0000932440-05-000065.txt : 20120705 0000932440-05-000065.hdr.sgml : 20120704 20050207200154 ACCESSION NUMBER: 0000932440-05-000065 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20050208 DATE AS OF CHANGE: 20050207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMION CORP CENTRAL INDEX KEY: 0001203866 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79338 FILM NUMBER: 05581876 BUSINESS ADDRESS: STREET 1: 2525 28TH STREET CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 720 564 9100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PROQUEST INVESTMENTS II LP CENTRAL INDEX KEY: 0001143544 IRS NUMBER: 223764772 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 600 ALEXANDER PARK STREET 2: SUITE 204 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 6099193560 MAIL ADDRESS: STREET 1: 600 ALEXANDER PARK STREET 2: SUITE 204 CITY: PRINCETON STATE: NJ ZIP: 08540 SC 13G 1 s13g-a_990848.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (AMENDMENT NO. 1)* UNDER THE SECURITIES EXCHANGE ACT OF 1934 PHARMION CORPORATION (Name of Issuer) COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 71715B 40 9 (CUSIP Number) DECEMBER 31, 2004 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) -------------------------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 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). 1 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ProQuest Investments II, L.P. 22-3764772 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES 6. SHARED VOTING POWER BENEFICIALLY 688,486 OWNED BY 7. SOLE DISPOSITIVE POWER EACH -0- REPORTING 8. SHARED DISPOSITIVE POWER PERSON WITH 688,486 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 688,486 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.17% 12. TYPE OF REPORTING PERSON** PN ** SEE INSTRUCTIONS BEFORE FILLING OUT 2 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ProQuest Investments II Advisors Fund, L.P. 22-3784567 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES 6. SHARED VOTING POWER BENEFICIALLY 29,212 OWNED BY 7. SOLE DISPOSITIVE POWER EACH -0- REPORTING 8. SHARED DISPOSITIVE POWER PERSON WITH 29,212 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 29,212 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.09% 12. TYPE OF REPORTING PERSON** PN ** SEE INSTRUCTIONS BEFORE FILLING OUT 3 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ProQuest Associates II LLC 22-3764735 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 717,698 EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH 8. SHARED DISPOSITIVE POWER 717,698 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 717,698 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.27% 12. TYPE OF REPORTING PERSON** OO ** SEE INSTRUCTIONS BEFORE FILLING OUT 4 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Jay Moorin 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 717,698 EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH 8. SHARED DISPOSITIVE POWER 717,698 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 748,948(1) 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.37% 12. TYPE OF REPORTING PERSON** IN ** SEE INSTRUCTIONS BEFORE FILLING OUT ----------------------- (1) Amount assumes exercise by Mr. Moorin of his stock options to purchase 31,250 shares of common stock. 5 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Alain Schreiber 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 Resident Alien 5. SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 717,698 EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH 8. SHARED DISPOSITIVE POWER 717,698 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 717,698 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.27% 12. TYPE OF REPORTING PERSON** IN ** SEE INSTRUCTIONS BEFORE FILLING OUT 6 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Joyce Tsang 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 717,698 EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH 8. SHARED DISPOSITIVE POWER 717,698 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 717,698 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.27% 12. TYPE OF REPORTING PERSON** IN ** SEE INSTRUCTIONS BEFORE FILLING OUT 7 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Pasquale DeAngelis 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 5. SOLE VOTING POWER NUMBER OF -0- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 717,698 EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH 8. SHARED DISPOSITIVE POWER 717,698 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 717,698 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES** |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.27% 12. TYPE OF REPORTING PERSON** IN ** SEE INSTRUCTIONS BEFORE FILLING OUT 8 ITEM 1(A). NAME OF ISSUER. Pharmion Corporation (the "Company"). ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. The Company's principal executive offices are located at 2525 28th Street, Boulder, CO 80301. ITEMS 2(A). NAME OF PERSON FILING. This statement is filed on behalf of the following persons with respect to shares of common stock of the Company and stock options to purchase shares of common stock of the Company: (i) ProQuest Investments II, L.P., a Delaware limited partnership ("Investments II"), with respect to Shares beneficially owned by it; (ii) ProQuest Investments II Advisors Fund, L.P., a Delaware limited partnership ("Advisors Fund"), with respect to Shares beneficially owned by it; (iii) ProQuest Associates II LLC, a Delaware limited liability company ("Associates II"), as General Partner of Investments II and Advisors Fund, with respect to Shares beneficially owned by Investments II and Advisors Fund; (iv) Jay Moorin, an individual and a member of Associates II ("Moorin"), with respect to Shares beneficially owned by Investments II and Advisors Fund; (v) Alain Schreiber, an individual and a member of Associates II ("Schreiber"), with respect to Shares beneficially owned by Investments II and Advisors Fund; (vi) Joyce Tsang, an individual and a member of Associates II ("Tsang"), with respect to Shares beneficially owned by Investments II and Advisors Fund; and (vii) Pasquale DeAngelis, an individual and a member of Associates II ("DeAngelis"), with respect to Shares beneficially owned by Investments II and Advisors Fund. The foregoing persons are hereinafter are referred to collectively as the "Reporting Persons." Any disclosures herein with respect to persons other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE. The address of the principal business office of each of the Reporting Persons is 600 Alexander Park, Suite 204, Princeton, NJ 08540. 9 ITEM 2(C). CITIZENSHIP. Mr. Moorin, Ms. Tsang and Mr. DeAngelis are United States citizens. Mr. Schreiber is a United States resident alien. Investments II and Advisors Fund are Delaware limited partnerships organized under the laws of the State of Delaware. Associates II is a Delaware limited liability company organized under the laws of the State of Delaware. ITEM 2(D). TITLE OF CLASS OF SECURITIES. Common stock, par value $0.001 per share. ITEM 2(E). CUSIP NUMBER. 71715B 40 9 ITEM 3. If this statement is filed pursuant to Rules 13d-1(b)or 13d- 2(b)or (c), check whether the person filing is a: (a) |_| Broker or dealer registered under Section 15 of the Act, (b) |_| Bank as defined in Section 3(a)(6)of the Act, (c) |_| Insurance Company as defined in Section 3(a)(19)of the Act, (d) |_| Investment Company registered under Section 8 of the Investment Company Act of 1940, (e) |_| Investment Adviser in accordance with Rule 13d-1 (b)(1)(ii)(E), (f) |_| Employee Benefit Plan or Endowment Fund in accordance with 13d-1 (b)(1)(ii)(F), (g) |_| Parent Holding Company or control person in accordance with Rule 13d-1 (b)(1)(ii)(G), (h) |_| Savings Association as defined in Section 3(b)of the Federal Deposit Insurance Act, (i) |_| Church Plan that is excluded from the definition of an investment company under Section 3(c)(14)of the Investment Company Act of 1940, (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to 13d-1(c), check this box: |X| 10 ITEM 4. OWNERSHIP. The percentages used herein are calculated based upon 31,656,158 shares issued and outstanding, as of November 5, 2004, based upon the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2004. As of the close of business on December 31, 2004, the Reporting Persons owned shares of the Company's common stock in the amounts and percentages listed below: A. PROQUEST INVESTMENTS II, L.P. (a) Amount beneficially owned: 688,486 (b) Percent of class: 2.17% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 688,486 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 688,486 B. PROQUEST INVESTMENTS II ADVISORS FUND, L.P. (a) Amount beneficially owned: 29,212 (b) Percent of class: 0.09% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 29,212 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 29,212 C. PROQUEST ASSOCIATES II LLC (a) Amount beneficially owned: 717,698 (b) Percent of class: 2.27% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 717,698 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 717,698 11 G. JAY MOORIN (a) Amount beneficially owned: 748,948 (assumes exercise by Mr. Moorin of his stock options to purchase 31,250 shares of common stock) (b) Percent of class: 2.37% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 717,698407 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 717,698 H. ALAIN SCHREIBER (a) Amount beneficially owned: 717,698 (b) Percent of class: 2.27% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 717,698 (iii) Sole power to dispose or direct the disposition: -0- (iv)Shared power to dispose or direct the disposition: 717,698 I. JOYCE TSANG (a) Amount beneficially owned: 717,698 (b) Percent of class: 2.27% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 717,698 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 717,698 J. PASQUALE DEANGELIS (a) Amount beneficially owned: 1,435,407 (b) Percent of class: 2.27% (c) (i) Sole power to vote or direct the vote: -0- 12 (ii) Shared power to vote or direct the vote: 717,698 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 717,698 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 has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. |X| ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. To the knowledge of the Reporting Persons, no other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, a number of the Shares which represents more than five percent of the number of outstanding shares of the Shares. 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. CERTIFICATIONS. Each of the Reporting Persons hereby makes the following 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. 13 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: February 7, 2005 /s/ Pasquale DeAngelis --------------------------------------- Pasquale DeAngelis, individually, as a member of ProQuest Associates II LLC, and as a member of ProQuest Associates II LLC on behalf of ProQuest Investments II, L.P. and ProQuest Investments II Advisors Fund, L.P. * --------------------------------------- Jay Moorin, individually * --------------------------------------- Alain Schreiber, individually * --------------------------------------- Joyce Tsang, individually *By: /s/ Pasquale DeAngelis -------------------------------------- Pasquale DeAngelis, Attorney-in-Fact Power of attorney filed as an exhibit hereto Index Exhibit SCHEDULE 13G EXHIBIT NUMBER EXHIBIT DESCRIPTION -------------- ------------------- 99.1 Joint Filing Agreement 99.2 Power of Attorney 14 EX-99 2 ex99-1_990863.txt EXHIBIT 99 - JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of common stock of Pharmion Corporation is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended. The undersigned hereby further agree that this Joint Filing Agreement be included as an exhibit to such statement and any such amendment. This Joint Filing Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument. Dated: As of April 14, 2004 * -------------------------------------- Pasquale DeAngelis, individually, as a member of ProQuest Associates II LLC, as a member of ProQuest Associates II LLC on behalf of ProQuest Investments II, L.P. and ProQuest Investments II Advisors Fund, L.P. * -------------------------------------- Jay Moorin, individually * -------------------------------------- Alain Schreiber, individually * -------------------------------------- Joyce Tsang, individually *By: /s/ Pasquale DeAngelis ------------------------------------ Pasquale DeAngelis, Attorney-in-Fact Power of attorney filed as an exhibit hereto EX-24 3 ex99-2_990855.txt EXHIBIT 24 - POWER OF ATTORNEY Exhibit 24 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each of the undersigned hereby constitutes and appoints, as of the date hereof, Pasquale DeAngelis, his or her true and lawful attorney-in-fact with full power of substitution, resubstitution and revocation, for the undersigned and in the undersigned's name, place and stead, in any and all capacities, including, but not limited to, the undersigned's individual capacity and the undersigned's capacity as a member of ProQuest Associates II LLC, a Delaware limited liability company ("Associates II"), to execute all agreements, certificates, forms, instruments, or other documents, and to take any action, necessary to file beneficial ownership reports on Schedules 13D and 13G and Forms 3, 4 and 5 (including any amendments thereto, and including any beneficial ownership reports which may in the future be required by the Securities and Exchange Commission to be filed provided that the purpose and form of such reports is substantially similar to Schedules 13D or 13G or Form 3, 4 or 5) under the Securities Exchange Act of 1934 with the Securities and Exchange Commission or any stock exchange or similar authority, in connection with any equity investments in Pharmion Corporation by each of the undersigned in his or her individual capacity and by each of ProQuest Investments II, L.P. ("Investments II) and ProQuest Investments II Advisors Fund, L.P. ("Advisors", and together with Associates II and Investments II, the "Companies"). In connection with the appointment of such attorney-in-fact, each of the undersigned hereby grants unto said attorney-in-fact full power and authority to do and perform each and every act and thing which, in the opinion of such attorney-in-fact, may be requisite, necessary, proper or of benefit to be done in and about the premises, as fully to all intents and purposes as the undersigned might or could do in person, thereby ratifying and confirming all that said attorney-in-fact (or attorney-in-fact's substitute or substitutes), may lawfully do or cause to be done by virtue hereof, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his own discretion. Each of the undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming any of the undersigned's or the Companies' responsibilities to comply with Section 13 or Section 16 of the Securities Exchange Act of 1934. Dated: As of April 14, 2004 /s/ Jay Moorin ----------------------------------- Jay Moorin /s/ Alain Schreiber ----------------------------------- Alain Schreiber /s/ Joyce Tsang ----------------------------------- Joyce Tsang