-----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, ARPS+WpJ2CYcuxWpf9xZOLnlDs1gM+lWTGjNtra5g4dr5QlXHApmEzMLgeN/S8ZJ Y1+DpsmmwiqZ82cfb95wtQ== 0001095811-01-001356.txt : 20010223 0001095811-01-001356.hdr.sgml : 20010223 ACCESSION NUMBER: 0001095811-01-001356 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED MOLECULAR EVOLUTION INC CENTRAL INDEX KEY: 0001111312 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 330374014 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-59733 FILM NUMBER: 1543362 BUSINESS ADDRESS: STREET 1: 3520 DUNHILL STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 5855974990 MAIL ADDRESS: STREET 1: 3520 DUNHILL STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUSE WILLIAM D CENTRAL INDEX KEY: 0001133937 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O APPLIED MOLECULAR EVOLUTION INC STREET 2: 3520 DUNHILL STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8585974990 SC 13G 1 a69634whsc13g.txt SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___) Applied Molecular Evolution, Inc. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE (Title of Class of Securities) 03823E108 -------------------------------------------- (CUSIP Number) December 31, 2000 ----------------- (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) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) 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. Page 1 of 5 Pages 2 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons William D. Huse, M.D., Ph.D. S.S. or I.R.S. Identification Nos. of Above Persons - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 5. Sole Voting Power 1,732,060* Number of Shares ---------------------------------------------------------- Beneficially 6. Shared Voting Power 1,606,506 Owned by Each ---------------------------------------------------------- Reporting 7. Sole Dispositive Power 1,732,060* Person With ---------------------------------------------------------- 8. Shared Dispositive Power 1,606,506 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,338,566* - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row 9 Excludes Certain Shares (see Instructions) [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 13.9% - -------------------------------------------------------------------------------- * The amounts shown include 470,000 shares which Dr. Huse may acquire currently or within 60 days of December 31, 2000 through the exercise of stock options. However, 125,000 shares would be subject to repurchase by the Company. The Company's right of repurchase lapses ratably over a two year period, beginning on January 1, 2001 but may lapse on an accelerated basis in the event the Company is acquired. Additionally, amounts shown include 280,000 shares subject to repurchase by the Company. The Company's right of repurchase lapses ratably over a seven year period, beginning on April 7, 2000 but may lapse on an accelerated basis in the event the Company is acquired or the Company's aggregate public market value exceed specified levels. Page 2 of 5 Pages 3 12. Type of Reporting Person IN - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: Applied Molecular Evolution, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 3520 Dunhill Street San Diego, CA 92121 Item 2(a) Name of Person Filing: William D. Huse, M.D., Ph.D. Item 2(b) Address of Principal Business Office or, if None, Residence: c/o Applied Molecular Evolution, Inc. 3520 Dunhill Street San Diego, CA 92121 Item 2(c) Citizenship: United States Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 03823E108 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act Page 3 of 5 Pages 4 (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) [ ] Parent Holding Company, in accordance with section 240.13d-1(b)(ii)(G) (h) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(H) Item 4. Ownership. (a) Amount Beneficially Owned: 3,338,566* (b) Percent of Class: 13.9% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,732,060* (ii) shared power to vote or to direct the vote: 1,606,506 (iii) sole power to dispose or to direct the disposition of: 1,732,060* (iv) shared power to dispose or to direct the disposition of: 1,606,506 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. [ ] 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. * The amounts shown include 470,000 shares which Dr. Huse may acquire currently or within 60 days of December 31, 2000 through the exercise of stock options. However, 125,000 shares would be subject to repurchase by the Company. The Company's right of repurchase lapses ratably over a two period, beginning on January 1, 2001 but may lapse on an accelerated basis in the event the Company is acquired. Additionally, amounts shown include 280,000 shares subject to repurchase by the Company. The Company's right of repurchase lapses ratably over a seven year period, beginning on April 7, 2000 but may lapse on an accelerated basis in the event the Company is acquired or the Company's aggregate public market value exceed specified levels. Page 4 of 5 Pages 5 Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable Item 10. Certification. Not applicable. 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. Dated: February 13, 2001 /s/ William D. Huse ---------------------------------------- William D. Huse, M.D., Ph.D. Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----