acquired beneficial ownership of 1,204,090 shares of Common Stock of Genaissance. Except as specifically set forth in this Item 4, neither CDPQ nor Sofinov has any plans or proposals which relate to or would result in any of the actions or effects set forth in items (a) through (e) of Item 5 of Schedule 13D, although either of them may develop such plans or proposals. CDPQ and Sofinov intend to review on a continuing basis their investment in the Company. As of the date of this Schedule 13D, no determination has been made by CDPQ or Sofinov to acquire additional shares of Common Stock or dispose of any shares of Common Stock now held by them, although either of them may decide to so acquire or dispose of shares of Common Stock. Any such determination will depend on market conditions prevailing from time to time and on other conditions which may be applicable depending on the nature of the transaction or transactions involved. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) With recent transactions, Sofinov is the direct beneficial owner of 1,204,090 shares of Common Stock (the "Sofinov Shares"). CDPQ may be deemed to be the indirect, beneficial owner of the Sofinov Shares. The Sofinov Shares represent approximately 5,33% of the 22,608,476 shares of Common Stock of the Company outstanding on the date hereof, based upon information provided by the company. (b) CDPQ has the power to vote and dispose of the Sofinov Shares. (c) Except as set forth in this Schedule 13D, none of CDPQ, Sofinov or, to the best knowledge of CDPQ or Sofinov, any person named on Schedule I hereto, owns any shares of the Company's Common Stock, and none has purchased or sold any shares of the Company's Common Stock during the past 60 days. 5 (d) Except as set forth in this Schedule 13D, no person is known by CDPQ or Sofinov to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock of the Company beneficially owned by CDPQ and Sofinov. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Except as set forth in this Schedule 13D, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the persons referred to in Item 2 of this Schedule 13D or between such persons and any other person with respect to any of the securities of the Company, including, but not limited to, any relating to the transfer or voting of any of such securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss or the giving or withholding of proxies. ITEM 7. MATERIALS TO BE FILED AS EXHIBITS 1. Joint Filing Agreement dated October 12, 2000 by and between Sofinov and CDPQ. 2. Joint Filing Table of Dates, Number of Shares sold and price per Share of Sales. 6 SIGNATURES After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: October 12, 2000 SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC. By: -------------------------------------------- Name: Ginette Depelteau Title: Corporate Secretary CAISSE DE DEPOT ET PLACEMENT DU QUEBEC. By: -------------------------------------------- Name: Ginette Depelteau Title: General Secretary - Director 7 SCHEDULE I LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF SOFINOV
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION Jean-Claude Scraire Caisse de depot et placement du Quebec Chairman 1981, Avenue McGill College Montreal (Quebec) H3A 3C7 Line Boisvert Caisse de depot et placement du Quebec Director and 1981, Avenue McGill College Portfolio Manager Montreal (Quebec) H3A 3C7 Jacques M. Brault Levesque Beaubien Geoffrion Inc. Senior 1155, Metcalfe, 5e etage Vice-President Montreal (Quebec) H3B 4S9 Denis Dionne SOFINOV, Societe financiere d'innovation, inc. President 1981, Avenue McGill College Montreal (Quebec) H3A 3C7 Claude Lajeunesse Ryerson Polytechnic University President and Vice 350, Victoria Street Chancellor Toronto (Ontario) H2M 2V1 Serge Martin Martin International President 500, Place d'Armes, Suite 2910 Montreal (Quebec) H2Y 2W2 Guy Morneau Regie des rentes du Quebec Chairman of the 2600 boul. Laurier, bureau 546 Board and President Quebec (Quebec) G1V 4T3 Normand Provost Caisse de depot et placement du Quebec Vice-President 1981, Avenue McGill College Coordinator Montreal (Quebec) H3A 3C7
8 SCHEDULE I LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF SOFINOV
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION Jean-Claude Scraire Caisse de depot et placement du Quebec Chairman 1981, Avenue McGill College Montreal (Quebec) H3A 3C7 Denis Dionne SOFINOV, Societe financiere d'innovation, inc. President 1981, Avenue McGill College Montreal (Quebec) H3A 3C7 Pierre Pharand SOFINOV, Societe financiere d'innovation, inc. Vice-President 1981, Avenue McGill College Montreal (Quebec) H3A 3C7 Bertrand Lauzon Caisse de depot et placement du Quebec Vice-President, 1981, Avenue McGill College Finance and Control Montreal (Quebec) H3A 3C7 Ginette Depelteau Caisse de depot et placement du Quebec Secretary 1981, Avenue McGill College Montreal (Quebec) H3A 3C7
9 SCHEDULE 1 LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION Jean-Claude Scraire Caisse de depot et placement du Quebec Chairman 1981, avenue McGill College Montreal (Quebec) H3A 3C7 Guy Morneau Regie des rentes du Quebec Chairman of the Board 2600, boul. Laurier, bureau 546 and President Quebec (Quebec) G1V 4T3 Jean-Claude Bachand Fraser Milner Casgrain Lawyer 1, Place Ville-Marie Bureau 3900 Montreal (Quebec) H3B 4M7 Alban D'Amours La Confederation des Caisses populaires et President d'economie Desjardins du Quebec 100, avenue des Commandeurs Levis (Quebec) G6V 7N5 Luc Bessette Commission administrative des regimes President de retraite et d'assurances 475, rue Saint-Amable Quebec (Quebec) G1R 5X3 Rodrigue Biron Rodrigue Biron & Associes 305, chemin de la Place St-Laurent St-Augustin-de-Desmaures Cap-Rouge (Quebec) G1Y 3G9 Yves Filion Hydro-Quebec Deputy Chief 75, boul. Rene-Levesque Ouest Executive Officer Montreal (Quebec) H2Z 1A4 and Chief Financial Officer Jean-Yves Gagnon Societe de l'assurance automobile du Quebec General Manager 333, boul. Jean-Lesage Quebec (Quebec) G1K 8J6 Henri Masse Federation des travailleurs et travailleuses President du Quebec 545, boul. Cremazie Est, 17e etage Montreal (Quebec) H2M 2V1
10 SCHEDULE 1 LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION Gilles Godbout Ministere des Finances Deputy Minister 12, rue St-Louis Quebec (Quebec) G1R 5L3 Thomas O. Hecht Technologies IBEX Inc. Chairman Emeritus 5485, rue Pare Montreal (Quebec) H4P 1P7 Marc Laviolette Confederation des syndicats nationaux President 1601, rue Delorimier Montreal (Quebec) H2K 4M5 Nicole Trudeau Commission municipale du Quebec Vice-President 3, Complexe Desjardins Suite 2603, North Tower Montreal (Quebec) H5B 1B2
11 SCHEDULE 1 LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION Jean-Claude Scraire Caisse de depot et placement du Quebec Chairman 1981, avenue McGill College Montreal (Quebec) H3A 3C7 Fernand Perreault Same Senior Vice-president Caisse Real Estate Group and Mortgage Investments Michel Nadeau Same Senior Vice-president Investment Planning and Strategic Affairs Ginette Depelteau Same General Secretary - Director
12 EXHIBIT INDEX EXHIBIT 1. Joint Filing Agreement dated October 12, 2000 by and between Sofinov and CDPQ. 2. Joint Filing Table of Dates, Number of Shares sold and price per Share of Sales. 13 EXHIBIT 1 AGREEMENT The undersigned hereby agree that this statement on Schedule 13D with respect to beneficial ownership of shares of common stock of Genaissance Pharmaceuticals, Inc. is filed jointly, on behalf of each of them. Dated: October 12, 2000 SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC. By: -------------------------------------------- Name: Denis Dionne Title: President By: -------------------------------------------- Name: Ginette Depelteau Title: Corporate Secretary CAISSE DE DEPOT ET PLACEMENT DU QUEBEC. By: -------------------------------------------- Name: Michel Nadeau Title: Senior Vice-president Investment Planning and Strategic Affairs By: -------------------------------------------- Name: Ginette Depelteau Title: General Secretary - Director 14 EXHIBIT 2 TABLE OF SALES AND PURCHASES OF GENAISSANCE PHARMACEUTICALS, INC.
- ------------------------------------------------------------------------------------ PURCHASES SALES PRICE PER SHARE DATE NUMBER OF SHARES NUMBER OF SHARES IN CANADIAN DOLLARS - ------------------------------------------------------------------------------------ AUGUST 2000 - ------------------------------------------------------------------------------------ 1 909,090 8.18 - ------------------------------------------------------------------------------------ 24 85,000 20.18 - ------------------------------------------------------------------------------------ 25 120,000 25.57 - ------------------------------------------------------------------------------------ 29 90,000 28.35 - ------------------------------------------------------------------------------------ 29 25,000 28.35 - ------------------------------------------------------------------------------------ 29 25,000 28.35 - ------------------------------------------------------------------------------------
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