-----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, AOiRnMlRGpUZDDtisYmT477SSzng8Z65tWfWhF8fIRzVXbFLOFCZZ/UMsKzpZXpc WuZ3nzvDF4jPY4y7upA+RA== 0000950134-05-023823.txt : 20051227 0000950134-05-023823.hdr.sgml : 20051226 20051223213221 ACCESSION NUMBER: 0000950134-05-023823 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20051227 DATE AS OF CHANGE: 20051223 GROUP MEMBERS: ARNOLD ORONSKY & PAULA ORONSKY, CO-TRUSTEES, ORONSKY TRUST GROUP MEMBERS: CHRISTOPHER B EHRLICH GROUP MEMBERS: GILBERT H KLIMAN TRUSTEE OF THE GILBERT H KLIMAN TRUST GROUP MEMBERS: H. RONALD NASH GROUP MEMBERS: HARVEY B CASH GROUP MEMBERS: INTERWEST INVESTORS Q VIII LP GROUP MEMBERS: INTERWEST INVESTORS VIII LP GROUP MEMBERS: INTERWEST MANAGEMENT PARTNERS VIII LLC GROUP MEMBERS: INTERWEST VENTURE MANAGEMENT CO PSRP FBO PHILIP T GIANOS GROUP MEMBERS: INTERWEST VENTURE MANAGEMENT CO PSRP FBO THOMAS L ROSCH GROUP MEMBERS: INTERWEST VENTURE MANAGEMENT CO PSRP FBO W STEPHEN HOLMES GROUP MEMBERS: JOHN C ADLER GROUP MEMBERS: MATADORO INVESTMENTS LP GROUP MEMBERS: MICHAEL B SWEENEY GROUP MEMBERS: PHILIP GIANOS AND CAROL GIANOS GROUP MEMBERS: STEPHEN C BOWSHER GROUP MEMBERS: THOMAS L ROSCH GROUP MEMBERS: W SCOTT HEDRICK GROUP MEMBERS: W SCOTT HEDRICK TRUSTEE THE HEDRICK CHILDRENS FAMILY TRUST GROUP MEMBERS: W STEPHEN HOLMES III 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 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-79795 FILM NUMBER: 051286076 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: INTERWEST PARTNERS VIII LP CENTRAL INDEX KEY: 0001123907 IRS NUMBER: 943369436 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: 2ND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-8585 MAIL ADDRESS: STREET 1: 2710 SAND HILL ROAD STREET 2: 2ND FLOOR CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13D 1 f15784sc13d.htm SCHEDULE 13D sc13d
Table of Contents

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. )*

Corgentech Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

21872P 10 5

(CUSIP Number)

W. Stephen Holmes III
InterWest Partners
2710 Sand Hill Road
Second Floor
Menlo Park, CA 94025
650-854-8585

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

December 15, 2005

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. þ

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* 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 disclosures provided in a prior cover page.

The information required on 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).


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Partners VIII, LP
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
2,721,685

8. Shared Voting Power:

9. Sole Dispositive Power:
2,721,685

10.Shared Dispositive Power:

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,721,685

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
13.51%

  14.Type of Reporting Person (See Instructions):
PN

2


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Investors VIII, LP
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
21,869

8. Shared Voting Power:

9. Sole Dispositive Power:
21,869

10.Shared Dispositive Power:

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
21,869

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
0.11%

  14.Type of Reporting Person (See Instructions):
PN

3


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Investors Q VIII, LP
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
77,870

8. Shared Voting Power:

9. Sole Dispositive Power:
77,870

10.Shared Dispositive Power:

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
77,870

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
0.39%

  14.Type of Reporting Person (See Instructions):
PN

4


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Management Partners VIII, LLC (the General Partner of InterWest Partners VIII, LP, InterWest Investors VIII, LP, and InterWest Investors Q VIII, LP)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
2,821,424

8. Shared Voting Power:

9. Sole Dispositive Power:
2,821,424

10.Shared Dispositive Power:

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,424

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
OO

5


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
John C. Adler (a Venture Member of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
21

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
21

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,445

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

6


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Stephen C. Bowsher (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
186

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
186

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,610

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

7


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Harvey B. Cash (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
279

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
279

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,703

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

8


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Christopher B. Ehrlich (a Venture Member of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
37

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
37

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,461

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

9


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Philip Gianos and Carol Gianos, Trustee, The Gianos Revocable Trust UAD 3/22/99 (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
320

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
320

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,744

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

10


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
W. Scott Hedrick (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
96

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
96

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,520

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

11


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
W. Stephen Holmes III (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
78

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
78

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,502

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

12


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Gilbert H. Kliman, Trustee of the Gilbert H. Kliman Trust dated 11/15/2002 (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
5,283

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
5,283

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,826,707

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.04%

  14.Type of Reporting Person (See Instructions):
IN

13


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
H. Ronald Nash (a Venture Member of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
159

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
159

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,583

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

14


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Arnold Oronsky & Paula Oronsky, Co-trustees of the Oronsky Living Trust dated 12/15/00 (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
59,862

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
59,862

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,881,286

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.31%

  14.Type of Reporting Person (See Instructions):
IN

15


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Thomas L. Rosch (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
298

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
298

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,821,722

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.01%

  14.Type of Reporting Person (See Instructions):
IN

16


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Michael B. Sweeney (a Managing Director of InterWest Management Partners VIII, LLC)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
12,617

8. Shared Voting Power:
2,821,424

9. Sole Dispositive Power:
12,617

10.Shared Dispositive Power:
2,821,424

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,834,041

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
14.07%

  14.Type of Reporting Person (See Instructions):
IN

17


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
Matadoro Investments, LP (a limited partnership of which the Oronsky Living Trust dated 12/15/00 is a general partner)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
320

8. Shared Voting Power:
0

9. Sole Dispositive Power:
320

10.Shared Dispositive Power:
0

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
320

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
less than 0.01%

  14.Type of Reporting Person (See Instructions):
PN

18


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
W. Scott Hedrick, Trustee, The Hedrick Childrens' Family Trust dated 12/16/92
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
12

8. Shared Voting Power:
0

9. Sole Dispositive Power:
12

10.Shared Dispositive Power:
0

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
0

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
less than 0.01%

  14.Type of Reporting Person (See Instructions):
OO

19


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Venture Management Co PSRP fbo Philip T. Gianos (a profit-sharing entity of which Philip T. Gianos is the sole beneficiary)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
12

8. Shared Voting Power:
0

9. Sole Dispositive Power:
12

10.Shared Dispositive Power:
0

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
0

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
less than 0.01%

  14.Type of Reporting Person (See Instructions):
OO

20


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Venture Management Co PSRP fbo W. Stephen Holmes III (a profit-sharing account of which W. Stephen Holmes III is the sole beneficiary)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
38

8. Shared Voting Power:
0

9. Sole Dispositive Power:
38

10.Shared Dispositive Power:
0

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
0

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
less than 0.01%

  14.Type of Reporting Person (See Instructions):
OO

21


Table of Contents

             
CUSIP No. 21872P105

  1. Name of Reporting Person:
InterWest Venture Management Co PSRP fbo Thomas L. Rosch (a profit-sharing account of which Thomas L. Rosch is the sole beneficiary)
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Source of Funds (See Instructions):
OO (See Item 3)

  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o

  6. Citizenship or Place of Organization:
United States

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
7. Sole Voting Power:
64

8. Shared Voting Power:
0

9. Sole Dispositive Power:
64

10.Shared Dispositive Power:
0

  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
0

  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o

  13.Percent of Class Represented by Amount in Row (11):
less than 0.01%

  14.Type of Reporting Person (See Instructions):
OO

22


TABLE OF CONTENTS

Item 1. Security and Issuer
Item 2. Identity and Background
Item 3. Source and Amount of Funds or Other Consideration
Item 4. Purpose of Transaction
Item 5. Interest in Securities of the Issuer
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
Item 7. Material to Be Filed as Exhibits
Signature
Exhibit Index
EXHIBIT 2.2
EXHIBIT 2.3
EXHIBIT 2.4


Table of Contents

     This Schedule is being filed by InterWest Partners VIII, LP and related entities and relates to an Agreement and Plan of Merger among Corgentech Inc., Element Acquisition Corp., a Delaware corporation and wholly-owned subsidiary of Corgentech (“Acquisition Sub”), AlgoRx Pharmaceuticals, Inc., a Delaware corporation (“AlgoRx”), and Joseph Marr, as representative for the AlgoRx stockholders, dated as of September 23, 2005 (the “Merger Agreement”) pursuant to which on December 15, 2005 Acquisition Sub merged with and into AlgoRx and AlgoRx became a wholly-owned subsidiary of Corgentech (the “Merger”). Each share of AlgoRx capital stock was converted into the right to receive shares of common stock of Corgentech.
Item 1. Security and Issuer
     The class of equity securities to which this statement relates is common stock, par value $0.001, of Corgentech Inc. (“Corgentech”). The principal executive offices of Corgentech are located at 650 Gateway Boulevard, South San Francisco, California 94080.
Item 2. Identity and Background
(a)   Name:
 
    InterWest Partners VIII, LP (“IWP VIII”)
InterWest Investors VIII, LP (“II VIII”)
InterWest Investors Q VIII, LP (“IIQ VIII”)
InterWest Management Partners VIII, LLC (“IMP VIII”)
John C. Adler (“Adler”)
Stephen C. Bowsher (“Bowsher”)
Harvey B. Cash (“Cash”)
Christopher B. Ehrlich (“Ehrlich”)
Philip T. Gianos and Carol Gianos, Trustees, The Gianos Revocable Trust UAD 3/22/99 (“Gianos”)
W. Scott Hedrick (“Hedrick”)
W. Stephen Holmes III (“Holmes”)
Gilbert H. Kliman, Trustee of the Gilbert H. Kliman Trust dated 11/15/2002 (“Kliman”)
H. Ronald Nash (“Nash”)
Arnold L. Oronsky & Paula Oronsky, Co-trustees of the Oronsky Living Trust dated 12/15/00 (“Oronsky”)
Thomas L. Rosch (“Rosch”)
Michael B. Sweeney (“Sweeney”)
Matadoro Investments, LP (“Matadoro”)
W. Scott Hedrick, Trustee, The Hedrick Childrens’ Family Trust dated 12/16/92 (“Hedrick Trust”)
InterWest Venture Management Co PSRP fbo Philip T. Gianos (“Gianos PSRP”)
InterWest Venture Management Co PSRP fbo W. Stephen Holmes III (“Holmes PSRP”)
InterWest Venture Management Co PSRP fbo Thomas L. Rosch (“Rosch PSRP”)
 
(b)   Residence or business address:
 
    2710 Sand Hill Road, Second Floor, Menlo Park, CA 94025
 
(c)   IMP VIII is the general partner of IWP VIII, II VIII and IIQ VIII. InterWest Management Partners is a venture capital firm investing in emerging trends and technologies. Bowsher, Cash, Gianos, Hedrick, Holmes, Kliman, Oronsky, Rosch and Sweeney are Managing Directors of IMP VIII. Adler, Ehrlich and Nash are Venture Member of IMP VIII. Matadoro is a limited partnership, of which the Oronsky Living Trust dated 12/15/00 is a general partner. Hedrick Trust is a trust account for which W. Scott Hedrick is trustee. Gianos PSRP, Holmes PSRP and Rosch PSRP are profit sharing entities of which Philip T. Gianos, W. Stephen Holmes III and Thomas L. Rosch are sole beneficiaries.
 
(d)   None of the entities or persons listed above (“Reporting Persons”), during the last five years, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

23


Table of Contents

(e)   None of the Reporting Persons, during the last five years, was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
 
(f)   Citizenship.
 
    IWP VIII: California
II VIII: California
IIQ VIII: California
IMP VIII: California
Adler: United States
Bowsher: United States
Cash: United States
Ehrlich: United States
Gianos: United States
Hedrick: United States
Holmes: United States
Kliman: United States
Nash: United States
Oronsky: United States
Rosch: United States
Sweeney: United States
Matadoro: California
Hedrick Trust: California
Gianos PSRP: California
Holmes PSRP: California
Rosch PSRP: California
Item 3. Source and Amount of Funds or Other Consideration
     InterWest Partners VIII, LP and related entities previously purchased 1,635,805 shares of Corgentech capital stock from Corgentech prior to the effectiveness of a registration statement on Form S-1 (Registration No. 333-110923) on February 11, 2004, as reported on Schedule 13G, filed February 8, 2005 (the “Previously Purchased Corgentech Shares”). The source of the funds for the Previously Purchased Corgentech Shares was InterWest Partner VIII, LP’s working capital.
     InterWest Partners VIII, LP and related entities previously purchased 24,554,560 shares of AlgoRx capital stock from AlgoRx prior to the effectiveness of the Merger on December 15, 2005 (the “Previously Purchased AlgoRx Shares”). The source of the funds for the Previously Purchased AlgoRx Shares was InterWest Partner VIII, LP’s working capital.
     Pursuant to the Merger Agreement, on December 15, 2005 Acquisition Sub merged with and into AlgoRx and AlgoRx became a wholly-owned subsidiary of Corgentech. Each share of AlgoRx capital stock, including the Previously Purchased AlgoRx shares, was converted into the right to receive shares of common stock of Corgentech.
Item 4. Purpose of Transaction
     (a) — (j) The Merger Agreement provided for the acquisition by Corgentech of all of the outstanding capital stock of AlgoRx through a merger of Acquisition Sub with and into AlgoRx, as a result of which AlgoRx became a wholly-owned subsidiary of Corgentech.

24


Table of Contents

     On the effective date of the merger, December 15, 2005, Corgentech effected a 1-for-4 reverse stock -split.
     Under the rules and regulations of The NASDAQ Stock Market Inc., the acquisition of AlgoRx by Corgentech was deemed to be a “reverse” merger. Therefore, Corgentech’s common stock, symbol “CGTK,” was de-listed from the NASDAQ National Market. Corgentech’s common stock was relisted on the NASDAQ National Market prior to the open of market on December 16, 2005 under the symbol “CGTKD” and will trade under such symbol for 20 days, after which it will return to the symbol “CGTK”. The shares acquired by InterWest Partners VIII, LP and related entities in the Merger were acquired solely for investment purposes.
     Subject to the foregoing, none of the Reporting Persons have a present plan or proposal that relates to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, each of the Reporting Persons reserves the right to propose or participate in future transactions which may result in one or more of such actions, including but not limited to, an extraordinary corporate transaction, such as a merger, reorganization or liquidation, sale of a material amount of assets of Corgentech or its subsidiaries, or other transactions which might have the effect of causing Corgentech’s common stock to cease to be listed on the NASDAQ National Market System or causing the common stock to become eligible for termination of registration under section 12(g) of the Securities Exchange Act of 1934, as amended (the “Act”). The Reporting Persons also retain the right to change their investment intent at any time, to acquire additional shares of common stock or other securities of Corgentech from time to time, or to sell or otherwise dispose of all or part of the common stock beneficially owned by them (or any shares of common stock into which such securities are converted) in any manner permitted by law. The Reporting Persons may engage from time to time in ordinary course transactions with financial institutions with respect to the securities described herein.
     The description contained in this Item 4 of the transactions contemplated by the Merger Agreement is qualified in its entirety by reference to the full text of the Merger Agreement, a copy of which is incorporated by reference in this Schedule 13D — see Exhibit 2.1.
Item 5. Interest in Securities of the Issuer
(a) — (b)
                                 
    IWP VIII     II VIII     IIQ VIII     IMP VIII (1)  
Beneficial Ownership
    2,721,685       21,869       77,870       2,821,424  
Percentage of Class
    13.51 %     0.11 %     0.39 %     14.01 %
Sole Voting Power
    2,721,685       21,869       77,870       2,821,424  
Shared Voting Power
    0       0       0       0  
Sole Dispositive Power
    2,721,685       21,869       77,870       2,821,424  
Shared Dispositive Power
    0       0       0       0  
                                 
    Adler (2)     Bowsher (2)     Cash (2)     Ehrlich (2)  
Beneficial Ownership
    2,821,445       2,821,610       2,821,703       2,821,461  
Percentage of Class
    14.01 %     14.01 %     14.01 %     14.01 %
Sole Voting Power
    21       186       279       37  
Shared Voting Power
    2,821,424       2,821,424       2,821,424       2,821,424  
Sole Dispositive Power
    21       186       279       37  
Shared Dispositive Power
    2,821,424       2,821,424       2,821,424       2,821,424  
                                 
    Gianos (2)     Hedrick (2)     Holmes (2)     Kliman (2)  
Beneficial Ownership
    2,821,744       2,821,520       2,821,502       2,826,707  
Percentage of Class
    14.01 %     14.01 %     14.01 %     14.04 %
Sole Voting Power
    320       96       78       5,283  
Shared Voting Power
    2,821,424       2,821,424       2,821,424       2,821,424  
Sole Dispositive Power
    320       96       78       5,283  
Shared Dispositive Power
    2,821,424       2,821,424       2,821,424       2,821,424  

25


Table of Contents

                                         
                                    Matadoro  
    Nash (2)     Oronsky (2)     Rosch (2)     Sweeney (2)     (2)  
Beneficial Ownership
    2,821,583       2,881,286 ***     2,821,722       2,834,041 **     320  
Percentage of Class
    14.01 %     14.31 %     14.01 %     14.26 %     14.01 %
Sole Voting Power
    159       59,862       298       12,617 **     320  
Shared Voting Power
    2,821,424       2,821,424       2,821,424       2,821,424       0  
Sole Dispositive Power
    159       59,862       298       12,617 **     320  
Shared Dispositive Power
    2,821,424       2,821,424       2,821,424       2,821,424       0  
                                 
    Hedrick Trust (2)     Gianos PSRP (2)     Holmes PSRP (2)     Rosch PSRP (2)  
Beneficial Ownership
    12       12       38       64  
Percentage of Class
    <.01 %     <.01 %     <.01 %     <.01 %
Sole Voting Power
    12       12       38       64  
Shared Voting Power
    0       0       0       0  
Sole Dispositive Power
    12       12       38       64  
Shared Dispositive Power
    0       0       0       0  
 
**   Sweeney includes 12,500 shares issuable to Sweeney pursuant to outstanding options exercisable within 60 days of December 15, 2005.
 
***   Oronsky includes 50,000 shares issuable to Oronsky pursuant to outstanding options exercisable within 60 days of December 15, 2005.
 
(1)   IMP VIII is the general partner of IWP VIII, II VIII and IIQ VIII.
 
(2)   Bowsher, Cash, Gianos, Hedrick, Holmes, Kliman, Oronsky, Rosch, and Sweeney are Managing Directors of IMP VIII. Adler, Ehrlich and Nash are Venture Members of IMP VIII. Matadoro is a limited partnership, of which the Oronsky Living Trust dated 12/15/00 is a general partner. Hedrick Trust is a trust account for which W. Scott Hedrick is trustee. Gianos PSRP, Holmes PSRP and Rosch PSRP are profit sharing entities of which Philip T. Gianos, W. Stephen Holmes III and Thomas L. Rosch are sole beneficiaries.
(c)   Gilbert Kliman purchased 5,000 shares of common stock on December 16, 2005.
 
    Arnold Oronsky purchased 6,198 shares of common stock on December 15, 2005 and 3,600 shares of common stock on December 16, 2005.
 
(d)   Not applicable.
 
(e)   Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
     Certain of Corgentech’s executive officers and stockholders, including InterWest Partners VIII, LP and related entities, have entered into lock-up agreements pursuant to which they agreed, in their respective capacities as stockholders of Corgentech, not to sell, transfer, hedge or perform similar transactions with respect to Corgentech’s common stock beneficially owned by them for 90 days following the consummation of the Merger, except in limited circumstances (the “Corgentech Lock-up Agreements”).

26


Table of Contents

     Certain of AlgoRx’s directors, executive officers and stockholders, including InterWest Partners VIII, LP and related entities, have entered into lock-up agreements pursuant to which they agreed, as AlgoRx stockholders or designated beneficiaries under the AlgoRx 2005 Retention Bonus Plan entitled to receive shares of Corgentech common stock pursuant to the Merger, not to sell, transfer, hedge or perform similar transactions with respect to Corgentech’s common stock beneficially owned by them for 90 days following the consummation of the Merger, except in limited circumstances (the “AlgoRx Lock-up Agreements”).
     Pursuant to the Merger Agreement, Corgentech entered into an Escrow Agreement with Mellon Investor Services and Joseph Marr, as representative of the AlgoRx stockholders, on December 15, 2005 (the “Escrow Agreement”), pursuant to which, at the effective time of the Merger, approximately 5% of the aggregate number of shares of Corgentech common stock issued pursuant to the Merger Agreement was placed in an escrow account. The shares were placed in the escrow account to satisfy the indemnification obligations of the AlgoRx stockholders and the designated beneficiaries of the AlgoRx 2005 Retention Bonus Plan (the “Escrow Accountholders”) pursuant to the Merger Agreement. The Escrow Accountholders will have voting rights with respect to their shares of Corgentech common stock held in escrow and the exchange agent will distribute any cash dividends or other distributions to such Escrow Accountholders. Except in certain circumstances, six months after the effective time of the Merger, when the representations and warranties in the Merger Agreement have terminated, the exchange agent will follow the procedures in the Merger Agreement and Escrow Agreement to release the shares in the escrow account, unless Corgentech has delivered a claim for indemnification.
     The shares in Item 5(a) and 5(b) above include the proportionate interest of each entity in escrow shares deposited with the escrow agent according to the Escrow Agreement.
     In connection with the Merger and his election to the board of directors of Corgentech, Arnold L. Oronsky received options to purchase 12,500 shares of Corgentech common stock. Michael B. Sweeney currently holds options to purchase 12,500 shares of Corgentech common stock, exercisable within 60 days of December 15, 2005.
     The description contained in this Item 6 of the transactions contemplated by the Corgentech Lock-up Agreements, AlgoRx Lock-up Agreements and the Escrow Agreement is qualified in its entirety by reference to the full text of the form of Corgentech Lock-up Agreement, form of AlgoRx Lock-up Agreement and the Escrow Agreement, copies of which are incorporated by reference in this Schedule 13D — see Exhibit 2.2, 2.3 and 2.4.
     Other than as described in this Schedule 13D (including pursuant to the Merger Agreement, Corgentech Lock-up Agreements, AlgoRx Lock-up Agreements and the Escrow Agreement) the Reporting Persons are not parties to any other contracts, arrangements, understandings or relationships (legal or otherwise) with respect to any securities of Corgentech, including but not limited to transfer or voting of any of the securities, finder’s fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies.
Item 7. Material to Be Filed as Exhibits
     
Exhibit No.   Description
2.1(1)
  Agreement of Merger, dated as of September 23, 2005, by and among Corgentech Inc., Element Acquisition Corp., a wholly-owned subsidiary of Corgentech Inc., AlgoRx Pharmaceuticals, Inc. and Joseph Marr.
2.2
  Form of Corgentech Lock-up Agreement.
2.3
  Form of AlgoRx Lock-up Agreement.
2.4
  Escrow Agreement, dated as of December 15, 2005, by and among Corgentech Inc., Mellon Investor Services and Joseph Marr.
 
(1)   Filed as Exhibit 2.1 to Corgentech Inc.’s Registration Statement on Form S-4, as amended (333-129177), originally filed with the Commission on October 21, 2005, and incorporated by reference herein.

27


Table of Contents

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: December 27, 2005            
 
               
By:   /s/ John C. Adler*   INTERWEST PARTNERS VIII, LP
 
               
 
               
Name:
  John C. Adler            
        By:   InterWest Management Partners VIII, LLC
By:   /s/ Stephen C. Bowsher*       its General Partner
 
               
 
               
Name:
  Stephen C. Bowsher            
 
          By:   /s/ W. Stephen Holmes*
 
               
 
               
By:
  /s/ Harvey B. Cash*           Managing Director
 
               
 
               
Name:
  Harvey B. Cash            
        INTERWEST INVESTORS VIII, LP
By:
  /s/ Christopher B. Ehrlich*            
 
               
 
               
Name:   Christopher B. Ehrlich   By:   InterWest Management Partners VIII, LLC
            its General Partner
By:
  /s/ Philip T. Gianos*            
 
               
 
               
Name:
  Philip T. Gianos, Trustee       By:   /s/ W. Stephen Holmes*
 
               
 
               
 
              Managing Director
By:
  /s/ W. Scott Hedrick*            
 
               
 
               
Name:
  W. Scott Hedrick            
        INTERWEST INVESTORS Q VIII, LP
By:
  /s/ W. Stephen Holmes*            
 
               
 
               
Name:   W. Stephen Holmes   By:   InterWest Management Partners VIII, LLC
            its General Partner
By:
  /s/ Gilbert H. Kliman*            
 
               
 
               
Name:
  Gilbert H. Kliman, Trustee       By:   /s/ W. Stephen Holmes*
 
               
 
               
 
              Managing Director
By:
  /s/ H. Ronald Nash*            
 
               
 
               
Name:
  H. Ronald Nash            
        INTERWEST MANAGEMENT PARTNERS VIII, LLC
By:
  /s/ Arnold L. Oronsky, Trustee*            
 
               
 
               
Name:   Arnold L. Oronsky   By:   /s/ W. Stephen Holmes*
             
 
               
            Managing Director

28


Table of Contents

                 
By:
  /s/ Thomas L. Rosch*            
 
               
 
               
Name:
  Thomas L. Rosch            
 
               
By:
  /s/ Michael B. Sweeney*            
 
               
 
               
Name:
  Michael B. Sweeney            
 
               
By:
  /s/ W. Scott Hedrick*            
 
               
 
               
Name:
  W. Scott Hedrick, Trustee, The Hedrick Childrens’ Family Trust, dated 12/16/92            
 
               
By:
  /s/ Philip T. Gianos*            
 
               
 
               
Name:
  Philip T. Gianos, InterWest Venture Management Co PSRP fbo Philip T. Gianos            
 
               
By:
  /s/ W. Stephen Holmes III*            
 
               
 
               
Name:
  W. Stephen Holmes III, InterWest Venture Management Co PSRP fbo W. Stephen Holmes III            
 
               
By:
  /s/ Thomas L. Rosch*            
 
               
 
               
Name:
  Thomas L. Rosch, InterWest Venture Management Co PSRP fbo Thomas L. Rosch            
 
               
By:
  /s/ Arnold L. Oronsky*            
 
               
 
               
Name:
  Arnold L. Oronsky, trustee of the Oronsky Living Trust dated 12/15/00, General Partner of Matadoro Investments LP            
 
               
*By:
  /s/ Karen Wilson            
 
               
 
               
Name:
  Karen Wilson            
 
  Attorney-in-fact            

29


Table of Contents

EXHIBIT A
Joint Filing Statement
     We, the undersigned, hereby express our agreement that the attached Schedule 13D is filed on behalf of each of us.
                 
Date: December 27, 2005            
 
               
By:   /s/ John C. Adler*   INTERWEST PARTNERS VIII, LP
 
               
 
               
Name:
  John C. Adler            
        By:   InterWest Management Partners VIII, LLC
By:   /s/ Stephen C. Bowsher*       its General Partner
 
               
 
               
Name:
  Stephen C. Bowsher            
 
          By:   /s/ W. Stephen Holmes*
 
               
 
               
By:
  /s/ Harvey B. Cash*           Managing Director
 
               
 
               
Name:
  Harvey B. Cash            
 
               
        INTERWEST INVESTORS VIII, LP
By:
  /s/ Christopher B. Ehrlich*            
 
               
 
               
Name:   Christopher B. Ehrlich   By:   InterWest Management Partners VIII, LLC
            its General Partner
By:
  /s/ Philip T. Gianos*            
 
               
 
               
Name:
  Philip T. Gianos, Trustee       By:   /s/ W. Stephen Holmes*
 
               
 
               
 
              Managing Director
By:
  /s/ W. Scott Hedrick*            
 
               
 
               
Name:
  W. Scott Hedrick            
        INTERWEST INVESTORS Q VIII, LP
By:
  /s/ W. Stephen Holmes*            
 
               
 
               
Name:   W. Stephen Holmes   By:   InterWest Management Partners VIII, LLC
            its General Partner
By:
  /s/ Gilbert H. Kliman*            
 
               
 
               
Name:
  Gilbert H. Kliman, Trustee       By:   /s/ W. Stephen Holmes*
 
               
 
               
 
              Managing Director
By:
  /s/ H. Ronald Nash*            
 
               
 
               
Name:
  H. Ronald Nash            
        INTERWEST MANAGEMENT PARTNERS VIII, LLC
By:
  /s/ Arnold L. Oronsky*            
 
               
 
               
Name:   Arnold L. Oronsky, Trustee   By:   /s/ W. Stephen Holmes*
             
 
               
            Managing Director

30


Table of Contents

                 
By:
  /s/ Thomas L. Rosch*            
 
               
 
               
Name:
  Thomas L. Rosch            
 
               
By:
  /s/ Michael B. Sweeney*            
 
               
 
               
Name:
  Michael B. Sweeney            
 
               
By:
  /s/ W. Scott Hedrick*            
 
               
 
               
Name:
  W. Scott Hedrick, Trustee, The Hedrick Childrens’ Family Trust, dated 12/16/92            
 
               
By:
  /s/ Philip T. Gianos*            
 
               
 
               
Name:
  Philip T. Gianos, InterWest Venture Management Co PSRP fbo Philip T. Gianos            
 
               
By:
  /s/ W. Stephen Holmes III*            
 
               
 
               
Name:
  W. Stephen Holmes III, InterWest Venture Management Co PSRP fbo W. Stephen Holmes III            
 
               
By:
  /s/ Thomas L. Rosch*            
 
               
 
               
Name:
  Thomas L. Rosch, InterWest Venture Management Co PSRP fbo Thomas L. Rosch            
 
               
By:
  /s/ Arnold L. Oronsky*            
 
               
 
               
Name:
  Arnold L. Oronsky, trustee of the Oronsky Living Trust dated 12/15/00, General Partner of Matadoro Investments LP            
 
               
*By:
  /s/ Karen Wilson            
 
               
 
               
Name:
  Karen Wilson            
 
  Attorney-in-fact            

31


Table of Contents

Exhibit Index
     
Exhibit No.   Description
2.1(1)
  Agreement of Merger, dated as of September 23, 2005, by and among Corgentech Inc., Element Acquisition Corp., a wholly-owned subsidiary of Corgentech Inc., AlgoRx Pharmaceuticals, Inc. and Joseph Marr.
2.2
  Form of Corgentech Lock-up Agreement.
2.3
  Form of AlgoRx Lock-up Agreement.
2.4
  Escrow Agreement, dated as of December 15, 2005, by and among Corgentech Inc., Mellon Investor Services and Joseph Marr.
 
(1)   Filed as Exhibit 2.1 to Corgentech Inc.’s Registration Statement on Form S-4, as amended (333-129177), originally filed with the Commission on October 21, 2005, and incorporated by reference herein.

 

EX-2.2 2 f15784exv2w2.htm EXHIBIT 2.2 exv2w2
 

Exhibit 2.2
September 23, 2005
Corgentech Inc.
650 Gateway Blvd.
South San Francisco, CA 94080
Ladies and Gentlemen:
     The undersigned has been advised that as of the date hereof the undersigned may be deemed to be an “affiliate” of AlgoRx Pharmaceuticals, Inc., a Delaware corporation (the “Company”), as the term “affiliate” is defined for purposes of paragraphs (c) and (d) of Rule 145 of the Rules and Regulations (the “Rules and Regulations”) of the Securities and Exchange Commission (the "Commission”) under the Securities Act of 1933, as amended (the “Act”). Pursuant to the terms of the Agreement and Plan of Merger, dated as of September 23, 2005 (the “Agreement”), among Corgentech, Inc., a Delaware corporation (“Parent”), Element Acquisition Corp., a Delaware corporation (“Merger Sub"), and the Company, at the Effective Time (as defined in the Agreement) the Merger Sub will be merged with and into Company and the Company will become a wholly-owned subsidiary of Parent. As a result of the Merger (as defined in the Agreement), the undersigned will be entitled to receive shares of Common Stock, par value $0.01 per share, of Parent (“Parent Common Stock”) as a designated beneficiary under the AlgoRx 2005 Retention Bonus Plan or in exchange for shares of preferred stock or common stock of the Company owned by the undersigned. Pursuant to Section 5.7(c) of the Agreement, in order to induce Parent to enter into the Agreement, AlgoRx has agreed to use its best efforts to cause its officers, directors and affiliates (including affiliated funds), to execute and deliver letter agreements in the form hereof.
     The undersigned hereby represents and warrants to, and covenants with, Parent that in the event the undersigned receives any Parent Common Stock in the Merger:
  A.   The undersigned shall not make any sale, transfer or other disposition of the Parent Common Stock in violation of the Act or the Rules and Regulations.
 
  B.   The undersigned has carefully read this letter and discussed its requirements and other applicable limitations upon the undersigned’s ability to sell, transfer or otherwise dispose of the Parent Common Stock, to the extent the undersigned has felt it necessary, with the undersigned’s counsel.
 
  C.   The undersigned has been advised that the issuance of shares of Parent Common Stock to the undersigned in connection with the Merger is expected to be registered under the Act by a Registration Statement on Form S-4. However, the undersigned has also been advised that because (i) at the time of the Merger’s submission for a vote of the stockholders of the Company the undersigned may be deemed an affiliate of the Company, and (ii) the distribution by the undersigned of the Parent Common Stock has not been registered under the Act, the undersigned may not sell, transfer or otherwise dispose of Parent Common Stock issued to the undersigned in the Merger unless (a) such

 


 

      sale, transfer or other disposition has been registered under the Act, (b) such sale, transfer or other disposition is made in conformity with the volume and other applicable limitations imposed by Rule 145 under the Act, or (c) in the opinion of counsel reasonably acceptable to Parent, such sale, transfer or other disposition is otherwise exempt from registration under the Act.
 
  D.   The undersigned understands that Parent will be under no obligation to register the sale, transfer or other disposition of the Parent Common Stock by the undersigned or on the undersigned’s behalf under the Act or to take any other action necessary in order to make compliance with an exemption from such registration available.
 
  E.   The undersigned will not, without the prior written consent of Parent, during the period commencing on the date hereof and ending ninety (90) days after such date and time as the Merger shall become effective in accordance with the terms and provisions of the Merger Agreement, (i) offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, lend or otherwise transfer or dispose of, directly or indirectly, any of the Parent Common Stock (or other securities of Parent), or (ii) enter into any swap, hedging or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of any of the Parent Common Stock (or other securities) held by the undersigned, whether any such transaction described in clause (i) or (ii) above is to be settled by delivery of the Parent Common Stock or other such securities, in cash or otherwise; provided, however, that the undersigned may, without the prior written consent of Parent, sell any of the Parent Common Stock in order to meet the undersigned’s federal and state income tax liabilities in connection with the undersigned receipt of any Parent Common Stock pursuant to the Agreement. Notwithstanding the foregoing, and subject to the conditions below, the undersigned may transfer the Parent Common Stock without the prior written consent of Parent, provided that (1) Parent receives a signed agreement for the balance of the lockup period from each donee, trustee, distributee, or transferee, as the case may be, (2) any such transfer shall not involve a disposition for value, (3) such transfers are not required to be reported in any public report or filing with the Securities Exchange Commission, or otherwise and (4) the undersigned does not otherwise voluntarily effect any public filing or report regarding such transfers: (x) as a bona fide gift or gifts; or (y) to any trust for the direct or indirect benefit of the undersigned or the immediate family of the undersigned. For purposes of this letter agreement, “immediate family” shall mean any relationship by blood, marriage or adoption, not more remote than first cousin.
 
  F.   The undersigned understands that that there may be placed on the certificates for the Parent Common Stock issued to the undersigned, or any substitutions therefor, a legend stating in substance:
“THE SHARES REPRESENTED BY THIS CERTIFICATE WERE ISSUED IN A TRANSACTION TO WHICH RULE 145 UNDER THE SECURITIES ACT OF 1933 APPLIES. THE SHARES REPRESENTED BY THIS CERTIFICATE MAY ONLY BE TRANSFERRED IN

-2-


 

ACCORDANCE WITH THE TERMS OF AN AFFILIATE AGREEMENT DATED SEPTEMBER 23, 2005, A COPY OF WHICH AGREEMENT IS ON FILE AT THE PRINCIPAL OFFICES OF CORGENTECH, INC.”
     It is understood and agreed that the legend set forth in paragraph F above shall be removed by delivery of substitute certificates without such legend if the undersigned shall have delivered to Parent (i) a copy of a letter from the staff of the Commission, or an opinion of counsel, in form and substance reasonably satisfactory to Parent to the effect that such legend is not required for purposes of the Act or (ii) reasonably satisfactory evidence or representations that the shares represented by such certificates are being or have been transferred in a transaction made in conformity with the provisions of Rule 145.
     It is understood and agreed that the legend referred to above will be removed if (i) one year shall have elapsed from the date the undersigned acquired the Parent Common Stock received in the Merger and the provisions of Rule 145(d)(2) are then available to the undersigned, or (ii) two years shall have elapsed from the date the undersigned acquired the Parent Company Stock received in the Merger and the provisions of Rule 145(d)(3) are then applicable to the undersigned.

-3-


 

     Execution of this letter should not be considered an admission by the undersigned that the undersigned is an “affiliate” of the Company as described in the first paragraph of this letter or as a waiver of any rights the undersigned may have to object to any claim that the undersigned is an affiliate on or after the date of this letter.
         
  Very truly yours,

                                                            
[Print Name]
 
 
     
     
     
 
Acknowledged this ___day of ___, 2005.
CORGENTECH, INC.
By:                                                             
Name:                                                             
Title:
Signature Page to Algorx Market Stand-off Agreement

 

EX-2.3 3 f15784exv2w3.htm EXHIBIT 2.3 exv2w3
 

Exhibit 2.3
September 23, 2005
Corgentech Inc.
650 Gateway Boulevard
S. San Francisco, CA 94080
Ladies and Gentlemen:
     The letter agreement is delivered by the undersigned in connection with the merger pursuant to terms of an Agreement and Plan of Merger dated as of September 23, 2005 (the “Merger Agreement”) by and among Corgentech Inc. (“Parent”), Element Acquisition Corp., a Delaware corporation and wholly owned subsidiary of Parent (“Sub”), and of AlgoRx Pharmaceuticals, Inc. (“AlgoRx”) with and into Sub (the “Merger”). Pursuant Section 5.7(d) of the Agreement, in order to induce Parent to enter into the Agreement, AlgoRx has agreed to cause its officers, directors and affiliates (including affiliated funds), to execute and deliver letter agreements in the form hereof. The undersigned is the beneficial owner (as defined in Rule 13d-3 under the Securities Exchange Act of 1934, as amended) of shares of Common Stock, $0.001 par value per share, of Parent (the “Parent Common Stock”).
     In consideration of the execution of the Merger Agreement by AlgoRx and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the undersigned agrees that, without the prior written consent of Parent, during the period commencing on the date hereof and ending ninety (90) days after such date and time as the Merger shall become effective in accordance with the terms and provisions of the Merger Agreement (the “Lock-up Period”), the undersigned will not, (i) offer, pledge, sell, contract to sell, sell any option or contract to purchase, purchase any option or contract to sell, grant any option, right or warrant to purchase, lend or otherwise transfer or dispose of, directly or indirectly, any of the Parent Common Stock (or other securities of Parent), or (ii) enter into any swap, hedging or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of any of the Parent Common Stock (or other securities) of held by the undersigned, whether any such transaction described in clause (i) or (ii) above is to be settled by delivery of the Parent Common Stock or other such securities, in cash or otherwise. Notwithstanding the foregoing, and subject to the conditions below, the undersigned may transfer the Parent Common Stock without the prior written consent of Parent, provided that (1) Parent receives a signed agreement for the balance of the lockup period from each donee, trustee, distributee, or transferee, as the case may be, (2) any such transfer shall not involve a disposition for value, (3) such transfers are not required to be reported in any public report or filing with the Securities Exchange Commission, or otherwise and (4) the undersigned does not otherwise voluntarily effect any public filing or report regarding such transfers: (x) as a bona fide gift or gifts; or (y) to any trust for the direct or indirect benefit of the undersigned or the immediate family of the undersigned. For purposes of this letter agreement, “immediate family” shall mean any relationship by blood, marriage or adoption, not more remote than first cousin.
     In order to enforce the foregoing covenant, Parent may impose stop-transfer instructions with respect to the shares of Parent Common Stock beneficially owned by the undersigned until the end of the Lock-up Period.
[Signature Page Follows]

 


 

Very truly yours,
[Name]
By:                                                 
Name:                                            
Title:                                              

 

EX-2.4 4 f15784exv2w4.htm EXHIBIT 2.4 exv2w4
 

Exhibit 2.4
ESCROW AGREEMENT
     THIS ESCROW AGREEMENT (this “Agreement”) is entered into as of December 15, 2005, by and among Corgentech, Inc., a Delaware corporation (“Corgentech”), Mellon Investor Services, as Escrow Agent (“Escrow Agent”) and Joseph Marr, as Stockholder Representative (“Representative”) of the Participating Stockholders.
RECITALS
     A. Corgentech, AlgoRx Pharmaceuticals, Inc., a Delaware corporation (“AlgoRx”) and Element Acquisition Corp., a Delaware corporation and a wholly-owned subsidiary of Corgentech (“Merger Sub”), have entered into an Agreement and Plan of Merger dated as of September 23, 2005 (the "Merger Agreement”) pursuant to which Merger Sub will merge (the “Merger”) with and into AlgoRx, with AlgoRx to be the surviving corporation of the Merger. Capitalized terms used in this Agreement and not otherwise defined shall have the meanings given them in the Merger Agreement.
     B. Section 1.7 of the Merger Agreement provides that at the Closing Date, Corgentech will deposit in escrow (such deposit constituting the “Escrow Fund”) that certain number of shares of Corgentech Common Stock equal to five percent (5%) of the Total Merger Consideration (the “Escrow Shares”). Each Participating Stockholder’s Pro Rata Share of the Escrow Fund shall be withheld from the Participating Stockholder.
     C. The parties to this Agreement desire to establish the terms and conditions pursuant to which the Escrow Shares will be deposited, held in, and disbursed from the Escrow Fund.
     NOW, THEREFORE, the parties, intending to be legally bound, agree as follows:
     1. Escrow Fund. The Escrow Agent agrees to: (a) accept delivery of the Escrow Shares; and (b) hold such Escrow Shares in escrow as part of the Escrow Fund, all subject to the terms and conditions of this Agreement and Article VIII of the Merger Agreement (which Article VIII is attached to this Agreement as Appendix I and incorporated by reference into this Agreement) (collectively, the “Escrow Provisions”).
     2. Deposit of Escrow Shares: Release from Escrow.
          (a) Delivery of Escrow Shares. On the Closing Date, the Escrow Shares will be deposited by Corgentech on behalf of the Participating Stockholders with the Escrow Agent.
          (b) Participating Stockholders’ Accounts. The Escrow Agent will maintain for each Participating Stockholder an accounting record (each Participating Stockholder’s “Account”) specifying the portion of the Escrow Shares held for the record of each Participating Stockholder pursuant to Section 1.7 of the Merger Agreement. All Escrow Shares received under Section 2(a) of this Agreement will be allocated to each Participating Stockholder’s Account in

 


 

           accordance with such Participating Stockholder’s Pro Rata Share of the Escrow Fund as set forth on Appendix II.
          (c) Dividends; Voting; Rights of Ownership. The Escrow Agent will promptly distribute to the Participating Stockholders any cash dividends or other distributions of any kind made in respect of the Escrow Shares. Each Participating Stockholder will have voting rights with respect to his, her or its Pro Rata Share of the Escrow Shares so long as such Escrow Shares are held in escrow, and Corgentech will take all reasonable steps necessary to allow the exercise of such rights. While the Escrow Shares remain in the Escrow Agent’s possession pursuant to this Agreement and the Merger Agreement, the Participating Stockholders will retain and will be able to exercise all other incidents of ownership of said Escrow Shares which are not inconsistent with the terms and conditions of this Agreement and the Merger Agreement. The beneficial owners of the Escrow Shares shall be wholly responsible for any and all taxes incurred and payable on the Escrow Shares.
          (d) Release. The Escrow Shares will be held by the Escrow Agent until required to be released to the Participating Stockholders pursuant to Section 8.1 of the Merger Agreement, unless previously released to Corgentech pursuant to Sections 8.2 and 8.3 of the Merger Agreement. Within ten (10) business days after the applicable release condition is met, Corgentech and the Representative will deliver to the Escrow Agent a written notice identifying the portion of the Escrow Shares to be released and cash to be paid in lieu of fractional shares with respect to each Participating Stockholder. As soon as practicable after receipt of this written notice, the Escrow Agent will deliver to each Participating Stockholder the Escrow Shares to be released. Escrow Shares will be in the form of stock certificate(s) issued in the name of such Participating Stockholder. Escrow Shares will be released and cash in lieu of fraction shares will be paid to the respective Participating Stockholders in accordance with their respective Accounts. Corgentech will take such action as may be necessary to cause such certificates to be issued in the names of the appropriate Participating Stockholders. Cash will be paid in lieu of fractions of Escrow Shares. Within ten (10) business days after the written notice described above, Corgentech will deposit with the Escrow Agent sufficient funds to pay such cash amounts for fractional shares.
          (e) No Encumbrance. No Escrow Shares or any beneficial interest in the Escrow Shares may be pledged, sold, assigned or transferred, including by operation of law, by a Participating Stockholder or be taken or reached by any legal or equitable process in satisfaction of any debt or other liability of a Participating Stockholder, prior to the delivery to such Participating Stockholder of such Participating Stockholder’s portion of the Escrow Shares by the Escrow Agent.
          (f) Tax Reporting. The parties hereto agree that the Participating Stockholders shall be treated for all tax purposes as the owners of their Pro Rata Share of the Escrow Fund as indicated on Appendix II hereto. Within thirty (30) days of the date hereof, the Representative shall furnish to the Escrow Agent Internal Revenue Service Forms W-9 or Forms W-8BEN for the Participating Stockholders. The parties agree that the interest and other earnings attributable to the Escrow Shares shall be treated for U.S. tax purposes as income of the Participating Stockholders in the respective proportions indicated on Appendix II hereto.

-2-


 

     3. Limitation of the Escrow Agent’s Liability.
          (a) The Escrow Agent will incur no liability with respect to any action taken or suffered by it in reliance upon any notice, direction, instruction, consent, statement or other document believed by it to be genuine and duly authorized, nor for any other action or inaction, except its own willful misconduct, bad faith or gross negligence. The Escrow Agent will not be responsible for the validity or sufficiency of the Escrow Provisions. In all questions arising under the Escrow Provisions, the Escrow Agent may rely on the advice of counsel, and for anything done, omitted or suffered in good faith by the Escrow Agent based on such advice, the Escrow Agent will not be liable to anyone. The Escrow Agent will not be required to take any action under the Escrow Provisions involving any expense unless the payment of such expense is made or provided for in a manner satisfactory to it.
          (b) In the event conflicting demands are made or notices are served upon the Escrow Agent with respect to the Escrow Fund, the Escrow Agent will have the absolute right, at the Escrow Agent’s election, to do either or both of the following: resign so a successor can be appointed pursuant to Section 5 of this Agreement or file a suit in interpleader and obtain an order from a court of competent jurisdiction requiring the parties to interplead and litigate in such court their several claims and rights among themselves. In the event such interpleader suit is brought, the Escrow Agent will thereby be fully released and discharged from all further obligations imposed upon it under the Escrow Provisions, and Corgentech will pay the Escrow Agent (subject to reimbursement from the Participating Stockholders pursuant to Section 4) all costs, expenses and reasonable attorney’s fees expended or incurred by the Escrow Agent pursuant to the exercise of the Escrow Agent’s rights under this Section 3 (such costs, fees and expenses will be treated as extraordinary fees and expenses for the purposes of Section 4 of this Agreement).
          (c) Corgentech and the Participating Stockholders and their successors and assigns agree jointly and severally to indemnify and hold Escrow Agent harmless against any and all losses, claims, damages, liabilities, and expenses, including reasonable costs of investigation, counsel fees, including allocated costs of in-house counsel and disbursements that may be imposed on Escrow Agent or incurred by Escrow Agent in connection with the performance of its duties under this Agreement, including but not limited to any litigation arising from this Agreement or involving its subject matter. Notwithstanding the foregoing, no indemnity need be paid in the event of the Escrow Agent’s gross negligence, bad faith or willful misconduct.
     4. Expenses.
          (a) Escrow Agent. All fees and expenses of the Escrow Agent incurred in performing its responsibilities hereunder will be paid by Corgentech upon receipt of a written invoice by the Escrow Agent.
          (b) Representative. The Representative will not be entitled to receive any compensation from Corgentech or the Participating Stockholders in connection with this Agreement. Any expenses incurred by the Representative will be paid by Corgentech.

-3-


 

     5. Successor Escrow Agent. In the event the Escrow Agent becomes unavailable or unwilling to continue in its capacity as such, the Escrow Agent may resign and be discharged from its duties or obligations hereunder by giving written notice to the parties to this Agreement, specifying not less than thirty (30) days’ prior notice of the date when such resignation will take effect. Corgentech will designate a successor Escrow Agent (with the consent of the Representative, which will not be unreasonably withheld) prior to the expiration of such 30-day period by giving written notice to the Escrow Agent and the Representative. Corgentech may appoint a successor Escrow Agent with the consent of the Representative, which will not be unreasonably withheld, provided such proposed Escrow Agent is an independent third party that as part of its ordinary course of business provides similar escrow services to other parties. The Escrow Agent will promptly transfer the Escrow Shares to such designated successor. In the event no successor Escrow Agent is appointed as described in this Section 5, the Escrow Agent may apply to a court of competent jurisdiction for the appointment of a successor Escrow Agent.
     6. Limitation of Responsibility. The Escrow Agent’s duties are limited to those set forth in the Escrow Provisions and the Escrow Agent may rely upon the written notices delivered to the Escrow Agent under the Escrow Provisions.
     7. Incorporation by Reference of Article VIII. The parties agree that the terms of Article VIII of the Merger Agreement shall be deemed to be incorporated by reference in this Agreement as if such Article had been set forth in its entirety herein. The parties acknowledge that the administration of the Escrow Fund by the Escrow Agent will require reference to both the terms of this Agreement as well as the terms of such Article VIII.
     8. Notices. Any notices or other communications required or permitted under, or otherwise in connection with this Agreement, shall be in writing and shall be deemed to have been duly given when delivered in person or upon confirmation of receipt when transmitted by facsimile transmission (but only if followed by transmittal by national overnight courier or hand for delivery on the next business day) or on receipt after dispatch by registered or certified mail, postage prepaid, addressed, or on the next business day if transmitted by national overnight courier, in each case as follows:
     
Corgentech:
  Corgentech, Inc.
 
  650 Gateway Boulevard
 
  South San Francisco, CA 94080
 
  Attention: Patrick Broderick
 
  Fax: 650-624-9600
 
   
With copy to:
  Cooley Godward LLP
 
  3175 Hanover Street
 
  Palo Alto, CA 94304-1130
 
  Attention: Matthew Hemington
 
  Fax: 650-849-7400

-4-


 

     
 
   
Escrow Agent:
  Mellon Investor Services
 
  Attention:
 
  Fax:
 
   
Representative:
  Joseph Marr
 
  c/o Pacific Rim Ventures Co, Ltd.
 
  Green Plaza 2F
 
  3-7-20
 
  Komazawa, Setagaya-ku Tokyo
 
  JAPAN
 
  phone: 81-3-5779-6752
 
  Fax: 81-3-5779-6753
     9. Dispute Resolution.
          (a) Escalation. In the event a dispute arises under this Agreement or the Escrow Provisions, and prior to taking action as provided in Section 9(b) of this Agreement, Corgentech’s General Counsel and the Representative (the “Heads”) shall attempt to resolve the dispute through good faith negotiations over a reasonable period, not to exceed thirty (30) days following one party’s receipt of a notice of dispute from the other party, unless otherwise agreed by the Heads. Such thirty (30) day period shall be deemed to commence on the date the dispute was submitted to the Heads. All negotiations pursuant to this Section 9(a) shall be confidential, and shall be treated as compromise and settlement negotiations for purposes of applicable rules of evidence.
          (b) Arbitration. Any dispute that is not resolved by negotiation and/or escalation pursuant to Section 9(a) shall, upon the submission of a written request by Corgentech or the Representative to the other, be resolved exclusively by binding arbitration in San Francisco, California, before one (1) neutral arbitrator, free of any subject matter conflict and conflict with a party. Any arbitration proceedings shall be conducted in accordance with the Rules of the American Arbitration Association, except to the extent that such rules are inconsistent with this Agreement. The arbitrator shall resolve the dispute in accordance with this Agreement and the substantive laws (without regard to conflict-of-law and choice-of-law principles thereof, and excluding the rules of procedure) of the State of Delaware. The decision of the arbitrator shall be final and shall be fully and irrevocably accepted by the parties. The arbitrator is empowered to award interim and final injunction and equitable relief but, except as expressly set forth in this Agreement, the arbitrator is not empowered to award treble, punitive, exemplary or any other damages in excess of compensatory damages, and each party irrevocably waives any claim to recover such damages. The final award of the arbitrator shall be the sole and exclusive remedy of the parties, and shall be enforceable in any court of competent jurisdiction. The parties agree that they shall share equally the cost of the arbitration filing and hearing fees, and the cost of the arbitrator. Each party shall bear its own attorneys’ fees and expert fees and all associated costs and expenses, provided that the arbitrator may award attorneys’ fees to the party deemed by the arbitrator to be the party substantially prevailing in the proceeding.

-5-


 

     10. General.
          (a) Governing Laws. It is the intention of the parties hereto that the Laws of the State of Delaware (irrespective of its choice of law principles) shall govern the validity of this Agreement, the construction of its terms, and the interpretation and enforcement of the rights and duties of the parties to this Agreement.
          (b) Binding upon Successors and Assigns. Subject to, and unless otherwise provided in, this Agreement, each and all of the covenants, terms, provisions, and agreements contained in this Agreement shall be binding upon, and inure to the benefit of, the permitted successors, executors, heirs, representatives, administrators and assigns of the parties to this Agreement.
          (c) Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be an original as against any party whose signature appears on such counterpart and all of which together shall constitute one and the same instrument. This Agreement shall become binding when one or more counterparts of this Agreement, individually or taken together, shall bear the signatures of all of the parties reflected in this Agreement as signatories.
          (d) Entire Agreement. Except as set forth in the Merger Agreement, this Agreement, the documents referenced in this Agreement and the exhibits to such documents, constitute the entire understanding and agreement of the parties to this Agreement with respect to the subject matter of this Agreement and of such documents and exhibits and supersede all prior and contemporaneous agreements or understandings, inducements or conditions, express or implied, written or oral, between the parties with respect to such subject matter. The express terms of this Agreement control and supersede any course of performance or usage of the trade inconsistent with any of the terms of this Agreement.
          (e) Waivers. No waiver by any party to this Agreement of any condition or of any breach of any provision of this Agreement will be effective unless in writing. No waiver by any party of any such condition or breach, in any one instance, will be deemed to be a further or continuing waiver of any such condition or breach or a waiver of any other condition or breach of any other provision contained in this Agreement.
          (f) Amendment. This Agreement may be amended with the written consent of Corgentech, the Escrow Agent and the Representative, provided, however, that if the Escrow Agent does not agree to an amendment agreed upon by Corgentech and the Representative, a successor Escrow Agent may be appointed in accordance with Section 5 of this Agreement.
[Signature Page Follows]

-6-


 

     IN WITNESS WHEREOF, the parties have duly executed this Agreement as of the day and year first above written and this Agreement will be effective as to all of the Participating Stockholders when executed by Corgentech, the Escrow Agent and the Representative.
         
    CORGENTECH INC.
 
       
 
  By:   /s/ John P. McLaughlin
 
       
 
      Name: John P. McLaughlin
Title: Chief Executive Officer
 
       
    ESCROW AGENT:
 
       
    MELLON INVESTOR SERVICES
 
       
 
  By:   /s/ Edward Eismont
 
       
 
      Name: Edward Eismont
 
      Title: Event Manager — Corporate Action
 
       
    REPRESENTATIVE:
 
       
 
  By:   /s/ Joseph Marr
 
       
 
      Name: Joseph Marr

 


 

APPENDIX VIII
Article VIII of Merger Agreement

 


 

APPENDIX II
Participating Stockholders’ Interest in the Escrow Fund
                 
    Escrow   Percentage
Stockholder Name   Shares   Interest
InterWest Partners VIII, LP
    116,150       17.80 %
InterWest Investors VIII, LP
    309       0.05 %
InterWest Investors Q VIII, LP
    1,107       0.17 %
JP Morgan Partners (SBIC), LLC
    104,517       16.02 %
JP Morgan Partners Global Investors, LLC
    6,364       0.98 %
JP Morgan Partners Global Investors A, LP
    977       0.15 %
JP Morgan Partners Global Investors (Selldown) , L.P.
    2,154       0.33 %
JP Morgan Partners Global Investors (Cayman), LP
    3,195       0.49 %
JP Morgan Partners Global Investors (Cayman) II, LP
    357       0.05 %
Sofinnova Venture Partners V, LP
    54,720       8.39 %
Sofinnova Venture Affiliates V, LP
    1,800       0.28 %
Sofinnova Venture Principals V, LP
    839       0.13 %
Cooley Godward (CG&H Investments)
    220       0.03 %
Advent Healthcare and Life Sciences III Limited Partnership
    18,569       2.85 %
Advent Healthcare and Life Sciences III-A Limited Partnership
    34,822       5.34 %
Advent Partners HLS III Limited Partnership
    658       0.10 %
Advent Partners II Limited Partnership
    154       0.02 %
S.R. One, Limited
    42,589       6.53 %
Pacific Rim Aqua Life Science No. 1 Investment Partnership
    7,408       1.14 %
Pacific Rim Aqua Life Science No. 2 Investment Partnership
    8,747       1.34 %
Pacific Rim Aqua Life Science No. 3 Investment Partnership
    5,013       0.77 %
Pacific Rim Aqua Life Science No. 4 Investment Partnership
    9,804       1.50 %
Pacific Rim Aqua Life Science No. 5 Investment Partnership
    11,615       1.78 %
Lehman Brothers HealthCare Venture Capital, LP
    7,743       1.19 %
Lehman Brothers PA, LLC
    14,821       2.27 %
Lehman Brothers Partnership Account 2002/2001, LP
    6,677       1.02 %
Lehman Brothers Offshore Partnership Account 2000/2001, LP
    1,731       0.27 %
Cogene Biotech Ventures, LP
    11,615       1.78 %
EGS Private Healthcare Partnership II, LP
    14,668       2.25 %
EGS Private Healthcare Investors II, LP
    2,313       0.35 %

 


 

                 
    Escrow   Percentage
Stockholder Name   Shares   Interest
EGS Private Healthcare Canadian Partners, LP
    2,207       0.34 %
EGS Private Healthcare Presidents Fund, LP
    169       0.03 %
Hunt Ventures, LP
    23,230       3.56 %
Piper Jaffray Healthcare Fund IV, LP
    18,584       2.85 %
NIF Ventures Co. Ltd
    3,097       0.47 %
Investment Enterprise Partnership “NIF 21-One(1)”
    12,389       1.90 %
Axiom Venture Partners III, LP
    13,164       2.02 %
Index Ventures II (Jersey) LP
    13,033       2.00 %
Index Ventures II (Delaware) LP
    23,963       3.67 %
Index Ventures II GmbH & Co. KG
    3,831       0.59 %
Index Ventures II Parallel Entrepreneur Fund (Jersey - A) LP
    437       0.07 %
Index Ventures II Parallel Entrepreneur Fund (Jersey - B) LP
    685       0.10 %
Index Venture Management SA on behalf of Index Employee Invst. Plan
    638       0.10 %
WHI Morula Fund, LLC (William Harris Investors)
    2,052       0.31 %
HEWM / VLG Investments, LLC (Heller Ehrman)
    387       0.06 %
Dr. Michael G. Ehrlich
    193       0.03 %
Eliot M. Fried
    774       0.12 %
Burch, Ronald M., M.D., Ph.D.
    441       0.07 %
Ronald Burch
    15076       2.31 %
Jeffrey Rona
    11845       1.82 %
Anil Dasu
    1507       0.23 %
Davidson & Koppel Davidson
    646       0.10 %
Steve Engel
    2153       0.33 %
Patricia Richards
    2153       0.33 %
Paula Buckley
    861       0.13 %
Deborah Hopper
    646       0.10 %
John Minogue
    861       0.13 %
G. Hewson
    574       0.09 %
Dolores Lewis-Wellman
    258       0.04 %
Nicholas Stones
    430       0.07 %
John Cavan
    861       0.13 %
Rita Shah
    287       0.04 %
Tammy Miller
    430       0.07 %
Scott Wollaston
    430       0.07 %
Pamela Yurasek
    287       0.04 %
Patrick O’Meara
    287       0.04 %
Laurie Randazzo
    287       0.04 %
Crystal Smith
    143       0.02 %

 


 

                 
    Escrow   Percentage
Stockholder Name   Shares   Interest
Melissa Vicente
    143       0.02 %
Carter Eckert
    1076       0.16 %
Rosemary Fry
    287       0.04 %
 
               
 
    652,458       100.00 %

 

-----END PRIVACY-ENHANCED MESSAGE-----