UNITED STATES
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SECURITIES AND EXCHANGE COMMISSION
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Washington, DC 20549
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SCHEDULE 13G
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Under the Securities Exchange Act of 1934*
(Rule 13d-102)
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(Amendment No. )
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Durata Therapeutics, Inc.
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(Name of Issuer)
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Common Stock, par value $0.01 per share
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(Title of Class of Securities)
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26658A107
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(CUSIP Number)
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April 12, 2013
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(Date of Event Which Requires Filing of This Statement)
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES VI, LLC
|
||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
(b)
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[ ]
[X]
|
||
3
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SEC USE ONLY
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||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
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DELAWARE
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|||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
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5
|
SOLE VOTING POWER
|
0
|
||
6
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SHARED VOTING POWER
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357,143
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|||
7
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SOLE DISPOSITIVE POWER
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0
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|||
8
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SHARED DISPOSITIVE POWER
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357,143
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|||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
357,143
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|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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[ ]
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|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
1.3%
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|||
12
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TYPE OF REPORTING PERSON
|
OO
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES FUND VI, 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
|
|||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
|
5
|
SOLE VOTING POWER
|
0
|
||
6
|
SHARED VOTING POWER
|
354,546
|
|||
7
|
SOLE DISPOSITIVE POWER
|
0
|
|||
8
|
SHARED DISPOSITIVE POWER
|
354,546
|
|||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
354,546
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
[ ]
|
|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
1.3%
|
|||
12
|
TYPE OF REPORTING PERSON
|
PN
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES VI AFFILIATES FUND, L.P.
|
||||
2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
(b)
|
[ ]
[X]
|
||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
DELAWARE
|
|||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
|
5
|
SOLE VOTING POWER
|
0
|
||
6
|
SHARED VOTING POWER
|
2,597
|
|||
7
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SOLE DISPOSITIVE POWER
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0
|
|||
8
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SHARED DISPOSITIVE POWER
|
2,597
|
|||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
2,597
|
|||
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
[ ]
|
|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
<0.1%
|
|||
12
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TYPE OF REPORTING PERSON
|
PN
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES VII, LLC
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
(b)
|
[ ]
[X]
|
||
3
|
SEC USE ONLY
|
||||
4
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CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
|
||||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
|
5
|
SOLE VOTING POWER
|
0
|
||
6
|
SHARED VOTING POWER
|
1,428,571
|
|||
7
|
SOLE DISPOSITIVE POWER
|
0
|
|||
8
|
SHARED DISPOSITIVE POWER
|
1,428,571
|
|||
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
1,428,571
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
[ ]
|
|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
5.4%
|
|||
12
|
TYPE OF REPORTING PERSON
|
OO
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES FUND VII, 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
|
|||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
|
5
|
SOLE VOTING POWER
|
0
|
||
6
|
SHARED VOTING POWER
|
1,412,000
|
|||
7
|
SOLE DISPOSITIVE POWER
|
0
|
|||
8
|
SHARED DISPOSITIVE POWER
|
1,412,000
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
1,412,000
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
[ ]
|
|||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
5.3%
|
|||
12
|
TYPE OF REPORTING PERSON
|
PN
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
VIVO VENTURES VII AFFILIATES FUND, 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
|
|||
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
|
5
|
SOLE VOTING POWER
|
0
|
||
6
|
SHARED VOTING POWER
|
16,571
|
|||
7
|
SOLE DISPOSITIVE POWER
|
0
|
|||
8
|
SHARED DISPOSITIVE POWER
|
16,571
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
16,571
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
[ ]
|
|||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
0.1%
|
|||
12
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TYPE OF REPORTING PERSON
|
PN
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Item 1(a).
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Name of Issuer:
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Durata Therapeutics, Inc. (the “Issuer”)
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Item 1(b).
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Address of Issuer’s Principal Executive Offices:
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200 S. Wacker Drive, Suite 2550, Chicago, IL 60606
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Item 2(a).
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Name of Person Filing:
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This statement is filed on behalf of the following persons with respect to shares of common stock of the Issuer:
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(i)
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Vivo Ventures VI, LLC, a Delaware limited liability company (“Vivo VI”), as general partner of Vivo Ventures Fund VI, L.P. (“VV Fund VI”) and Vivo Ventures VI Affiliates Fund, L.P. (“Affiliates Fund VI”), with respect to shares held by VV Fund VI and Affiliates Fund VI;
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(ii)
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Vivo Ventures Fund VI, L.P., a Delaware limited partnership, with respect to shares held by it;
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(iii)
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Vivo Ventures VI Affiliates Fund, L.P., a Delaware limited partnership, with respect to shares held by it;
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(iv)
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Vivo Ventures VII, LLC, a Delaware limited liability company (“Vivo VII”), as general partner of Vivo Ventures Fund VII, L.P. (“VV Fund VII”) and Vivo Ventures VII Affiliates Fund, L.P. (“Affiliates Fund VII”), with respect to shares held by VV Fund VII and Affiliates Fund VII;
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(v)
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Vivo Ventures Fund VII, L.P., a Delaware limited partnership, with respect to shares held by it; and
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(vi)
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Vivo Ventures VII Affiliates Fund, L.P., a Delaware limited partnership, with respect to shares held by it.
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The foregoing persons are hereinafter referred to collectively as the “Reporting Persons.”
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Item 2(b).
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Address of Principal Business Office or, if none, Residence:
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575 High Street, Suite 201, Palo Alto, CA 94301
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Item 2(c).
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Citizenship:
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Vivo Ventures VI, LLC is a limited liability company organized under the laws of the State of Delaware.
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Vivo Ventures Fund VI, L.P. is a limited partnership organized under the laws of the State of Delaware.
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Vivo Ventures VI Affiliates Fund, L.P. is a limited partnership organized under the laws of the State of Delaware.
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Vivo Ventures VII, LLC is a limited liability company organized under the laws of the State of Delaware.
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Vivo Ventures Fund VII, L.P. is a limited partnership organized under the laws of the State of Delaware.
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Vivo Ventures VII Affiliates Fund, L.P. is a limited partnership organized under the laws of the State of Delaware.
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Item 2(d).
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Title of Class of Securities:
|
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Common Stock, par value $0.01 per share (the “Common Stock”)
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Item 2(e).
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CUSIP Number: 26658A107
|
|
Item 3.
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Not applicable.
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Item 4.
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Ownership.
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Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.
|
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(a)
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Amount Beneficially Owned:
|
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Vivo VI. Vivo VI is the general partner of VV Fund VI and Affiliates Fund VI. Accordingly, Vivo VI may be deemed to have indirect beneficial ownership of shares of the Issuer directly owned by VV Fund VI and Affiliates Fund VI. As of the date of this filing, VV Fund VI and Affiliates Fund VI beneficially own 354,546 and 2,597 shares of Common Stock, respectively.
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Vivo VII. Vivo VII is the general partner of both VV Fund VII and Affiliates Fund VII. Accordingly, Vivo VII may be deemed to have indirect beneficial ownership of shares of the Issuer directly owned by VV Fund VII and Affiliates Fund VII. As of the date of this filing, VV Fund VII and Affiliates Fund VII beneficially own 1,412,000 and 16,571 shares of Common Stock, respectively.
|
||
Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of such Reporting Person's pecuniary interest in such securities.
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(b)
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Percent of Class:
|
Reporting Person
|
Percent
|
||
Vivo Ventures VI, LLC
|
1.3%
|
||
Vivo Ventures Fund VI, L.P.
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1.3%
|
||
Vivo Ventures VI Affiliates Fund, L.P.
|
<0.1%
|
||
Vivo Ventures VII, LLC
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5.4%
|
||
Vivo Ventures Fund VII, L.P.
|
5.3%
|
||
Vivo Ventures VII Affiliates Fund, L.P.
|
0.1%
|
The foregoing percentages are calculated based on 26,626,587 shares of Common Stock outstanding as of April 17, 2013 as reported in the Issuer’s Prospectus Supplement filed pursuant to Rule 424(b)(4) on April 12, 2013, including shares of Common Stock issued pursuant to the underwriters’ option to purchase up to 1,072,500 additional shares of Common Stock described in the Prospectus Supplement.
|
|||
(c)
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Number of shares as to which such person has:
|
||
(i)
|
sole power to vote or to direct the vote:
|
||
Not applicable.
|
|||
(ii)
|
shared power to vote or to direct the vote:
|
Reporting Person
|
Shares
|
|||
Vivo Ventures VI, LLC
|
357,143
|
|||
Vivo Ventures Fund VI, L.P.
|
354,546
|
|||
Vivo Ventures VI Affiliates Fund, L.P.
|
2,597
|
|||
Vivo Ventures VII, LLC
|
1,428,571
|
|||
Vivo Ventures Fund VII, L.P.
|
1,412,000
|
|||
Vivo Ventures VII Affiliates Fund, L.P.
|
16,571
|
(iii)
|
sole power to dispose or to direct the disposition of:
|
||
Not applicable.
|
|||
(iv)
|
shared power to dispose or to direct the disposition of:
|
Reporting Person
|
Shares
|
|||
Vivo Ventures VI, LLC
|
357,143
|
|||
Vivo Ventures Fund VI, L.P.
|
354,546
|
|||
Vivo Ventures VI Affiliates Fund, L.P.
|
2,597
|
|||
Vivo Ventures VII, LLC
|
1,428,571
|
|||
Vivo Ventures Fund VII, L.P.
|
1,412,000
|
|||
Vivo Ventures VII Affiliates Fund, L.P.
|
16,571
|
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: [ ]
|
|
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
See Items 2 and 4.
|
|
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
|
Not applicable.
|
|
Item 8.
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Identification and Classification of Members of the Group.
|
Not applicable.
|
|
Item 9.
|
Notice of Dissolution of Group.
|
Not applicable.
|
|
Item 10.
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Certification.
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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.
|
VIVO VENTURES VI, LLC
|
||
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES FUND VI, L.P.
|
||
By:
|
Vivo Ventures VI, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES VI AFFILIATES FUND, L.P.
|
||
By:
|
Vivo Ventures VI, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES VII, LLC
|
||
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
VIVO VENTURES FUND VII, L.P.
|
||
By:
|
Vivo Ventures VII, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES VII AFFILIATES FUND, L.P.
|
||
By:
|
Vivo Ventures VII, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
Exhibit Number
|
Exhibit Description
|
|
99.1
|
Joint Filing Agreement
|
VIVO VENTURES VI, LLC
|
||
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES FUND VI, L.P.
|
||
By:
|
Vivo Ventures VI, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
VIVO VENTURES VI AFFILIATES FUND, L.P.
|
||
By:
|
Vivo Ventures VI, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES VII, LLC
|
||
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES FUND VII, L.P.
|
||
By:
|
Vivo Ventures VII, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|
||
VIVO VENTURES VII AFFILIATES FUND, L.P.
|
||
By:
|
Vivo Ventures VII, LLC, its general partner
|
|
By:
|
/s/ Frank Kung
|
|
Name: Frank Kung
Title: Managing Member
|