-----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, CG1FZuE9vXO2pBBoZagrfqW4xee8oqWy56mugGXW8Wd3ngoZQLxaCMLcme3/aV9a sJSmajY7StFbU50B1Ms+lA== 0000932799-97-000142.txt : 19971117 0000932799-97-000142.hdr.sgml : 19971117 ACCESSION NUMBER: 0000932799-97-000142 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971114 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CYPRESS BIOSCIENCE INC CENTRAL INDEX KEY: 0000716054 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 222389839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-35589 FILM NUMBER: 97722194 BUSINESS ADDRESS: STREET 1: 4350 EXECUTIVE DRIVE,SUITE 325 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 2062989400 MAIL ADDRESS: STREET 1: 401 QUEEN ANNE AVE NORTH CITY: SEATTLE STATE: WA ZIP: 98109 FORMER COMPANY: FORMER CONFORMED NAME: IMRE CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEN & CO INC/ALLEN HOLDING INC CENTRAL INDEX KEY: 0000904807 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328300 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 22) CYPRESS BIOSCIENCE INCORPORATED (Name of Issuer) Common Stock $0.02 Par Value (Title of Class of Securities) 449695303 (CUSIP Number) Allen & Company Incorporated 711 Fifth Avenue, New York, New York 10022, (212) 832-8000 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 3, 1997 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13-d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes 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). Page 1 of 35 Pages SCHEDULE 13D - --------------------- ----------------- CUSIP No. 449695303 Page 2 of 35 Pages - --------------------- ----------------- =========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALLEN HOLDING INC. - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - -------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] Excluding 5,829,698 shares (includes 125,000 Units and a total of 228,000 Common Stock Purchase Warrants, owned by Allen & Company Incorporated, a wholly-owned subsidiary. Each Unit consists of two shares of Common Stock and one Common Stock Purchase Warrant.) - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* HC =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SCHEDULE 13D - --------------------- ----------------- CUSIP No. 449695303 Page 3 of 35 Pages - --------------------- ----------------- =========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ALLEN & COMPANY INCORPORATED - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - -------------------------------------------------------------------------- 7 SOLE VOTING POWER 5,829,698 Shares (includes 125,000 Units and a total of 228,000 Common Stock Purchase Warrants. Each Unit consists of two shares of Common Stock and one Common Stock Purchase Warrant.) - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - -------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 5,829,698 Shares (includes 125,000 Units and a total of 228,000 Common Stock Purchase Warrants. Each Unit consists of two shares of Common Stock and one Common Stock Purchase Warrant.) - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,829,698 Shares (includes 125,000 Units and a total of 228,000 Common Stock Purchase Warrants. Each Unit consists of two shares of Common Stock and one Common Stock Purchase Warrant.) - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - --------------------------------------------------------------------------- 13 PERCENT O CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.5% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* BC,CO =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 4 of 35 Pages - --------------------- -------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Estate of Herbert A. Allen - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 599,359 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 599,359 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 599,359 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.7% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 5 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Irwin Kramer - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 11,268 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 11,268 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,268 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 6 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Terry Allen Kramer - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 11,268 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 11,268 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,268 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 7 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bruce Allen - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 640,245 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 640,245 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 640,245 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.8% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 8 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Susan K. Allen - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 630,119 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 630,119 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 630,119 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.8% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 9 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Richard M. Crooks, Jr. - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 422,401 Shares (includes 40,000 Common Stock Options) - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 422,401 Shares (includes 40,000 Common Stock Options) - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,121,897 (includes 692,829 shares of the Issuer's Common Stock (the "Shares") and 6,667 Common Stock Purchase Warrants to purchase 6,667 shares of the Issuer's Common Stock (the "Warrants") owned of record by Allen & Company Incorporated ("ACI") which may be deemed to be indirectly owned by Mr. Crooks. Pursuant to an arrangement with ACI, Mr. Crooks may be deemed to have a pecuniary interest in a portion of certain securities, including the Issuer's Common Stock owned by ACI. Consequently, the Shares and the Warrants represent, approximately, the portion of ACI's holdings of the Issuer's Common Stock from which Mr. Crooks may realize profits. The Warrants and the Shares assume the conversion of 6,667 Units. Each unit consists of two shares of Common Stock and one Common Stock Purchase Warrant.) - --------------------------------------------------------------------------- SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 10 of 35 Pages - --------------------- ------------------- - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.2% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 11 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James W. Quinn - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 500 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 500 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 12 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eugene Protash - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 800 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 800 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 800 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 13 of 35 Pages - --------------------- -------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robert J. Kurz - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 9,000 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 9,000 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,000 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 14 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Walter T. O'Hara, Jr. - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 15,000 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 15,000 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,000 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 15 of 35 Pages - --------------------- ------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Brian Murphy - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 5,000 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 5,000 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,000 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 16 of 35 Pages - --------------------- -------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Catherine Greenfield - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,400 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 1,400 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,400 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 17 of 35 Pages - --------------------- -------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dennis Warfield - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 1,000 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 1,000 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,000 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 18 of 35 Pages - --------------------- -------------------- ========================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mary Cullen - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 SOURCE OF FUNDS* Not Applicable - --------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [ ] - --------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH - --------------------------------------------------------------------------- 7 SOLE VOTING POWER 44,500 - --------------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 44,500 - --------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 44,500 - --------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - --------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% - --------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN =========================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) Page 19 of 35 Pages AMENDMENT NO. 22 TO SCHEDULE 13D The Reporting Persons hereby amend their Schedule 13D relating to the Common Stock, $0.02 per share of Cypress BioScience Incorporation (the "Issuer") principally to reflect an increase in the ownership position of Allen & Company Incorporated ("ACI"). However, due to the Issuer's increase in its number of outstanding shares of Common Stock, ACI's ownership percentage has, in fact, decreased. Item 3. Source and Amount of Funds or Other Consideration. Pursuant to the October 3, 1997 private placement of Common Stock by the Issuer, ACI purchased 333,333 shares of the Issuer's Common Stock at $1.50 per share, for an aggregate purchase price of $499,999.50. ACI purchased such shares with its own funds. Item 5. Interest in Securities of the Issuer (a) As of the close of business on October 3, 1997, the Reporting Persons, by virtue of the language of Rule 13d-3(d)(1)(i), may be deemed to own beneficially in the aggregate the number and percentage of the Issuer's Common Stock set forth below. (Based upon information provided by the Issuer in its Quarterly report on Form 10-Q for the quarter ended June 30, 1997, the number of shares of Common Stock outstanding is 34,636,067).
================================================================= Name Shares Percentage - ----------------------------------------------------------------- Allen Holding Inc. 0 (1) 0.0% Allen & Company Incorporated 5,829,698 (2) 16.5% The Estate of Herbert A. Allen 599,359 1.7% Irwin H. Kramer 11,268 * Terry Allen Kramer 11,268 * Bruce Allen 640,245 1.8% Susan K. Allen 630,119 1.8% Richard M. Crooks, Jr. 1,121,897 (3) 3.2% James W. Quinn 500 * Eugene Protash 800 * Robert J. Kurz 9,000 * Walter T. O'Hara, Jr. 15,000 * Brian Murphy 5,000 * Catherine Greenfield 1,400 * Dennis Warfield 1,000 * Mary Cullen 44,500 0.1% _______________ * Less than 0.1% (1) Excludes shares owned indirectly through Allen & Company Incorporated ("ACI"). Page 20 of 35 Pages (2) Consists of 125,000 Units and a total of 228,000 Common Stock Purchase Warrants (each Unit consists of two shares of Common Stock and one Common Stock Purchase Warrant). Includes 105,869 shares in a market maker account. (3) Including 40,000 Common Stock Options (c) Transactions effected by the Reporting Person within the past 60 days, other than the purchase described above in Item 3, are listed on Exhibit B attached hereto. Page 21 of 35 Pages Item 7. Material to be Filed as Exhibits. Exhibit A: Officers and Directors of Allen Holding Inc. and Officers and Directors of Allen & Company Incorporated Exhibit B: Market Maker Transactions. Page 22 of 35 Pages After reasonable inquiry and to the best of our knowledge and belief, each of the signatories certifies that the information set forth in this Schedule relating to the respective signatory is true, complete and correct. Dated: November 14, 1996 ALLEN HOLDING INC. ALLEN & COMPANY INCORPORATED By: /s/ Gaetano J. Casillo By: /s/ Gaetano J. Casillo ------------------------- ------------------------ Name: Gaetano J. Casillo Name: Gaetano J. Casillo Title: Vice President Title: Vice President /s/ Herbert Allen /s/ Susan K. Wilson - --------------------------- --------------------------- The Estate of Herbert Allen Susan K. Wilson /s/ Irwin Kramer /s/ Richard M. Crooks, Jr. - --------------------------- --------------------------- Irwin Kramer Richard M. Crooks, Jr. /s/ Terry Allen Kramer /s/ James W. Quinn - --------------------------- --------------------------- Terry Allen Kramer James W. Quinn /s/ Bruce Allen /s/ Walter T. O'Hara, Jr. - --------------------------- --------------------------- Bruce Allen Walter T. O'Hara, Jr. /s/ Eugene Protash /s/ Robert J. Kurz - --------------------------- --------------------------- Eugene Protash Robert J. Kurz /s/ Mary Cullen /s/ Dennis Warfield - --------------------------- --------------------------- Mary Cullen Dennis Warfield /s/ Brian Murphy /s/ Catherine Greenfield - --------------------------- --------------------------- Brian Murphy Catherine Greenfield Page 23 of 35 Pages
EXHIBIT A OFFICERS AND DIRECTORS OF ALLEN & COMPANY INCORPORATED Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Herbert A. Allen x President, Managing Director, Director, Chief Executive Officer Herbert A. Allen III x Vice President, Director Grace Allen x Director Eran S. Ashany x Vice President, Director Jonathan S. Bean x Vice President Robert E. Beers x Vice President Edmund M. Bleich x Vice President Denise Calvo-Silver x Vice President, Director Dominick J. Cantalupo x Co-Chief Operations Officer, Vice President Marvyn Carton x Director - Emeritus Gaetano J. Casillo x Chief Compliance Officer, Vice President Robert H. Cosgriff x Chief Administrative Officer, Executive Vice President, Managing Director, Director Richard M. Crooks, Jr. x Director Thalia V. Crooks x Vice President, Director Mary L. Cullen x Vice President, Secretary, Director Orin F. Devereux x Vice President, Director Howard M. Felson x Assistant Secretary, Vice President Anthony J. Ferrante x Treasurer Richard Fields x Executive Vice President, Managing Director, Director Page 24 of 35 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Paul A. Gould x Executive Vice President, Managing Director, Director John G. Hall x Vice President - Elect, Director Daniel P. Harley x Vice President John H. Josephson x Vice President, Director Clark R. Keough x Vice President, Director Donald R. Keough x Chairman of the Board, Director Dara Khosrowshahi x Vice President, Director Kaveh A. Khosrowshahi x Vice President, Director Neal Kopp x Vice President Irwin H. Kramer x Executive Vice President, Managing Director, Director Terry Allen Kramer x Director Suzanne G. Kucera x Vice President - Elect, Director Robert J. Kurz x Vice President William F. Leimkuhler x Assistant Secretary, Vice President General, Counsel Jeffrey J. Logan x Vice President Sharon K. Losee x Vice President Dan W. Lufkin x Special Advisor to the Board of Directors Ellen F. Lynch x Vice President Robert A. Mackie x Executive Vice President, Managing Director, Director James C. Maiden, Jr. x Vice President Terence A. McCarthy x Co-Chief Operations Officer, Vice President Robert C. Miller x Vice President - Elect, Director Brian J. Murphy x Vice President, Director Louis J. Mustacchio x Vice President Page 25 of 35 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Walter T. O'Hara, Jr. x Executive Vice President, Managing Director, Director Glenn A. Okun x Vice President, Director Nancy B. Peretsman x Executive Vice President, Managing Director, Director Patrick S. Perry x Vice President, Director Pamela M. Plager x Vice President, Director Eugene Protash x Vice President, Assistant Secretary James W. Quinn x Chief Financial Officer, Director, Vice President, Assistant Secretary Philip D. Scaturro x Executive Vice President, Managing Director, Director John A. Schneider x Executive Vice President, Managing Director, Director Enrique F. Senior x Executive Vice President, Managing Director, Director Stanley S. Shuman x Executive Vice President, Managing Director, Director John M. Simon x Executive Vice President, Managing Director, Director Daniel Selmonosky x Vice President, Director Ian G. Smith x Vice President - Elect Lauren M. Tyler x Vice President, Director Dennis J. Warfield x Vice President,Chief Information Officer Kim M. Weiland x Vice President - Elect, Director Edward D. Weinberger x Vice President, Director Harold M. Wit x Executive Vice President, Managing Director, Director
x 711 Fifth Avenue, New York, New York 10022-3194. xx All the Executive Officers and Directors of Allen & Company Incorporated are U.S. citizens unless otherwise indicated. Page 26 of 35 Pages OFFICERS AND DIRECTORS OF ALLEN HOLDING INC. Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Herbert A. Allen x President, Managing Director, Director, Chief Executive Officer Herbert A. Allen, III x Vice President, Director Grace Allen x Director Eran S. Ashany x Vice President Jonathan S. Bean x Vice President - Elect Robert E. Beers x Vice President - Elect Edmund M. Bleich x Vice President Denise Calvo-Silver x Vice President, Director Dominick J. Cantalupo x Co-Chief Operations Officer, Vice President Marvyn Carton x Director - Emeritus Gaetano J. Casillo x Chief Compliance Officer, Vice President Robert H. Cosgriff x Chief Administrative Officer, Executive Vice President, Managing Director, Director Richard M. Crooks, Jr. x Director Thalia V. Crooks x Vice President, Director Mary L. Cullen x Vice President, Secretary, Director Orin F. Devereux x Vice President, Director Howard M. Felson x Assistant Secretary, Vice President Anthony J. Ferrante x Treasurer Richard L. Fields x Executive Vice President, Managing Director, Director Executive Vice President, Managing Director, Director Page 27 of 35 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) John G. Hall x Vice President - Elect, Director Daniel P. Harley x Vice President John H. Josephson x Vice President, Director Donald R. Keough x Chairman, Director Clark R. Keough x Vice President, Director Dara Khosrowshahi x Vice President, Director Kaveh A. Khosrowshahi x Vice President, Director Neal Kopp x Vice President Irwin H. Kramer x Executive Vice President, Managing Director, Director Terry Allen Kramer x Director Suzanne G. Kucera x Vice President - Elect, Director Robert J. Kurz x Vice President P. Don Lattimer x Executive Vice President, Managing Director, Director William F. Leimkuhler x Assistant Secretary, Vice President General, Counsel Jeffrey J. Logan x Vice President Sharon K. Losee x Vice President Dan W. Lufkin x Special Advisor to the Board of Directors Ellen F. Lynch x Vice President Robert A. Mackie x Executive Vice President, Managing Director, Director James C. Maiden, Jr. x Vice President Terence C. McCarthy x Co-Chief Operations Officer, Vice President Vice President - Elect, Director Brian J. Murphy x Vice President, Director Louis J. Mustacchio x Vice President Page 28 of 35 Pages Principal Occupation Business (i.e., Position with Name xx Address Allen & Company Incorporated) Walter T. O'Hara x Executive Vice President, Managing Director, Director Glenn A. Okun x Vice President, Director Nancy B. Peretsman x Executive Vice President, Managing Director, Director Patrick S. Perry x Vice President, Director Pamela M. Plager x Vice President, Director Eugene Protash x Assistant Secretary, Vice President James W. Quinn x Chief Financial Officer, Vice President, Assistant Secretary, Director Philip D. Scaturro x Executive Vice President, Managing Director, Director John A. Schneider x Executive Vice President, Managing Director, Director Daniel Selmonosky x Vice President, Director Enrique F. Senior x Executive Vice President, Managing Director, Director Stanley S. Shuman x Executive Vice President, Managing Director, Director John M. Simon x Executive Vice President, Managing Director, Director Ian G. Smith x Vice President - Elect Lauren M. Tyler x Vice President, Director Dennis J. Warfield x Vice President, Chief Information Officer Kim M. Weiland x Vice President, Director Edward D. Weinberger x Vice President, Director Executive Vice President, Managing Director, Director
x 711 Fifth Avenue, New York, New York 10022-3194. xx All the Executive Officers and Directors of Allen Holding, Inc. are U.S. citizens unless otherwise indicated. Page 29 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 1 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- --------- 09/05/97 09/10/97 B 6D C000217 232674101000 CYPB 900 1.71875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 09/05/97 09/10/97 S 6D C000217 232674101000 CYPB 2500 1.75 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 09/08/97 09/11/97 B 6D C000217 232674101000 CYPB 2000 1.6875 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 09/08/97 09/11/97 B 6D C000217 232674101000 CYPB 2000 1.6875 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 09/18/97 09/23/97 B 6N C000217 232674101000 CYPB 10000 2 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 09/18/97 09/23/97 S 6D C000217 232674101000 CYPB 2000 2.0625 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 09/22/97 09/25/97 S 6D C000217 232674101000 CYPB 3000 2 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI Page 30 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 2 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - -------- -------- - --- -- ------- ------------ -------- -------- --------- 09/26/97 10/01/97 B 6D C000217 232674101000 CYPB 5000 1.9375 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/01/97 10/06/97 B 6D C000217 232674101000 CYPB 4000 1.90625 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/02/97 10/07/97 B 6D C000217 232674101000 CYPB 5324 1.875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/03/97 10/08/97 B 6D C000217 232674101000 CYPB 1500 1.8125 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/03/97 10/08/97 B 6D C000217 232674101000 CYPB 1500 1.8125 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/03/97 10/08/97 S 6D C000217 232674101000 CYPB 1000 1.9375 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/06/97 10/09/97 B 6N C000217 232674101000 CYPB 10000 1.8125 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY Page 31 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 3 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - ------ -------- - --- -- ------- ------------ -------- -------- ---------- 10/07/97 10/10/97 B 6D C000217 232674101000 CYPB 1000 1.75 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/08/97 10/14/97 B 6D C000217 232674101000 CYPB 800 1.71875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/09/97 10/15/97 S 6D C000217 232674101000 CYPB 2000 1.875 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/10/97 10/16/97 B 6D C000217 232674101000 CYPB 300 1.875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/15/97 10/20/97 S 6D C000217 232674101000 CYPB 1000 1.875 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/15/97 10/20/97 S 6D C000217 232674101000 CYPB 2000 1.875 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/16/97 10/21/97 B 6D C000217 232674101000 CYPB 1000 1.75 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY Page 32 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 4 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE -------- - --- -- ------- ------------ -------- -------- ---------- 10/16/97 10/21/97 B 6D C000217 232674101000 CYPB 5000 1.78125 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/16/97 10/21/97 S 6D C000217 232674101000 CYPB 6000 1.8125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/16/97 10/21/97 S 6D C000217 232674101000 CYPB 9000 1.8125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/17/97 10/22/97 S 6D C000217 232674101000 CYPB 1000 1.8125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/17/97 10/22/97 S 6D C000217 232674101000 CYPB 3000 1.8125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/20/97 10/23/97 S 6D C000217 232674101000 CYPB 1000 1.84375 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/20/97 10/23/97 S 6D C000217 232674101000 CYPB 1000 1.84375 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI Page 33 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 5 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - ------- - --- -- ------- ------------ -------- -------- ---------- 10/20/97 10/23/97 S 6D C000217 232674101000 CYPB 1000 1.875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/20/97 10/23/97 S 6D C000217 232674101000 CYPB 4000 1.84375 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/20/97 10/23/97 S 6D C000217 232674101000 CYPB 4000 1.84375 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/21/97 10/24/97 S 6D C000217 232674101000 CYPB 1000 1.875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/27/97 10/30/97 B 6D C000217 232674101000 CYPB 9000 1.65625 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 800 1.5 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 1000 1.5 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI Page 34 of 35 Pages ALLEN TRADE DATE HISTORY REPORT PAGE : 6 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE -------- - --- -- ------- ------------ -------- -------- ---------- 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 1000 1.5 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 1000 1.625 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 25000 1.53125 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/28/97 10/31/97 B 6D C000217 232674101000 CYPB 25000 1.53125 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/28/97 10/31/97 S 6D C000217 232674101000 CYPB 5000 1.53125 CYPRESS BIOSCIENCES INC SNET WE MAKE A MKT IN THIS SECURI 10/29/97 11/03/97 S 6D C000217 232674101000 CYPB 10000 1.59375 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/30/97 11/04/97 B 7N C000217 232674101000 CYPB 100000 1.5 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY Page 35 of 35 pages ALLEN TRADE DATE HISTORY REPORT PAGE : 7 DATE : 11-05-1997 T/D S/D B/S CXL BL SEC# CUSIP# SYM QUANTITY PRICE - ------- - --- -- ------- ------------ -------- -------- ---------- 10/30/97 11/04/97 S 7N C000217 232674101000 CYPB 100000 1.5 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 10/31/97 11/05/97 S 6D C000217 232674101000 CYPB 1134 1.65625 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 10/31/97 11/05/97 S 6D C000217 232674101000 CYPB 3490 1.71875 CYPRESS BIOSCIENCES INC WE MAKE A MKT IN THIS SECURITY 11/03/97 11/06/97 S 6D C000217 232674101000 CYPB 2300 1.78125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 11/03/97 11/06/97 S 6D C000217 232674101000 CYPB 4000 1.78125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 11/03/97 11/06/97 S 6D C000217 232674101000 CYPB 4000 1.78125 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 11/04/97 11/07/97 S 6D C000217 232674101000 CYPB 2000 1.75 CYPRESS BIOSCIENCES INC INCA WE MAKE A MKT IN THIS SECURI 106955 -----END PRIVACY-ENHANCED MESSAGE-----