-----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, I5XI0rvSFeVegjYfGUp19vualbAqXchksAnqoXT5PEVl0EKYb9t4nT5+S3NwwEl6 JjOJwQD61Nvr5yKv57tr7g== 0000932799-99-000051.txt : 19990517 0000932799-99-000051.hdr.sgml : 19990517 ACCESSION NUMBER: 0000932799-99-000051 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990514 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: 99622537 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. 23) 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) April 22, 1999 (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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ]. 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 SCHEDULE 13D - --------------------- CUSIP No. 449695303 Page 2 - --------------------- ====================================================================== 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 5,533,497 shares - ---------------------------------------------------------------------- 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 - --------------------- ====================================================================== 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 5,533,497 Shares (Includes warrants to purchase 315 shares of Common Stock) - ---------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - --------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 5,533,497 Shares (Includes warrants to purchase 315 shares of Common Stock) - ---------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,533,497 Shares (Includes warrants to purchase 315 shares of Common Stock) - ---------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [X] - ---------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.0% - ---------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* BC,CO ====================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SCHEDULE 13D - --------------------- ----------------- CUSIP No. 449695303 Page 4 - --------------------- ------------------ ====================================================================== 1 NAME OF REPORTING PERSON - S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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) 1.4% - ---------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN ====================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 5 - --------------------- ------------------- ===================================================================== 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) 1.5% - ---------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN ====================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 6 - --------------------- ------------------- ====================================================================== 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 1,005,119 - ---------------------------------------------------------------------- 8 SHARED VOTING POWER 0 - ---------------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 1,005,119 - ---------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,005,119 - ---------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ---------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.36% - ---------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN ===================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 7 - --------------------- ------------------- ====================================================================== 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 422,401 (does not include certain shares of the Issuer's Common Stock (the "Shares") owned of record by Allen & Company Incorporated ("ACI") in which Mr. Crooks may be deemed to have an indirect interest. 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, Mr. Crooks may realize profits from the Shares.) - ---------------------------------------------------------------------- SCHEDULE 13D - --------------------- ------------------ CUSIP No. 449695303 Page 8 - --------------------- ------------------- - ---------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ---------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.0% - ---------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN ====================================================================== *SEE INSTRUCTIONS BELOW BEFORE FILLING OUT! SEC 1746 (9-88) Page 9 AMENDMENT NO. 23 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 the "cashless" exercise by Allen & Company Incorporated ("ACI") of a total of 228,000 shares of the Issuer's Common Stock. In this Amendment, the Reporting Persons have omitted certain formerly reporting persons for one of the following reasons: (i) they no longer own any shares of Common Stock, (ii) they own a de minimus amount of Common Stock, or (iii) they are no longer associated with Allen Holding Inc. ("AHI") or ACI. The Reporting Persons have also omitted trades made in ACI's capacity as a market maker. Item 3. Source and Amount of Funds or Other Consideration. Pursuant to the April 20, 1998 "cashless" exercise of a warrant for 228,000 shares of Common Stock, ACI received 37,668 shares of restricted Common Stock. Item 5. Interest in Securities of the Issuer (a) As of the close of business on April 20, 1998, 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 Annual report on Form 10-K405, which reports that the number of shares of Common Stock outstanding, as of March 1, 1999 is 42,607,582).
================================================================= Name Shares Percentage - ----------------------------------------------------------------- Allen Holding Inc. 0 (1) 0.0% Allen & Company Incorporated 5,533,497 (2) 13.0% Estate of Herbert A. Allen 599,359 1.4% Bruce Allen 640,245 1.5% Susan K. Allen 1,005,119 2.36% Richard M. Crooks, Jr. 422,401 (3) 1.0%
- ------------- (1) Excludes shares owned indirectly through Allen & Company Incorporated ("ACI"). Also, excludes certain shares owned by officers and directors of Allen Holding Inc. Page 10 (2) Excludes 1,347 shares in market making accounts. Excludes certain shares owned by officers and directors of ACI. (3) Including 40,000 Common Stock Options (c) No transactions were effected by the Reporting Persons within the past 60 days, other than the purchase described above in Item 3 and trades related to ACI's position as a market maker. 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 Page 11 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: May 12, 1999 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 Page 12
EXHIBIT A OFFICERS AND DIRECTORS OF ALLEN HOLDING INC. AND ALLEN & COMPANY INCORPORATED Principal Occupation (i.e., Business Position with Allen Holdings Inc. Name xx Address and 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 Glenn A. Andreas III x Vice President - Elect Eran S. Ashany x Vice President, Director Edmund M. Bleich x Vice President Jay B. Bockhaus x Vice President - Elect 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 Toby R. Coppel x Vice President - Elect 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 Robert A. Dean x Vice President, Director Page 13 Principal Occupation (i.e., Business Position with Allen Holdings Inc. Name xx Address and Allen & Company Incorporated) Orin F. Devereux x Vice President, Director Daniel Englander x Vice President - Elect Howard M. Felson x Assistant Secretary, Vice President, Controller Anthony J. Ferrante x Treasurer Richard L. Fields x Executive Vice President, Managing Director, Director Paul A. Gould x Executive Vice President, Managing Director, Director John G. Hall x Vice President, Director George N. Jeppson x Vice President-Elect John H. Josephson x Vice President, Director Clarke R. Keough x Vice President, Director Donald R. Keough x Chairman of the Board, Managing Director, Director Kaveh A. Khosrowshahi x Vice President, Director LeRoy Kim x Vice President - Elect Neal Kopp x Vice President Terry Allen Kramer x Director Irwin H. Kramer x Executive Vice President, Managing Director, Director Suzanne G. Kucera x Vice President, Director Robert J. Kurz x Vice President Andreas L. Lazar x Vice President-Elect William F. Leimkuhler x Assistant Secretary, Vice President, General Counsel Page 14 Principal Occupation (i.e., Business Position with Allen Holdings Inc. Name xx Address and Allen & Company Incorporated) Jonathan A. Lipton x Vice President - Elect Dan W. Lufkin x Special Advisor to the Board of Directors 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 Robert C. Miller x Vice President, Director Kenneth L. Miltonberger x Chief Technology Officer Terrence C. Morris x Vice President - Elect Brian J. Murphy x Vice President, Director Louis J. Mustacchio x Vice President Walter T. O'Hara, Jr. x Executive Vice President, Managing Director, Director Christine R. Olenchalk x Vice President Nancy B. Peretsman x Executive Vice President, Managing Director, Director Patrick S. Perry x Vice President, Director Eugene Protash x Vice President, Assistant Secretary James W. Quinn x Director, Vice President James S. Rubin x Vice President - Elect Daniel J. Sapadin x Vice President - Elect Philip D. Scaturro x Executive Vice President, Managing Director, Director John A. Schneider x Executive Vice President, Managing Director, Director Page 15 Principal Occupation (i.e., Business Position with Allen Holdings Inc. Name xx Address and Allen & Company Incorporated) Daniel J. Selmonosky x Vice President, Director Enrique F. Senior x Executive Vice President, Managing Director, Director Joseph E. Sheehan x Vice President - Elect Stanley S. Shuman x Executive Vice President, Managing Director, Director John M. Simon x Executive Vice President, Managing Director, Director Kenneth M. Siskind x Vice President - Elect Ian G. Smith x Vice President - Elect Everett K. Wallace x Vice President - Elect Dennis J. Warfield x Vice President, Chief Information Officer Kim M. Wieland x Executive Vice President, Managing Director, Director, Chief Financial Officer Edward D. Weinberger x Director
x 711 Fifth Avenue, New York, New York 10022-3194. xx All the Executive Officers and Directors of Allen Holding Inc. and Allen & Company Incorporated are U.S. citizens unless otherwise indicated. -----END PRIVACY-ENHANCED MESSAGE-----