-----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, AweiaA7rcOrJEls0nTN61QAA+oaMCBLyCp3u5LcsO0RhntHbA6WAuNNKfuHsp1we JGaJp9NjSAwPq924YMOUvg== 0000950005-04-000126.txt : 20040211 0000950005-04-000126.hdr.sgml : 20040211 20040211123746 ACCESSION NUMBER: 0000950005-04-000126 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040211 GROUP MEMBERS: ALIX MARDUEL GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC GROUP MEMBERS: ALTA BIOPHARMA PARTNERS II, L.P. GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC GROUP MEMBERS: ALTA PARTNERS II, INC. GROUP MEMBERS: FARAH CHAMPSI 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: 04584948 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 p18169_sc13ga.txt AMENDMENT NO. 6 TO SCHEDULE 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response......11 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 6)* KOSAN BIOSCIENCES INCORPORATED - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 50064W107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |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 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 3 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 4 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 5 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alta Embarcadero BioPharma 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 California - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 6 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 7 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER 87,218 -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 87,218 WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,294,598 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,381,816 - ----------------------------Please see Attachment A----------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.8% --- EXIT FILING - ----------------------------Please see Attachment A----------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 50064W107 Page 8 of 12 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- EXIT FILING ---- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,294,598 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 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 BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.5% --- EXIT FILING - ----------------------------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 II, Inc. ("AP II") 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") Alix Marduel ("AM") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: AP II California ABP II Delaware ABMP II Delaware AEBP II California Individuals: FC United States JD United States AM United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 50064W107 Item 3. Not applicable. Item 4 Ownership. EXIT FILING ----- Please see Attachment A
- ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- AP II ABP II ABMP II AEBP II FC JD AM - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- (a) Beneficial Ownership 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 1,381,816 1,294,598 - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- (b) Percentage of Class 4.5% 4.5% 4.5% 4.5% 4.5% 4.8% 4.5% - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- (c) Sole Voting Power -0- -0- -0- -0- -0- 87,218 -0- - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- Shared Voting Power 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- Sole Dispositive Power -0- -0- -0- -0- -0- 87,218 -0- - ------- ----------------------- ----------- ---------- ---------- ----------- ---------- ---------- ----------- Shared Dispositive 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 1,294,598 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: February 10, 2004 ALTA PARTNERS II,INC. ALTA BIOPHARMA PARTNERS II, L.P. By: Alta BioPharma Management Partners II, LLC By: /s/ Jean Deleage By: /s/ Farah Champsi ------------------------- ------------------------- Jean Deleage, President Farah Champsi, Managing Director ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: /s/ Farah Champsi ------------------------- Farah Champsi, Managing Director ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ------------------------- Farah Champsi, Manager /s/ Jean Deleage ------------------------- Jean Deleage /s/ Farah Champsi ------------------------- 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 10, 2004 ALTA PARTNERS II,INC. ALTA BIOPHARMA PARTNERS II, L.P. By: Alta BioPharma Management Partners II, LLC By: /s/ Jean Deleage By: /s/ Farah Champsi ------------------------- ------------------------- Jean Deleage, President Farah Champsi, Managing Director ALTA BIOPHARMA MANAGEMENT PARTNERS II, LLC By: /s/ Farah Champsi ------------------------- Farah Champsi, Managing Director ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC By: /s/ Farah Champsi ------------------------- Farah Champsi, Manager /s/ Jean Deleage ------------------------- Jean Deleage /s/ Farah Champsi ------------------------- Farah Champsi /s/ Alix Marduel ------------------------- Alix Marduel EXIT FILING ---- Attachment A 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, and 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 of Alta BioPharma Management II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), and managers of Alta Embarcadero BioPharma Partners II, LLC. 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, Director, 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 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. 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 28,250 shares of Common Stock. The stock option for 7,500 shares was granted on 10/4/00 and will vest in four annual installments of 25% of the shares on the anniversary date of the grant. The stock option for 3,750 shares was granted on 6/1/01 and was fully vested (100%) on 6/1/02, the first anniversary of the date of grant. The stock option for 8,000 shares was granted on 5/24/02 and was fully vested (100%) on 5/24/03, the first anniversary of the date of grant. The stock option for 9,000 shares was granted 5/23/03 and will fully vest (100%) on the first anniversary of the date of grant. See the next page for disclosure of share ownership. As of December 31, 2003 --Common Stock Ownership: Shares Owned by / Affiliated with Jean Deleage
Beneficial Owner (issued in the name of) # of Shares Date Acquired Jean Deleage 58,968 June 2001 & Jan 2002 Deleage Children's Trust FBO Andre Deleage (1) 14,744 June 2001 & Jan 2002 Deleage Children's Trust FBO Emmanuel Deleage (1) 14,744 June 2001 & Jan 2002 Deleage Children's Trust FBO Phillippe Deleage (1) 14,744 June 2001 & Jan 2002 Deleage Children's Trust FBO Michel Deleage (1) 14,744 June 2001 & Jan 2002
(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. Page 1 of 2 of Attachment A Attachment A 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. 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 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 -----END PRIVACY-ENHANCED MESSAGE-----