-----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, RqbqtJ1OL7UNXYKn6iQvXu5N46oFIfr8a+Xe+ZCRnrj/PkqGn3WLUWsw6JgQgR5h WsUegyVUD26Z0WlqUnLe4Q== 0000950005-02-000109.txt : 20020414 0000950005-02-000109.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950005-02-000109 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020208 GROUP MEMBERS: ALIX MARDUEL GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC GROUP MEMBERS: ALTA BIOPHARMA PARTNERS II, L.P. GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. GROUP MEMBERS: ALTA CALIFORNIA PARTNERS, L.P. GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC GROUP MEMBERS: ALTA EMBARCADERO PARTNERS, LLC GROUP MEMBERS: ALTA PARTNERS GROUP MEMBERS: ALTA PARTNERS II, INC. GROUP MEMBERS: FARAH CHAMPSI GROUP MEMBERS: GARRETT GRUENER GROUP MEMBERS: GUY NOHRA GROUP MEMBERS: JEAN DELEAGE 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60269 FILM NUMBER: 02531646 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 IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 p14927_sc13g.txt AMENDMENT NO. 3 TO SCHEDULE 13G United States Securities and Exchange Commission WASHINGTON, D.C. 20549 Schedule 13G/A (Amendment No. 3)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 KOSAN BIOSCIENCES INCORPORATED --------------------------------------------------- (Name of Issuer) Common Stock --------------------------------------------------- (Title of Class of Securities) 50064W107 --------------------------------------------------- (CUSIP Number) January 16, 2002 - -------------------------------------------------------------------------------- (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 18 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person -0- 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% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IA - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 3 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Partners II, Inc. - ------------------------------------------------------------------------------------------------------------------- (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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 1,294,598 Person With (10) Sole Dispositive Power -0- (11) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IA - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 4 of 18 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (12) Sole Dispositive Power -0- (13) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person -0- 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% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 5 of 18 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 224,793 Person With (14) Sole Dispositive Power -0- (15) Shared Dispositive Power 224,793 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 224,793 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) 0.98% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 6 of 18 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power -0- Person With (16) Sole Dispositive Power -0- (17) Shared Dispositive Power -0- (9) Aggregate Amount Beneficially Owned By Each Reporting Person -0- 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% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 7 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Partners II, 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 1,294,598 Person With (18) Sole Dispositive Power -0- (19) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 8 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Management Partners II, 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 Delaware - ------------------------------------------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 1,294,598 Person With (20) Sole Dispositive Power -0- (21) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 8 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero BioPharma 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 1,294,598 Person With (22) Sole Dispositive Power -0- (23) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------------------------------------------
CUSIP No. 50064W107 Page 9 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Farah Champsi - ------------------------------------------------------------------------------------------------------------------- (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 1,294,598 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 10 of 18 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 29,485 Beneficially Owned By Each Reporting (6) Shared Voting Power 1,519,391 Person With (7) Sole Dispositive Power 29,485 (8) Shared Dispositive Power 1,519,391 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,548,876 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) 5.76% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 11 of 18 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 224,793 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 224,793 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 224,793 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) 0.98% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 12 of 18 Pages - ------------------------------------------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alix Marduel - ------------------------------------------------------------------------------------------------------------------- (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 1,294,598 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 1,294,598 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 1,294,598 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) 5.6% Please see Attachment A - --------------------------- ----------------------------------------------------------------- (12) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 50064W107 Page 13 of 18 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 224,793 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 224,793 (9) Aggregate Amount Beneficially Owned By Each Reporting Person 224,793 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) 0.98% 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 Partners II, Inc. ("AP II") Alta California Partners, L.P. ("ACP") Alta California Management Partners, L.P. ("ACMP") Alta Embarcadero Partners, LLC ("AEP") Alta BioPharma Partners II, L.P. ("ABP II") Alta BioPharma Management Partners II, LLC ("ABMP II") Alta Embarcadero BioPharma Partners II, LLC ("AEBP II") Farah Champsi ("FC") Jean Deleage ("JD") Garrett Gruener ("GG") Alix Marduel ("AM") Guy Nohra ("GN") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: AP California AP II California ACP Delaware ACMP Delaware AEP California ABP II Delaware ABMP II Delaware AEBP II California Individuals: FC United States JD United States GG United States AM United States GN 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 AP II ACP ACMP AEP ABP II ABMP II - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (a) Beneficial -0- 1,294,598 -0- 224,793 -0- 1,294,598 1,294,598 Ownership See See See See footnote footnote 1 footnote 1 footnote 1 1 - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (b) Percentage of 0.0% 5.6% 0.0% 0.98% 0.0% 5.6% 5.6% Class - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Shared Voting -0- 1,294,598 -0- 224,793 -0- 1,294,598 1,294,598 Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Sole Dispositive -0- -0- -0- -0- -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Shared -0- 1,294,598 -0- 224,793 -0- 1,294,598 1,294,598 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- AEBP II FC JD GG AM GN - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (a) Beneficial 1,294,598 1,294,598 1,548,876 224,793 1,294,598 224,793 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (b) Percentage of 5.6% 5.6% 5.76% 0.98% 5.6% 0.98% Class - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- (c) Sole Voting Power -0- -0- 29,485 -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Shared Voting 1,294,598 1,294,598 1,519,391 224,793 1,294,598 224,793 Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Sole Dispositive -0- -0- 29,485 -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- ------------- Shared 1,294,598 1,294,598 1,519,391 224,793 1,294,598 224,793 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ----------- ------------- -------------
Footnote 1: on 1/16/02 Alta California Partners, L.P. distributed its 939,048 shares to its limited partners and 224,793 shares to Alta California Management Partners, L.P. Alta Embarcadero Partners, LLC distributed its 31,096 shares to its members. See Attachment A. 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: February 5, 2002 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 ALTA PARTNERS II, INC. By: /s/ Jean Deleage ----------------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: Alta BioPharma Management Partners II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Member ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ----------------------------------------- Farah Champsi, Manager /s/ Jean Deleage /s/ Guy Nohra - -------------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi - -------------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi /s/ Alix Marduel - -------------------------------------------- Alix Marduel
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: February 5, 2002 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.
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 ALTA PARTNERS II, INC. By: /s/ Jean Deleage ----------------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: Alta BioPharma Management Partners II, LLC By: /s/ Farah Champsi By: /s/ Farah Champsi ----------------------------------------- ----------------------------------------- Farah Champsi, Managing Director Farah Champsi, Member ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ----------------------------------------- Farah Champsi, Manager /s/ Jean Deleage /s/ Guy Nohra - -------------------------------------------- -------------------------------------------- Jean Deleage Guy Nohra /s/ Garrett Gruener /s/ Farah Champsi - -------------------------------------------- -------------------------------------------- Garrett Gruener Farah Champsi /s/ Alix Marduel - -------------------------------------------- Alix Marduel
Attachment A Alta Partners provides investment advisory services to several venture capital funds including Alta California Partners, L.P. and Alta Embarcadero Partners, LLC. STOCK DISTRIBUTION: On January 16, 2002, Alta California Partners, L.P. distributed 1,163,841 shares of Common Stock; of which 939,048 was distributed to the limited partners and 224,793 shares was distributed to Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) Alta Embarcadero Partners, LLC distributed 31,096 shares of Common Stock to its members. As of January 16, 2002 Alta California Partners and Alta Embarcadero Partners, LLC no longer beneficially own any shares of Kosan Biosciences, Inc. Common Stock. The respective general partners and members of Alta California Partners L.P. and Alta Embarcadero Partners, LLC exercise sole voting and investment power with respect to the shares owned by such funds. Certain 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 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. Alta Partners II, Inc. provides investment advisory services to several venture capital funds including Alta BioPharma Partners II, L.P. and Alta Embarcadero BioPharma Partners II, LLC. Alta BioPharma Partners II, L.P. beneficially owns 1,238,422 shares of Common Stock. Alta Embarcadero BioPharma Partners II, LLC beneficially owns 56,176 shares of Common Stock. The respective managing directors of Alta BioPharma Partners II, L.P. and managers of Alta Embarcadero BioPharma Partners II, LLC exercise sole voting and investment power in respect to the shares owned by such funds. Certain principals of Alta Partners II, Inc. are managing directors and managers of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), and Alta Embarcadero BioPharma Partners II, LLC (respectively). As managing directors and managers of such entities, they may be deemed to share voting and investment powers for the shares held by the funds. The principals of Alta Partners II, Inc. 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 Kosan Biosciences Incorporated, is a managing director of Alta BioPharma Management Partners II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), a manager of Alta Embarcadero BioPharma Partners II, LLC, a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) and a managing member of Alta Embarcadero Partners, LLC. Thus he shares voting and dispositive powers over the 1,238,422 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P., and the 56,176 shares beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. As of the stock distribution on January 16, 2002, he shares voting and dispositive powers over the 224,793 shares of Kosan Biosciences, Inc. Common Stock held by 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. Mr. Deleage holds stock options for 11,250 shares of Common Stock: 7,500 shares were granted on 10/4/00 and 3,750 shares were granted on 6/1/01. See the next page for disclosure of share ownership. Page 1 of 2 of Attachment A Attachment A As of January 16, 2002 --Common Stock Ownership: Shares Owned by / Affiliated with Jean Deleage Beneficial Owner (issued in the name of) # of Shares Date Acquired Jean Deleage 29,485 June 2001 Deleage Children's Trust FBO Andre Deleage (1) 7,372 June 2001 Deleage Children's Trust FBO Emmanuel Deleage (1) 7,372 June 2001 Deleage Children's Trust FBO Phillippe Deleage (1) 7,372 June 2001 Deleage Children's Trust FBO Michel Deleage (1) 7,372 June 2001 (1) of which Mr. Deleage, a principal of Alta Partners (a venture capital firm), is neither a trustee nor claims any beneficial ownership. Ms. Farah Champsi is a managing director of Alta BioPharma Management Partners II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she shares voting and dispositive powers over the 1,238,422 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P. and the 56,176 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of their proportionate pecuniary interests therein. Mr. Garrett Gruener is a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) and a managing member of Alta Embarcadero Partners, LLC. As of the stock distribution on January 16, 2002, he shares voting and dispositive powers over the 224,793 shares of Kosan Biosciences, Inc. Common Stock held by 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. Dr. Alix Marduel is a managing director of Alta BioPharma Management Partners II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.) and a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus she shares voting and dispositive powers over the 1,238,422 shares of Common Stock beneficially owned by Alta BioPharma Partners II, L.P. and the 56,176 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of their proportionate pecuniary interests therein. Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P. (which is the general partner of Alta California Partners, L.P.) and a managing member of Alta Embarcadero Partners, LLC. As of the stock distribution on January 16, 2002, he shares voting and dispositive powers over the 224,793 shares of Kosan Biosciences, Inc. Common Stock held by 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. Alta Partners and Alta Partners II, Inc. are venture capital firms that share an office in San Francisco. Alta Partners is California Corporation. Alta Partners II, Inc. is a California Corporation. Alta California Partners, L.P. is a Delaware Limited Partnership, Alta Embarcadero Partners, LLC is a California Limited Liability Company, Alta BioPharma Partners II, L.P. is a Delaware Limited Partnership, and Alta Embarcadero BioPharma Partners II, LLC is a California Limited Liability Company. Page 2 of 2 of Attachment A
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