-----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, SJujTL3zcxoo66pysTPig75ocO4uMf2OvmCy9UG3a7w3dFN6lZvoXJwKT6M6WuEu 9WJ+fhb/2FsXH8Ww7PbTlQ== 0000950005-01-000051.txt : 20010205 0000950005-01-000051.hdr.sgml : 20010205 ACCESSION NUMBER: 0000950005-01-000051 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KOSAN BIOSCIENCES INC CENTRAL INDEX KEY: 0001110206 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 943217016 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60269 FILM NUMBER: 1521827 BUSINESS ADDRESS: STREET 1: 3832 BAY CENTER PLACE CITY: HAYWARD STATE: CA ZIP: 94545 BUSINESS PHONE: 5107328400 MAIL ADDRESS: STREET 1: 3832 BAY CENTER PLACE CITY: HAYWARD STATE: CA ZIP: 94545 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 0001.txt SC 13G United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Amendment No. __)* Under the Securities Exchange Act of 1934 KOSAN BIOSCIENCES INCORPORATED ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 50064W107 ----------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event That Requires Filing of this Statement) 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) * 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. 50064W107 Page 2 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Partners - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power 2,389,875 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 2,389,875 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,389,875 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.5% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person IA - ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 3 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Partners, L. P. - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization Delaware Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power 2,327,682 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 2,327,682 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,327,682 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.3% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person PN - ------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 4 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Management Partners, L. P. - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization Delaware Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power 2,327,682 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 2,327,682 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,327,682 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.3% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person PN - ------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 5 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero Partners, LLC - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power 62,193 Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power 62,193 (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 62,193 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 0.2% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person CO - ------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 6 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Jean Deleage - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,389,875 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,389,875 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,389,875 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.5% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 7 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Garrett Gruener - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,389,875 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,389,875 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,389,875 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.5% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 8 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Guy Nohra - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,389,875 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,389,875 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,389,875 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.5% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 9 of 13 Pages - ------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Marino Polestra - ------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - ------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States Please see Attachment A - ------------------------------------------------------------------------------------------------------------ Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,389,875 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,389,875 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,389,875 Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------ (11) Percent Of Class Represented By Amount In Row (11) 9.5% Please see Attachment A - ------------------------------------------------------------------------------------------------------------ (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
Item 1. (a) Name of Issuer: Kosan Biosciences Incorporated ("Issuer") (b) Address of Issuer's Principal Executive Offices: 3832 Bay Center Place Hayward, CA 94545 Item 2. (a) Name of Person Filing: Alta Partners ("AP") Alta California Partners, L.P. ("ACP") Alta California Management Partners, L.P. ("ACMP") Alta Embarcadero Partners, LLC ("AEP") Jean Deleage ("JD") Garrett Gruener ("GG") Guy Nohra ("GN") Marino Polestra ("MP") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: AP - California ACP - Delaware ACMP Delaware AEP California Individuals: JD United States GG United States GN United States MP United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 50064W107 Item 3. Not applicable. Item 4 Ownership. Please see Attachment A
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- AP ACP ACMP AEP JD GG GN MP - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- (a) Beneficial 2,389,875 2,327,682 2,327,682 62,193 2,389,875 2,389,875 2,389,875 2,389,875 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- (b) Percentage of 9.5% 9.3% 9.3% 0.2% 9.5% 9.5% 9.5% 9.5% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- (c) Sole Voting Power 2,389,875 2,327,682 2,327,682 62,193 -0- -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared Voting -0- -0- -0- -0- 2,389,875 2,389,875 2,389,875 2,389,875 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- Sole Dispositive 2,389,875 2,327,682 2,327,682 62,193 -0- -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared -0- -0- -0- -0- 2,389,875 2,389,875 2,389,875 2,389,875 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
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 No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. EXHIBITS A: Joint Filing Statement 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: January 26, 2001
Alta Partners Alta California Partners, L.P. By: Alta California Management Partners, L.P., By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------- ----------------------------- Jean Deleage, President Jean Deleage, General Partner Alta California Management Partners, L.P. Alta Embarcadero Partners, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------------- ----------------------------- Jean Deleage, General Partner Jean Deleage, Member /s/ Jean Deleage /s/ Guy Nohra ----------------------- ----------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Marino Polestra ----------------------- ----------------------------- Garrett Gruener Marino Polestra
Exhibit A Agreement of Joint Filing We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: January 26, 2001 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: January 26, 2001
Alta Partners Alta California Partners, L.P. By: Alta California Management Partners, L.P., By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------- ----------------------------- Jean Deleage, President Jean Deleage, General Partner Alta California Management Partners, L.P. Alta Embarcadero Partners, LLC By: /s/ Jean Deleage By: /s/ Jean Deleage ----------------------------- ----------------------------- Jean Deleage, General Partner Jean Deleage, Member /s/ Jean Deleage /s/ Guy Nohra ----------------------- ----------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Marino Polestra ----------------------- ----------------------------- Garrett Gruener Marino Polestra
Attachment A Alta Partners provides investment advisory services to several venture capital funds including, Alta California Partners L.P. and Alta Embarcadero Partners, LLC. Alta California Partners, L.P. beneficially owns 2,327,682 shares of Common Stock. Alta Embarcadero Partners, LLC beneficially owns 62,193 shares of Common Stock. The respective general partners of Alta California Partners L.P. and Alta Embarcadero Partners exercise sole voting and investment power with respect to the shares owned by such funds. The principals of Alta Partners are general partners of Alta California Management Partners, L.P. (which is a general partner of Alta California Partners, L.P.), and members of Alta Embarcadero Partners, LLC. As general partners and members of such funds, they may be deemed to share voting and investment powers for the shares held by the funds. The principals of Alta Partners disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Mr. Jean Deleage, a director of the company, is a general partner of Alta California Management Partners, L.P. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of their proportionate pecuniary interests therein. He does not directly own any securities in Kosan Biosciences Incorporated. On 10/4/00 Kosan Biosciences Incorporated granted Mr. Deleage Stock Option for 7,500 shares of Common Stock. Alta Partners is a venture capital company with an office in San Francisco. Alta Partners is California Corporation. Alta California Partners, L.P. is a Delaware Limited Partnership and Alta Embarcadero Partners, LLC is a California Limited Liability Company. -----END PRIVACY-ENHANCED MESSAGE-----