0000950005-05-000101.txt : 20120705 0000950005-05-000101.hdr.sgml : 20120704 20050204152142 ACCESSION NUMBER: 0000950005-05-000101 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050204 DATE AS OF CHANGE: 20050204 GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC GROUP MEMBERS: ALTA CALIFORNIA PARTNERS III, L.P. GROUP MEMBERS: ALTA EMBARCADERO PARTNERS III, LLC GROUP MEMBERS: ALTA PARTNERS II, INC. GROUP MEMBERS: DANIEL JANNEY GROUP MEMBERS: GARRETT GRUENER GROUP MEMBERS: GUY NOHRA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CORGENTECH INC CENTRAL INDEX KEY: 0001131517 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770503399 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79795 FILM NUMBER: 05576935 BUSINESS ADDRESS: STREET 1: 650 GATEWAY BOULEVARD STREET 2: -- CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6506249600 MAIL ADDRESS: STREET 1: 650 GATEWAY BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS II INC CENTRAL INDEX KEY: 0001276361 IRS NUMBER: 943382738 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: SUITE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: SUITE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 p19115_13g.txt SCHEDULE 13G United States Securities and Exchange Commission WASHINGTON, D.C. 20549 Schedule 13G (Amendment No. __)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 CORGENTECH, INC. ---------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 21872P105 --------- (CUSIP Number) December 31, 2004 -------------------------------------------------------------------------------- (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. 21872P105 Page 2 of 14 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 2,095,224 Beneficially Owned ----------------------------------------------- By Each Reporting (6) Shared Voting Power -0- Person With ----------------------------------------------- (7) Sole Dispositive Power 2,095,224 ----------------------------------------------- (8) Shared Dispositive Power -0- -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person IA -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 21872P105 Page 3 of 14 Pages -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Partners III, 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 2,095,224 Beneficially Owned ----------------------------------------------- By Each Reporting (6) Shared Voting Power -0- Person With ----------------------------------------------- (7) Sole Dispositive Power 2,095,224 ----------------------------------------------- (8) Shared Dispositive Power -0- -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person PN -------------------------------------------------------------------------------- CUSIP No. 21872P105 Page 4 of 14 Pages -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta California Management Partners III, 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 2,095,224 Beneficially Owned ----------------------------------------------- By Each Reporting (6) Shared Voting Power -0- Person With ----------------------------------------------- (7) Sole Dispositive Power 2,095,224 ----------------------------------------------- (8) Shared Dispositive Power -0- -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO -------------------------------------------------------------------------------- CUSIP No. 21872P105 Page 5 of 14 Pages -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero Partners III, 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 2,095,224 Beneficially Owned ----------------------------------------------- By Each Reporting (6) Shared Voting Power -0- Person With ----------------------------------------------- (7) Sole Dispositive Power 2,095,224 ----------------------------------------------- (8) Shared Dispositive Power -0- -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO -------------------------------------------------------------------------------- CUSIP No. 21872P105 Page 6 of 14 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 2,095,224 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,095,224 -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 21872P105 Page 7 of 14 Pages -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Daniel Janney -------------------------------------------------------------------------------- (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 40,000 Beneficially Owned ----------------------------------------------- By Each Reporting (6) Shared Voting Power 2,095,224 Person With ----------------------------------------------- (7) Sole Dispositive Power 40,000 ----------------------------------------------- (8) Shared Dispositive Power 2,095,224 -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,135,224 Please see Attachment A and Footnote 1 -------------------------------------------------------------------------------- (10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* -------------------------------------------------------------------------------- (11) Percent Of Class Represented By Amount In Row (11) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 1: Includes 2,026,427 shares beneficially owned by Alta California Partners III, L.P., 68,797 shares beneficially owned by Alta Embarcadero Partners III, LLC and Stock Options for 40,000 shares of Common Stock. Please see Attachment A. CUSIP No. 21872P105 Page 8 of 14 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 2,095,224 Person With ----------------------------------------------- (7) Sole Dispositive Power -0- ----------------------------------------------- (8) Shared Dispositive Power 2,095,224 -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,095,224 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) 7.6% Please see Attachment A -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 9 of 14 Pages Item 1. (a) Name of Issuer: Corgentech, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 650 Gateway Blvd. South San Francisco, CA 94080 Item 2. (a) Name of Person Filing: Alta Partners II, Inc. ("APII") Alta California Partners III, L.P. ("ACPIII") Alta California Management Partners III, LLC. ("ACMPIII") Alta Embarcadero Partners III, LLC ("AEPIII") Garrett Gruener ("GG") Dan Janney ("DJ") 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 II California ACPIII Delaware ACMPIII Delaware AEPIII California Individuals: GG United States DJ United States GN United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: Item 3. Not applicable. Page 10 of 14 Pages Item 4 Ownership.

Please see Attachment A ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- APII ACPIII ACMPIII AEPIII GG ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (a) Beneficial Ownership 2,095,224 2,095,224 2,095,224 2,095,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (b) Percentage of Class 7.6% 7.6% 7.6% 7.6% 7.6% ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (c) Sole Voting Power 2,095,224 2,095,224 2,095,224 2,095,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Shared Voting Power -0- -0- -0- -0- -0- ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Sole Dispositive Power 2,095,224 2,095,224 2,095,224 2,095,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Shared Dispositive Power -0- -0- -0- -0- -0- ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- DJ GN ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (a) Beneficial Ownership 2,135,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (b) Percentage of Class 7.7% 7.6% ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- (c) Sole Voting Power 40,000 -0- ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Shared Voting Power 2,095,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Sole Dispositive Power 40,000 -0- ------- ---------------------------- ----------- ----------- ------------ ----------- ------------- Shared Dispositive Power 2,095,224 2,095,224 ------- ---------------------------- ----------- ----------- ------------ ----------- -------------

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. Page 11 of 14 Pages 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 Page 12 of 14 Pages 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 3, 2005 ALTA PARTNERS II, INC. ALTA CALIFORNIA PARTNERS III, L.P. By: Alta California Management Partners III, LLC By: By: ------------------------------------- -------------------------------- Jean Deleage, President Daniel Janney, Managing Director ALTA CALIFORNIA MANAGEMENT ALTA EMBARCADERO PARTNERS III, LLC PARTNERS III, LLC By: By: ------------------------------------- -------------------------------- Daniel Janney, Managing Director Daniel Janney, Manager ------------------------------------- -------------------------------- Daniel Janney Guy Nohra ------------------------------------- Garrett Gruener Page 13 of 14 Pages 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 3, 2005 ALTA PARTNERS II, INC. ALTA CALIFORNIA PARTNERS III, L.P. By: Alta California Management Partners III, LLC By: By: ------------------------------------- -------------------------------- Jean Deleage, President Daniel Janney, Managing Director ALTA CALIFORNIA MANAGEMENT ALTA EMBARCADERO PARTNERS III, LLC PARTNERS III, LLC By: By: ------------------------------------- -------------------------------- Daniel Janney, Managing Director Daniel Janney, Manager ------------------------------------- ------------------------------- Daniel Janney Guy Nohra ------------------------------------- Garrett Gruener Page 14 of 14 Pages Attachment A Alta Partners II, Inc. provides investment advisory services to several venture capital funds including Alta California Partners III, L.P. and Alta Embarcadero Partners III, LLC. Alta California Partners III, L.P. beneficially own 2,026,427 shares of Common Stock and Alta Embarcadero Partners III, LLC beneficially own 68,797 shares Common Stock. The managing directors of Alta California Partners III, L.P. and managers of Alta Embarcadero Partners III, 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 California Management Partners III, LLC (which is the general partner of Alta California Partners III, L.P.), and managers of Alta Embarcadero Partners III, LLC. As managing directors and managers of such entities, they may be deemed to share voting and investment powers over the shares beneficially held by such 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. Daniel Janney, Director, is a managing director of Alta California Management Partners III, LLC (which is the general partner of Alta California Partners III, L.P.) and a manager of Alta Embarcadero Partners III, LLC. Thus he currently shares voting and dispositive powers over the 2,026,427 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 68,797 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Janney owns stock options to purchase 40,000 shares of Common Stock that were granted on 10/14/2003. The vesting schedule is 1/48th per month and will expire on 10/14/2013. Mr. Guy Nohra is a managing director of Alta California Management Partners III, LLC (which is the general partner of Alta California Partners III, L.P.) and a manager of Alta Embarcadero Partners III, LLC. Thus he currently shares voting and dispositive powers over the 2,026,427 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 68,797 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein Mr. Garrett Gruener is a managing director of Alta California Management Partners III, LLC (which is the general partner of Alta California Partners III, L.P.) and a manager of Alta Embarcadero Partners III, LLC. Thus he currently shares voting and dispositive powers over the 2,026,427 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 68,797 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by the foregoing funds except to the extent of his proportionate pecuniary interests therein. Alta Partners II, Inc. is a venture capital firm with an office in San Francisco. Alta Partners II, Inc. is a California Corporation. Alta California Partners III, L.P. is a Delaware Limited Partnership, and Alta Embarcadero Partners III, LLC is a California Limited Liability Company.