-----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, DaXQn+WhmE2rKKvKacWhHbJ8xntuIHt2EXdk6qbm1D5Q5lpsOOm2fb6EAqwAiC4p gd3j64xuWCNw39ISwyUEig== 0001047469-03-004554.txt : 20030210 0001047469-03-004554.hdr.sgml : 20030210 20030210155528 ACCESSION NUMBER: 0001047469-03-004554 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030210 GROUP MEMBERS: BIOTECHNOLOGY VALUE FUND II, L.P. GROUP MEMBERS: BVF INC. GROUP MEMBERS: BVF INVESTMENTS, L.L.C. GROUP MEMBERS: BVF PARTNERS L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROGEN CORP CENTRAL INDEX KEY: 0000849043 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 222845714 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-41776 FILM NUMBER: 03547361 BUSINESS ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: 2034888201 MAIL ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BIOTECHNOLOGY VALUE FUND L P CENTRAL INDEX KEY: 0000918923 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 363924731 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 415-288-23 MAIL ADDRESS: STREET 1: 227 W MONROE STREET, SUITE 4800 STREET 2: 227 W MONROE STREET, SUITE 4800 CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 a2102833zsc13g.htm SC 13G
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SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

SCHEDULE 13G
(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b) (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO 13d-2(b)
(Amendment No.    )1

    Neurogen Corporation
(Name of Issuer)
   

 

 

 

 

 
    Common Stock
(Title of Class of Securities)
   

 

 

 

 

 
    64124E 10 6
(CUSIP Number)
   

 

 

 

 

 
    January 31, 2003
(Date of Event Which Requires Filing of this Statement)
   

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

    o Rule 13d-1(b)
ý Rule 13d-1(c)
o Rule 13d-1(d)

1      The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

        The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 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).





     
CUSIP No. 64124E 10 6   13G   Page 2 of 9 Pages

     

1   NAME OF REPORTING PERSON:
Biotechnology Value Fund, L.P.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   

2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ý
        (b)  o
         

3   SEC USE ONLY    

 

 

 

 

 

4   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware

 

 

    5   SOLE VOTING POWER
NUMBER OF       0
SHARES  
BENEFICIALLY   6   SHARED VOTING POWER
OWNED       274,025
BY  
EACH   7   SOLE DISPOSITIVE POWER
REPORTING       0
PERSON  
WITH:   8   SHARED DISPOSITIVE POWER
        274,025

9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

274,025

 

 

10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   o

 

 

 

 

 

11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

1.5%

 

 

12   TYPE OF REPORTING PERSON*    

 

 

PN

 

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!



     
CUSIP No.64124E 10 6   13G   Page 3 of 9 Pages

     

1   NAME OF REPORTING PERSON:
Biotechnology Value Fund II, L.P.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   

2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ý
        (b)  o
         

3   SEC USE ONLY    

 

 

 

 

 

4   CITIZENSHIP OR PLACE OF ORGANIZATION    

 

 

Delaware

 

 

    7   SOLE VOTING POWER
NUMBER OF       0
SHARES  
BENEFICIALLY   6   SHARED VOTING POWER
OWNED       184,736
BY  
EACH   7   SOLE DISPOSITIVE POWER
REPORTING       0
PERSON  
WITH:   8   SHARED DISPOSITIVE POWER
        184,736

9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

184,736

 

 

10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   o

 

 

 

 

 

11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

1.0%

 

 

12   TYPE OF REPORTING PERSON*    

 

 

PN

 

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!



     
CUSIP No. 64124E 10 6   13G   Page 4 of 9 Pages

     

1   NAME OF REPORTING PERSON:
BVF Investments, L.L.C.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   

2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ý
        (b)  o
         

3   SEC USE ONLY    

 

 

 

 

 

4   CITIZENSHIP OR PLACE OF ORGANIZATION    

 

 

Delaware

 

 

    5   SOLE VOTING POWER
NUMBER OF       0
SHARES  
BENEFICIALLY   6   SHARED VOTING POWER
OWNED       501,602
BY  
EACH   7   SOLE DISPOSITIVE POWER
REPORTING       0
PERSON  
WITH:   8   SHARED DISPOSITIVE POWER
        501,602

9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

501,602

 

 

10   CHECK IF THE AGGREGATE AMOUNT IN ROW () EXCLUDES CERTAIN SHARES*   o

 

 

 

 

 

11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

2.8%

 

 

12   TYPE OF REPORTING PERSON*    

 

 

OO

 

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!



     
CUSIP No. 64124E 10 6   13G   Page 5 of 9 Pages

     

1   NAME OF REPORTING PERSON:
BVF Partners L.P.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   

2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ý
        (b)  o
         

3   SEC USE ONLY    

 

 

 

 

 

4   CITIZENSHIP OR PLACE OF ORGANIZATION    

 

 

Delaware

 

 

    5   SOLE VOTING POWER
NUMBER OF       0
SHARES  
BENEFICIALLY   6   SHARED VOTING POWER
OWNED       1,002,549
BY  
EACH   7   SOLE DISPOSITIVE POWER
REPORTING       0
PERSON  
WITH:   8   SHARED DISPOSITIVE POWER
        1,002,549

9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

1,002,549

 

 

10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   o

 

 

 

 

 

11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

5.7%

 

 

12   TYPE OF REPORTING PERSON*    

 

 

PN

 

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!



     
CUSIP No. 64124E 10 6   13G   Page 6 of 9 Pages

     

1   NAME OF REPORTING PERSON:
BVF Inc.
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   

2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a)  ý
        (b)  o
         

3   SEC USE ONLY    

 

 

 

 

 

4   CITIZENSHIP OR PLACE OF ORGANIZATION    

 

 

Delaware

 

 

    5   SOLE VOTING POWER
NUMBER OF       0
SHARES  
BENEFICIALLY   6   SHARED VOTING POWER
OWNED       1,002,549
BY  
EACH   7   SOLE DISPOSITIVE POWER
REPORTING       0
PERSON  
WITH:   8   SHARED DISPOSITIVE POWER
        1,002,549

9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

1,002,549

 

 

10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   o

 

 

 

 

 

11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

5.7%

 

 

12   TYPE OF REPORTING PERSON*    

 

 

IA, CO

 

 

*SEE INSTRUCTIONS BEFORE FILLING OUT!





     
CUSIP No. 64124E 10 6   13G   Page 7 of 9 Pages

     

ITEM 1(a). NAME OF ISSUER:

    Neurogen Corporation ("Neurogen")

ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:

    35 Northeast Industrial Road
Branford, CT 06405

ITEM 2(a). NAME OF PERSON FILING:

    This Schedule 13G is being filed on behalf of the following persons (the "Reporting Persons")*:

    (i)
    Biotechnology Value Fund, L.P. ("BVF")
    (ii)
    Biotechnology Value Fund II, L.P. ("BVF2")
    (iii)
    BVF Investments, L.L.C. ("Investments")
    (iv)
    BVF Partners L.P. ("Partners")
    (v)
    BVF Inc. ("BVF Inc.")
*
Attached as Exhibit 1 is a copy of an agreement among the Reporting Persons (as specified hereinabove) that this Schedule 13G is being filed on behalf of each of them.

ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE:

        The principal business office of the Reporting Persons is located at 227 West Monroe Street, Suite 4800, Chicago, Illinois, 60606.

ITEM 2(c). CITIZENSHIP:

    BVF:   a Delaware limited partnership
    BVF2:   a Delaware limited partnership
    Investments:   a Delaware limited liability company
    Partners:   a Delaware limited partnership
    BVF Inc.:   a Delaware corporation

ITEM 2(d). TITLE OF CLASS OF SECURITIES:

    Common Stock.

ITEM 2(e). CUSIP Number:

    64124E 10 6



     
CUSIP No. 64124E 10 6   13G   Page 8 of 9 Pages

     

ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), or 13d-2(b) or (c) CHECK WHETHER THE PERSON FILING IS: One of the following

        Not applicable as this Schedule 13G is filed pursuant to Rule 13d-1(c).

ITEM 4. OWNERSHIP:

        The information in items 1 and 5 through 11 on the cover pages (pp. 2 - 6) on this Schedule 13G is hereby incorporated by reference.

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. o

ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:

        BVF shares voting and dispositive power over the shares of the common stock it beneficially owns with Partners. BVF2 also shares voting and dispositive power over the shares of the common stock it beneficially owns with Partners. Investments also shares voting and dispositive power over the shares of the common stock it beneficially owns with Partners. Pursuant to the operating agreement of Investments, Partners is authorized, among other things, to invest the funds of Ziff Asset Management, L.P., the majority member of Investments, in shares of the common stock Investments beneficially owns and to vote and exercise dispositive power over those shares of common stock. Partners and BVF Inc. share voting and dispositive power over the shares of the common stock they beneficially own with, in addition to BVF, BVF2 and Investments, a managed account on whose behalf Partners, as investment manager, purchased such shares. The managed account does not own more than 5% of the common stock of Neurogen.

ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:

        Not applicable.

ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP:

        Not applicable.

ITEM 9. NOTICE OF DISSOLUTION OF GROUP:

        Not applicable.



     
CUSIP No. 64124E 10 6   13G   Page 9 of 9 Pages

     

ITEM 10. CERTIFICATION

        By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

        After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated:   February 10, 2003

 

 

BIOTECHNOLOGY VALUE FUND, L.P.

 

 

By:

 

BVF Partners L.P., its general partner

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BIOTECHNOLOGY VALUE FUND II, L.P.

 

 

By:

 

BVF Partners L.P., its general partner

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF INVESTMENTS, L.L.C.

 

 

By:

 

BVF Partners L.P., its manager

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF PARTNERS L.P.

 

 

By:

 

BVF Partners L.P., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF INC.

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President



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SCHEDULE 13G
EX-1 3 a2102833zex-1.htm EXHIBIT 1
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EXHIBIT 1


AGREEMENT REGARDING JOINT FILING

        The undersigned, Biotechnology Value Fund, L.P., a Delaware limited partnership, Biotechnology Value Fund II, L.P., a Delaware limited partnership, BVF Investments, L.L.C., a Delaware limited liability company, BVF Partners L.P., a Delaware limited partnership, and BVF Inc., a Delaware corporation, hereby agree and acknowledge that the information required by the Schedule 13G, to which this Agreement is attached as an exhibit, is filed on behalf of each of them. The undersigned further agree that any further amendments or supplements thereto shall also be filed on behalf of each of them.

Dated:   February 10, 2003

 

 

BIOTECHNOLOGY VALUE FUND, L.P.

 

 

By:

 

BVF Partners L.P., its general partner

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BIOTECHNOLOGY VALUE FUND II, L.P.

 

 

By:

 

BVF Partners L.P., its general partner

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF INVESTMENTS, L.L.C.

 

 

By:

 

BVF Partners L.P., its manager

 

 

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF PARTNERS L.P.

 

 

By:

 

BVF Inc., its general partner

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President

 

 

BVF INC.

 

 

 

 

 

 

By:

 

/s/  
MARK N. LAMPERT      
               
Mark N. Lampert
President



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AGREEMENT REGARDING JOINT FILING
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