-----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, EFiUQW6SAF/+wBUEoBh6Wrn9Ps8OhtFPCFx8gWL5OJVJjDYeiySu4AhW84AOehoV j3PS0uZkkzd1/M2+6vXWjQ== 0000950005-06-000129.txt : 20060213 0000950005-06-000129.hdr.sgml : 20060213 20060213151107 ACCESSION NUMBER: 0000950005-06-000129 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060213 DATE AS OF CHANGE: 20060213 GROUP MEMBERS: ALIX MARDUEL GROUP MEMBERS: ALTA BIOPHARMA MANAGEMENT III, LLC GROUP MEMBERS: ALTA BIOPHARMA PARTNERS III GMBH & CO. BETEILIGUNGS KG GROUP MEMBERS: ALTA BIOPHARMA PARTNERS III, L.P. GROUP MEMBERS: ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC GROUP MEMBERS: ALTA CALIFORNIA PARTNERS III, L.P. GROUP MEMBERS: ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC GROUP MEMBERS: ALTA EMBARCADERO PARTNERS III, LLC GROUP MEMBERS: ALTA PARTNERS II, INC. GROUP MEMBERS: ALTA PARTNERS III, INC. GROUP MEMBERS: DANIEL JANNEY GROUP MEMBERS: EDWARD HURWITZ GROUP MEMBERS: EDWARD PENHOET GROUP MEMBERS: FARAH CHAMPSI GROUP MEMBERS: GARRETT GRUENER GROUP MEMBERS: GUY NOHRA GROUP MEMBERS: JEAN DELEAGE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COTHERIX INC CENTRAL INDEX KEY: 0001138812 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 043513144 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80298 FILM NUMBER: 06603072 BUSINESS ADDRESS: STREET 1: 5000 SHORELINE COURT STREET 2: SUITE 101 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-808-6500 MAIL ADDRESS: STREET 1: 5000 SHORELINE COURT STREET 2: SUITE 101 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: EXHALE THERAPEUTICS INC DATE OF NAME CHANGE: 20010503 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTA PARTNERS CENTRAL INDEX KEY: 0001060013 IRS NUMBER: 943238854 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153624022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 4050 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 p19664_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 COTHERIX, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 22163T103 (CUSIP Number) December 31, 2005 (Date of Event That 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. 22163T103 Page 2 of 27 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 3 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Partners III, 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 4 of 27 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 5 of 27 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 6 of 27 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 7 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person PN - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 8 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Management 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 9 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta BioPharma Partners III GmbH & Co. Beteiligungs KG - -------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Germany - -------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 10 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alta Embarcadero BioPharma 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 -0- Beneficially Owned By Each Reporting (6) Shared Voting Power 2,953,786 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 2,953,786 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,953,786 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) 9.06% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person CO - -------------------------------------------------------------------------------- CUSIP No. 22163T103 Page 11 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Jean Deleage - -------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power 215 Beneficially Owned By Each Reporting (6) Shared Voting Power 948,949 Person With (7) Sole Dispositive Power 215 (8) Shared Dispositive Power 948,949 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 949,164 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) 2.91% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 12 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Alix Marduel - -------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power 134 Beneficially Owned By Each Reporting (6) Shared Voting Power 948,949 Person With (7) Sole Dispositive Power 134 (8) Shared Dispositive Power 948,949 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 949,083 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) 2.91% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 13 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Farah Champsi - -------------------------------------------------------------------------------- (2) Check The Appropriate Box If A Member Of A Group (a) (b) X - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Please see Attachment A Number Of Shares (5) Sole Voting Power 134 Beneficially Owned By Each Reporting (6) Shared Voting Power 948,949 Person With (7) Sole Dispositive Power 134 (8) Shared Dispositive Power 948,949 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 949,083 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) 2.91% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 14 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Edward Penhoet - -------------------------------------------------------------------------------- (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 134 Beneficially Owned By Each Reporting (6) Shared Voting Power 948,949 Person With (7) Sole Dispositive Power 134 (8) Shared Dispositive Power 948,949 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 949,083 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) 2.91% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 15 of 27 Pages - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Edward Hurwitz - -------------------------------------------------------------------------------- (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 948,949 Person With (7) Sole Dispositive Power -0- (8) Shared Dispositive Power 948,949 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 948,949 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) 2.91% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 16 of 27 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 242 Beneficially Owned By Each Reporting (6) Shared Voting Power 2,004,837 Person With (7) Sole Dispositive Power 242 (8) Shared Dispositive Power 2,004,837 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,005,079 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) 6.15% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 17 of 27 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 869 Beneficially Owned By Each Reporting (6) Shared Voting Power 2,004,837 Person With (7) Sole Dispositive Power 869 (8) Shared Dispositive Power 2,004,837 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,005,706 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) 6.16% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22163T103 Page 18 of 27 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 46,319 Beneficially Owned By Each Reporting (6) Shared Voting Power 2,004,837 Person With (7) Sole Dispositive Power 46,319 (8) Shared Dispositive Power 2,004,837 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned By Each Reporting Person 2,051,156 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) 6.29% Please see Attachment A - -------------------------------------------------------------------------------- (12) Type Of Reporting Person IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1. (a) Name of Issuer: CoTherix, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 5000 Shoreline Court, Suite 101 South San Francisco, CA 94080 Item 2. (a) Name of Person Filing: Alta Partners II, Inc. ("APII") Alta Partners III, Inc. ("APIII") Alta California Partners III, L.P. ("ACPIII") Alta California Management Partners III, LLC ("ACMPIII") Alta Embarcadero Partners III, LLC ("AEPIII") Alta BioPharma Partners III, L.P. ("ABPIII") Alta BioPharma Management III, LLC ("ABPMIII") Alta BioPharma Partners III GmbH & Co. Beteiligungs KG ("ABPIIIKG") Alta Embarcadero BioPharma Partners III, LLC ("AEBPIII") Jean Deleage ("JD") Garrett Gruener ("GG") Guy Nohra ("GN") Daniel Janney ("DJ") Alix Marduel ("AM") Farah Champsi ("FC") Edward Penhoet ("EP") Edward Hurwitz ("EH") (b) Address of Principal Business Office: One Embarcadero Center, Suite 4050 San Francisco, CA 94111 (c) Citizenship/Place of Organization: Entities: APII - California APIII California ACPIII - Delaware ACMPIII Delaware AEPIII California ABPIII Delaware ABPMIII Delaware ABPIIIKG Germany AEBPIII California Individuals: JD United States GG United States DJ United States GN United States AM United States FC United States EP United States EH United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 22163T103 Item 3. Not applicable. Item 4 Ownership. Please see Attachment A
- ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- APII APIII ACPIII ACMPIII AEPIII ABPIII ABPMIII ABPIIIKG - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (a) Beneficial 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 Ownership - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (b) Percentage of 9.06% 9.06% 9.06% 9.06% 9.06% 9.06% 9.06% 9.06% Class - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (c) Sole Voting -0- -0- -0- -0- -0- -0- -0- -0- Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared Voting 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Sole -0- -0- -0- -0- -0- -0- -0- -0- Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 2,953,786 Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- AEBPIII JD AM FC EP EH GG DJ - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (a) Beneficial 2,953,786 949,164 949,083 949,083 949,083 948,949 2,005,079 2,051,156 Ownership - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (b) Percentage of 9.06% 2.91% 2.91% 2.91% 2.91% 2.91% 6.15% 6.29% Class - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (c) Sole Voting -0- 215 134 134 134 -0- 242 46,319 Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared Voting 2,953,786 948,949 948,949 948,949 948,949 948,949 2,004,837 2,004,837 Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Sole -0- 215 134 134 134 -0- 242 46,319 Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared 2,953,786 948,949 948,949 948,949 948,949 948,949 2,004,837 2,004,837 Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
- ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- GN - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (a) Beneficial 2,005,706 Ownership - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (b) Percentage of 6.16% Class - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- (c) Sole Voting 869 Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared Voting 2,004,837 Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Sole 869 Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ ----------- Shared 2,004,837 Dispositive Power - ------- ----------------- ------------ ----------- ------------ ----------- ------------- ------------ ------------ -----------
Item 5. Ownership of Five Percent or Less of a Class See Item 4 Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below we certify that, to the best of our knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. EXHIBITS A: Joint Filing Statement SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 8, 2006
ALTA PARTNERS II, INC. ALTA CALIFORNIA PARTNERS III, L.P. By: Alta California Management Partners III, LLC By: /s/ Jean Deleage By: /s/ Daniel Janney -------------------------------- ----------------------------------- Jean Deleage, President Daniel Janney, Managing Director ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC ALTA EMBARCADERO PARTNERS III, LLC By: /s/ Daniel Janney By: /s/ Daniel Janney -------------------------------- ----------------------------------- Daniel Janney, Managing Director Daniel Janney, Manager /s/ Garrett Gruener /s/ Guy Nohra -------------------------------- ----------------------------------- Garrett Gruener Guy Nohra /s/ Daniel Janney -------------------------------- Daniel Janney ALTA PARTNERS III, INC. By: /s/ Jean Deleage -------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS III, L.P. ALTA BIOPHARMA MANAGEMENT III, LLC By: Alta BioPharma Management III, LLC By: /s/ Alix Marduel By: /s/ Alix Marduel -------------------------------- ----------------------------------- Alix Marduel, Director Alix Marduel, Director
ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC ALTA BIOPHARMA PARTNERS III GMBH &CO. BETEILIGUNGS KG By: Alta BioPharma Management III, LLC By: /s/ Alix Marduel /s/ Alix Marduel -------------------------------- ----------------------------------- Alix Marduel, Manager Alix Marduel, Director /s/ Jean Deleage /s/ Farah Champsi -------------------------------- ----------------------------------- Jean Deleage Farah Champsi /s/ Alix Marduel /s/ Edward Hurwitz -------------------------------- ----------------------------------- Alix Marduel Edward Hurwitz /s/ Edward Penhoet -------------------------------- Edward Penhoet
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 8, 2006 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.
ALTA PARTNERS II, INC. ALTA CALIFORNIA PARTNERS III, L.P. By: Alta California Management Partners III, LLC By: /s/ Jean Deleage By: /s/ Daniel Janney -------------------------------- ----------------------------------- Jean Deleage, President Daniel Janney, Managing Director ALTA CALIFORNIA MANAGEMENT PARTNERS III, LLC ALTA EMBARCADERO PARTNERS III, LLC By: /s/ Daniel Janney By: /s/ Daniel Janney -------------------------------- ----------------------------------- Daniel Janney, Managing Director Daniel Janney, Manager /s/ Garrett Gruener /s/ Guy Nohra -------------------------------- ----------------------------------- Garrett Gruener Guy Nohra /s/ Daniel Janney -------------------------------- Daniel Janney ALTA PARTNERS III, INC. By: /s/ Jean Deleage -------------------------------- Jean Deleage, President ALTA BIOPHARMA PARTNERS III, L.P. ALTA BIOPHARMA MANAGEMENT III, LLC By: Alta BioPharma Management III, LLC By: /s/ Alix Marduel By: /s/ Alix Marduel -------------------------------- ----------------------------------- Alix Marduel, Director Alix Marduel, Director
ALTA EMBARCADERO BIOPHARMA PARTNERS III, LLC ALTA BIOPHARMA PARTNERS III GMBH &CO. BETEILIGUNGS KG By: Alta BioPharma Management III, LLC By: /s/ Alix Marduel /s/ Alix Marduel -------------------------------- ----------------------------------- Alix Marduel, Manager Alix Marduel, Director /s/ Jean Deleage /s/ Farah Champsi -------------------------------- ----------------------------------- Jean Deleage Farah Champsi /s/ Alix Marduel /s/ Edward Hurwitz -------------------------------- ----------------------------------- Alix Marduel Edward Hurwitz /s/ Edward Penhoet -------------------------------- Edward Penhoet
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. now beneficially owns 1,942,611 shares of Common Stock. Alta Embarcadero Partners III, LLC beneficially owns 62,226 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 the funds. The principals of Alta Partners II, Inc. disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Mr. 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 1,942,611 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 62,226 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. The Daniel Janney and Noelle Montgomery Family Trust beneficially own 869 shares of Common Stock that it received on 11/17/05 from the stock distribution made by Alta California Partners III, L.P. He also owns stock options to purchase 45,450 shares of Common Stock; of which 18,180 shares of Common Stock granted on 1/6/04, vest quarterly over 3 years of service with an expiration date of 1/5/2014; 6,060 shares of Common Stock granted on 1/6/04 vest quarterly over 1 year of service with an expiration date of 1/5/2014; 15,150 shares of Common Stock granted on 1/16/04 vest quarterly over 3 years of service with an expiration date of 1/16/2014 and 6,060 shares of Common Stock granted on 1/3/05 vest quarterly over 1 year of service with an expiration date of 1/2/2014. 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 1,942,611 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 62,226 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. The Guy Paul Nohra and Linda Nohra, Nohra Living Trust beneficially owns 869 shares of Common Stock that it received on 11/17/05. 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 1,942,611 shares of Common Stock beneficially owned by Alta California Partners III, L.P. and the 62,226 shares of Common Stock beneficially owned by Alta Embarcadero Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Gruener beneficially owns 242 shares of Common Stock that he received on 11/17/05. Alta Partners III, Inc. provides investment advisory services to several venture capital funds including Alta BioPharma Partners III, L.P., Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and Alta Embarcadero BioPharma Partners III, LLC. Alta BioPharma Partners III, L.P. owns beneficially owns 869,164 shares of Common Stock, Alta BioPharma Partners GmbH & Co. Beteiligungs KG beneficially owns 58,370 shares of Common Stock and Alta Embarcadero BioPharma Partners III, LLC beneficially owns 21,415 shares Common Stock. The managing directors of Alta BioPharma Partners III, L.P., the managing limited partner of Alta BioPharma Partners III GmbH & Co. Beteiligungs KG, and the managers of Alta Embarcadero BioPharma Partners III, LLC exercise sole voting and investment power in respect to the shares owned by such funds. Certain principals of Alta Partners III, Inc. are directors of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P. and the managing limited partner of Alta BioPharma Partners III GmbH & Co. Beteiligungs KG), and managers of Alta Embarcadero BioPharma Partners III, LLC. As directors and managers of such entities, they may be deemed to share voting and investment powers over the shares beneficially held by the funds. The principals of Alta Partners III, Inc. disclaim beneficial ownership of all such shares held by the foregoing funds, except to the extent of their proportionate pecuniary interests therein. Mr. Jean Deleage is a director of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and dispositive powers over the 869,164 shares of Common Stock beneficially owned by Alta BioPharma Partners III, L.P., the 58,370 shares of Common Stock beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG, and the 21,415 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. . Mr. Deleage beneficially owns 215 shares of Common Stock that he received on 11/17/05. Ms. Farah Champsi is a director of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta Embarcadero BioPharma Partners III, LLC. Thus she currently shares voting and dispositive powers over the 869,164 shares of Common Stock beneficially owned by Alta BioPharma Partners III, L.P., the 58,370 shares of Common Stock beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG, and the 21,415 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners III, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of her proportionate pecuniary interests therein. The 1999 Farah Champsi Revocable Trust beneficially owns 134 shares of Common Stock that it received on 11/17/05. Dr. Alix Marduel is a director of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta Embarcadero BioPharma Partners III, LLC. Thus she currently shares voting and dispositive powers over the 869,164 shares of Common Stock beneficially owned by Alta BioPharma Partners III, L.P., the 58,370 shares of Common Stock beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG, and the 21,415 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners III, LLC. She disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of her proportionate pecuniary interests therein. The Lockard/Marduel Revocable Trust beneficially owns 134 shares of Common Stock that it received on 11/17/05. Mr. Edward Hurwitz is a director of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and dispositive powers over the 869,164 shares of Common Stock beneficially owned by Alta BioPharma Partners III, L.P., the 58,370 shares of Common Stock beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and the 21,415 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Edward Penhoet is a director of Alta BioPharma Management III, LLC (which is the general partner of Alta BioPharma Partners III, L.P.) and a manager of Alta Embarcadero BioPharma Partners III, LLC. Thus he currently shares voting and dispositive powers over the 869,164 shares of Common Stock beneficially owned by Alta BioPharma Partners III, L.P., the 58,370 shares of Common Stock beneficially owned by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG and the 21,415 shares of Common Stock beneficially owned by Alta Embarcadero BioPharma Partners III, LLC. He disclaims beneficial ownership of all such shares held by all of the foregoing funds except to the extent of his proportionate pecuniary interests therein. Mr. Penhoet beneficially owns 134 shares of Common Stock that he received on 11/17/05. Alta Partners II, Inc. and Alta Partners III, Inc. are venture capital firms that share an office in San Francisco. Alta Partners II, Inc. is a California Corporation. Alta California Partners III, L.P. is a Delaware Limited Partnership, Alta California Management Partners III, LLC is a Delaware Limited Liability Company and Alta Embarcadero Partners III, LLC is a California Limited Liability Company. Alta Partners III, Inc. is a California Corporation. Alta BioPharma Partners III, L.P. is a Delaware Limited Partnership, Alta BioPharma Management III, LLC is a Delaware Limited Liability Company, Alta BioPharma Partners III GmbH & Co. Beteiligungs KG is a German Limited Partnership and Alta Embarcadero BioPharma Partners III, LLC is a California Limited Liability Company. -----END PRIVACY-ENHANCED MESSAGE-----