0000947871-01-500918.txt : 20011106
0000947871-01-500918.hdr.sgml : 20011106
ACCESSION NUMBER: 0000947871-01-500918
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 3
FILED AS OF DATE: 20011101
GROUP MEMBERS: ORBIMED ADVISORS INC.
GROUP MEMBERS: ORBIMED ADVISORS LLC.
GROUP MEMBERS: SAMUEL D. ISALY
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: ISALY SAMUEL D
CENTRAL INDEX KEY: 0001055949
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 787 THIRD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 2127396400
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: ARGONAUT TECHNOLOGIES INC
CENTRAL INDEX KEY: 0001112880
STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
IRS NUMBER: 943216714
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-59547
FILM NUMBER: 1772580
BUSINESS ADDRESS:
STREET 1: 887 INDUSTRIES RD
STREET 2: STE G
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 6505981350
MAIL ADDRESS:
STREET 1: 887 INDUSTRIES ROAD
STREET 2: SUITE G
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
SC 13G
1
s13g110101_isaly-argonaut.txt
SCHEDULE 13G
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Argonaut Technologies Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
040175101
(CUSIP Number)
October 9, 2001
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] 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. 040175101
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
OrbiMed Advisers Inc.
2. Check the Appropriate Box if a Member Of a Group (See Instructions)
[ ] (a)
[ ] (b)
3. SEC Use Only
4. Citizenship or Place of Organization
Delaware
5. Sole Voting Power 0
Number of
Shares 6. Shared Voting Power 963,200
Beneficially
Owned by 7. Sole Dispositive Power 0
Each Reporting
Person With 8. Shared Dispositive Power 963,200
9. Aggregate Amount Beneficially Owned by Each Reporting Person
963,200
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
11. Percent of Class Represented by Amount in Row (9) 5.02%
12. Type of Reporting Person (See Instructions) IA
CUSIP No. 040175101
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
OrbiMed Advisors LLC
2. Check the Appropriate Box if a Member of a Group (See Instructions)
[ ] (a)
[ ] (b)
3. SEC Use Only
4. Citizenship or Place of Organization
Delaware
5. Sole Voting Power 0
Number of
Shares 6. Shared Voting Power 963,200
Beneficially
Owned by 7. Sole Dispositive Power 0
Each Reporting
Person With 8. Shared Dispositive Power 963,200
9. Aggregate Amount Beneficially Owned by Each Reporting Person
963,200
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
11. Percent of Class Represented by Amount in Row (9) 5.02%
12. Type of Reporting Person (See Instructions) CO
CUSIP No. 040175101
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Samuel D. Isaly
2. Check the Appropriate Box if a Member of a Group (See Instructions)
[ ] (a)
[ ] (b)
3. SEC Use Only
4. Citizenship or Place of Organization
United States
5. Sole Voting Power 0
Number of
Shares 6. Shared Voting Power 963,200
Beneficially
Owned by 7. Sole Dispositive Power 0
Each Reporting
Person With 8. Shared Dispositive Power 963,200
9. Aggregate Amount Beneficially Owned by Each Reporting Person
963,200
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
11. Percent of Class Represented by Amount in Row (9) 5.02%
12. Type of Reporting Person (See Instructions) HC
Item 1. (a) Issuer: Argonaut Technologies Inc.
(b) Address: 887 Industrial Road, Suite G,
San Carlos, CA 94070
Item 2. (a) Name of Person Filing:
OrbiMed Advisers Inc.
OrbiMed Advisors LLC
Samuel D. Isaly
(b) Address of Principal Business Offices:
767 Third Avenue, 6th Floor
New York, New York 10010
(c) Citizenship:
Please refer to Item 4 on each cover sheet for each filing person
(d) Title of Class of Securities
Common stock
(e) CUSIP Number: 040175101
Item 3. Not Applicable
Item 4. Ownership
Please see Items 5 - 9 and 11 for each cover sheet for each filing
separately
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.
Reporting persons are holding 5.02% of the securities on behalf of
other persons who have the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, such
securities.
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
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above 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.
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: November 1, 2001
OrbiMed Advisers Inc.
By: /s/ Samuel D. Isaly
----------------------------
Name: Samuel D. Isaly
Title: President
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and 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.
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: November 1, 2001
OrbiMed Advisors LLC
By: /s/ Samuel D. Isaly
----------------------------
Name: Samuel D. Isaly
Title: Managing Member
Samuel D. Isaly
By: /s/ Samuel D. Isaly
----------------------------
Name: Samuel D. Isaly
EX-1.1
3
ex1-1_isaly110101.txt
JOINT FILING AGREEMENT
JOINT FILING AGREEMENT
Exhibit 1.1
----------
JOINT FILING AGREEMENT
The undersigned hereby agree that the Statement on this Schedule 13G, dated
November 1, 2001, (the "Schedule 13G"), with respect to the Common Stock, par
value $0.0001 per share, of Argonaut Technologies Inc. is filed on behalf of
each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)
under the Securities and Exchange Act of 1934, as amended, and that this
Agreement shall be included as an Exhibit to this Schedule 13G. Each of the
undersigned agrees to be responsible for the timely filing of the Schedule 13G,
and for the completeness and accuracy of the information concerning itself
contained therein. This Agreement may be executed in any number of counterparts,
all of which taken together shall constitute one and the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of
the 1st day of November, 2001.
OrbiMed Advisers Inc.
By: /s/ Samuel D. Isaly
----------------------------
Name: Samuel D. Isaly
Title: President
OrbiMed Advisors LLC
By: /s/ Samuel D. Isaly
----------------------------
Name: Samuel D. Isaly
Title: Managing Member
EX-2.1
4
ex2-1_isaly110101.txt
STATMENT OF CONTROL PERSON
EX-2.1 OTHERDOC
Statement of Control Person
Exhibit 2.1
----------
Statement of Control Person
The Statement on this Schedule 13G dated November 1, 2001 with respect to the
common stock par value $0.0001 per share of Argonaut Technologies Inc. is filed
by Samuel D. Isaly in accordance with the provisions of Rule 13d-1(c) and Rule
13d-1(k) respectively as a control person (HC) of Orbimed Advisors, LLC and
Orbimed Advisors, Inc.
Orbimed Advisors, Inc. files this statement on Schedule 13G in accordance with
the provisions of Rule 13d-1(b) and Rule 13d-1(k) respectively as an investment
advisor (IA) and Orbimed Advisors, LLC files this statement on Schedule 13G in
accordance with the provisions or Rule 13d-1(c) and 13d-1(k) respectively as a
corporation (CO).