-----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, Tottj6viWRYnJDSlTEnE1OD1TdACYnaiIp7O+EAQDFwZAQWqPwck35EGkpc7fUSX xLWA0XmotEfGsvcF6eWuUw== 0000898432-04-000284.txt : 20040319 0000898432-04-000284.hdr.sgml : 20040319 20040319152731 ACCESSION NUMBER: 0000898432-04-000284 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040319 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HALOZYME THERAPEUTICS INC CENTRAL INDEX KEY: 0001159036 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 880488686 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78830 FILM NUMBER: 04680052 BUSINESS ADDRESS: STREET 1: 11588 SORRENTO VALLEY ROAD STREET 2: SUITE 17 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: (858) 794-8889 FORMER COMPANY: FORMER CONFORMED NAME: GLOBAL YACHT SERVICES INC DATE OF NAME CHANGE: 20010912 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SPANIER JONATHAN CENTRAL INDEX KEY: 0001284226 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 8732 ST. IVES DR CITY: LOS ANGELES STATE: CA ZIP: 90059 BUSINESS PHONE: 3104878373 MAIL ADDRESS: STREET 1: 8732 ST. VIES DR CITY: LOS ANGELES STATE: CA ZIP: 90069 SC 13G 1 grovestreet_13g.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-L(B), (C) AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO 13D-2 ( AMENDMENT __)* HALOZYME THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK, $0.01 PAR VALUE (Title of Class of Securities) 40637H 10 9 ____________________ (CUSIP Number) David Ramsay, 11588 Sorento Valley Road San Diego, California 92121 (858) 794-8889 _______________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) March 12, 2004 __________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-l(b) /X/ Rule 13d-l(c) / / Rule 13d-l(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 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). SCHEDULE 13G - -------------------------------- --------------------------- CUSIP NO. 40637H 10 9 PAGE 2 OF 6 PAGES - -------------------------------- --------------------------- - ---------- ----------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 SS. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Jonathan Spanier - ---------- ----------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) - ---------- ----------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ---------- ----------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 2,800,270 -------- -------------------------------------------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER EACH REPORTING N/A -------- -------------------------------------------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 2,800,270 -------- -------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER N/A - ---------- ----------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,800,270 - ---------- ----------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES / / - ---------- ----------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.2 - ---------- ----------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - ---------- -----------------------------------------------------------------------------------------------------------
SCHEDULE 13G - -------------------------------- --------------------------- 40637H 10 9 PAGE 3 OF 6 PAGES - -------------------------------- --------------------------- ITEM 1(A). NAME OF ISSUER: Halozyme Therapeutics, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 11588 Sorento Valley Rd. San Diego, California 92121 ITEM 2(A). NAME OF PERSON FILING: The Person filing this is Jonathan Spanier ITEM 2(B). ADDRESS OF PRINCIPAL OFFICES OR, IF NONE, RESIDENCE: 8732 St. Ives Drive, Los Angeles, California 90069 ITEM 2(C). CITIZENSHIP: United States ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(E). CUSIP NUMBER: 40637H 10 9 SCHEDULE 13G - -------------------------------- --------------------------- CUSIP NO. 40637H 10 9 PAGE 4 OF 6 PAGES - -------------------------------- --------------------------- ITEM 3. IF THE STATEMENT IS BEING FILED PURSUANT TO RULE 13D-L(B), OR 13D-2(B) OR (C), CHECK WHETHER THE FILING PERSON IS A: (a)/ / Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b)/ / Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c)/ / Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d)/ / Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e)/ / An investment adviser in accordance with l3d-l(b)(I)(ii)(E); (f)/ / An employee benefit plan or endowment fund in accordance with 13d-1 (b)(1)(ii)(F); (g)/ / A parent holding company or control person in accordance with 13d-l(b)(1)(ii)(G); (h)/ / A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); (i)/ / A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)/ / Group, in accordance with l3d-l(b)(l)(ii)(J). If this statement is filed pursuant to 13d-1(c), check this box. /X/ ITEM 4. OWNERSHIP: The information in Items 5-11 on the cover page (page 2) of this Schedule 13G is incorporated by reference. Includes 1,390,257 shares and 655,219 warrants to purchase shares, 474,890 shares and 211,570 warrants to purchase shares held by Jonathan Spanier IRA Account, includes 50,000 shares held by Jonathan Spanier under a custodial accounts for the benefit of a minor. Also includes 11,667 shares and 6,667 warrants to purchase share held by Grove Capital, LLC in which Jonathan Spanier is a member. Each of Jonathan Spanier and the Jonathan Spanier IRA Account may be deemed beneficial owners of the shares held by Grove Capital, LLC however, each disclaims beneficial ownership except to the extent of their pecuniary interest therein. SCHEDULE 13G - -------------------------------- --------------------------- CUSIP NO. 40637H 10 9 PAGE 5 OF 6 PAGES - -------------------------------- --------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person had ceased to be the beneficial owner of more than five percent of the class of securities, check the following / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SCHEDULE 13G - -------------------------------- --------------------------- CUSIP NO. 40637H 10 9 PAGE 6 OF 6 PAGES - -------------------------------- --------------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: March 18, 2004 By: /s/ Jonathan Spanier -------------------- Jonathan Spanier The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION. INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----