-----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, SVYsrhK2TyAo44vK2DILsMmeWnRI+hHORz5irk2OCR/eL29RS+qhrYyV1F52hhcA u8LO4xFGljPFu1q4Vi42bw== 0000860655-98-000004.txt : 19980112 0000860655-98-000004.hdr.sgml : 19980112 ACCESSION NUMBER: 0000860655-98-000004 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980109 SROS: NASD GROUP MEMBERS: ALBERTO W. VILAR GROUP MEMBERS: AMERINDO INVESTMENT ADVISORS INC GROUP MEMBERS: GARY A. TANAKA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALKERMES INC CENTRAL INDEX KEY: 0000874663 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 232472830 STATE OF INCORPORATION: PA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-41711 FILM NUMBER: 98503947 BUSINESS ADDRESS: STREET 1: 64 SIDNEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02139-4136 BUSINESS PHONE: 6174940171 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERINDO INVESTMENT ADVISORS INC CENTRAL INDEX KEY: 0000860655 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 942997472 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153620292 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3 ) ALKERMES INC. --------------------------------------- (Name of Issuer) COMMON STOCK --------------------------------------- (Title of Class of Securities) 01642T108 ------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing 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.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("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). (Continued on following pages(s)) SCHEDULE 13G/A CUSIP NO. 01642T108 - -------------------------------------------------------------------------------- 1) Name of Reporting Person S.S. or I.R.S Identification AMERINDO INVESTMENT ADVISORS INC., a California corporation, ALBERTO W. VILAR and GARY A. TANAKA, who disaffirm the existence of any group and who are sometimes collectively referred to as the "Reporting Persons." - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization See Item 4 of separate cover pages for Reporting Persons - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power None Beneficially Owned by Each Reporting (6) Shared Voting Power Person with 2,465,000 shares in the aggregate for all Reporting Persons and as to all of which beneficial ownership is disclaimed (7) Sole Dispositive Power None (8) Shared Dispositive Power 2,465,000 shares in the aggregate for all Reporting Persons and as to all of which beneficial ownership is disclaimed - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,465,000 shares in the aggregate for all Reporting Persons and as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount [X] in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 11.84% - -------------------------------------------------------------------------------- 12) Type of Reporting Person IA, IN (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G/A CUSIP NO. 01642T108 - -------------------------------------------------------------------------------- 1) Name of Reporting Person S.S. or I.R.S Identification AMERINDO INVESTMENT ADVISORS INC. - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization California - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power None Beneficially Owned by Each Reporting (6) Shared Voting Power Person with 2,465,000 shares, as to all of which beneficial ownership is disclaimed (7) Sole Dispositive Power None (8) Shared Dispositive Power 2,465,000 shares, as to all of which beneficial ownership is disclaimed - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,465,000 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount [X] in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 11.84% - -------------------------------------------------------------------------------- 12) Type of Reporting Person IA (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G/A CUSIP NO. 01642T108 - -------------------------------------------------------------------------------- 1) Name of Reporting Person S.S. or I.R.S Identification ALBERTO W. VILAR - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned (5) Sole Voting Power None by Each Reporting Person with (6) Shared Voting Power 2,465,000 shares, as to all of which beneficial ownership is disclaimed (7) Sole Dispositive Power None (8) Shared Dispositive Power 2,465,000 shares, as to all of which beneficial ownership is disclaimed - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,465,000 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount [X] in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 11.84% - -------------------------------------------------------------------------------- 12) Type of Reporting Person IN (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G/A CUSIP NO. 01642T108 - -------------------------------------------------------------------------------- 1) Name of Reporting Person S.S. or I.R.S Identification GARY A. TANAKA - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power None Beneficially Owned by Each Reporting (6) Shared Voting Power Person with 2,465,000 shares, as to all of which beneficial ownership is disclaimed (7) Sole Dispositive Power None (8) Shared Dispositive Power 2,465,000 shares, as to all of which beneficial ownership is disclaimed - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,465,000 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount [X] in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 11.84% - -------------------------------------------------------------------------------- 12) Type of Reporting Person IN (See Instructions) - -------------------------------------------------------------------------------- Item 1. - ------ (a) The name of issuer as to whose securities this statement relates is Alkermes Inc. (the "Issuer"). (b) The address of Issuer's principal place of business is 64 Sidney Street, Cambridge, MA 02139. Item 2. - ------- (a-c) This statement is being filed by Amerindo Investment Advisors Inc., a California corporation whose principal executive offices are located at One Embarcadero Center, Suite 2300, San Francisco, California, 94111 ("Amerindo"), Alberto W. Vilar and Gary A. Tanaka (sometimes hereinafter collectively referred to as the "Reporting Persons"). Although this statement is being made jointly by the Reporting Persons, each of them expressly disaffirms membership in any group under Rule 13d-5 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise. Amerindo is sometimes hereinafter referred to as the "Advisor Entity." The Advisor Entity is an investment advisor, and all of the subject securities have been purchased by the Advisor Entity in the ordinary course of its respective business as an investment advisor and not with the purpose of effecting change or influencing the control of the issuer or in connection with or as a participant in any transaction having such purpose or effect, including any transaction subject to Rule 13d-3(b) under the Exchange Act. Amerindo is registered as an investment advisor under the Investment Advisors Act of 1940, as amended. Messrs. Vilar and Tanaka are the sole shareholders and directors of the Advisor Entity. Because the Advisor Entity is obligated to act in the best interest of its respective clients and in accordance with the respective mandates of those clients, there is no agreement between or among any of the Reporting Persons to act together with respect to the issuer or its securities, except that they may, from time to time and provided that transactions are otherwise being effected at the same time, aggregate orders for client accounts in order to receive more favorable trading terms. (d-e) This statement is being filed as to the Common Stock of Alkermes Inc., Cusip Number 01642T108. Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), - ------ check whether the person filing is a: (a-g) Inapplicable. (h) This statement is being filed jointly by the Reporting Persons, although each of them expressly disaffirms membership in any group under Rule 13d-5 under the Exchange Act. Item 4. Ownership. - ------ --------- (a-c) The following table sets forth for the Advisor Entity the aggregate number of shares of the Common Stock of the Issuer beneficially owned by such person as of December 31, 1997, and the percentage which such shares constitute of the total number of shares outstanding, as reflected on the Issuer's Form 10Q for the Quarter ended September 30, 1997, unless based on more recent information obtained directly from the Issuer (with beneficial ownership determined as set forth in Rule 13d-3 under the Exchange Act, but with beneficial ownership being expressly disclaimed). Messrs. Vilar and Tanaka, as the sole shareholders and directors of the Advisor Entity, share with each other investment and dispositive power as to all of the shares shown as owned by the Advisor Entity, who otherwise have sole investment and dispositive power with respect thereto, except that each client of the Advisor Entity has the unilateral right to terminate the advisory agreement with the Advisor Entity in question on notice which typically need not exceed 30 days. Name No. of Shares Percent of Class - ---- ------------- ---------------- Amerindo 2,465,000 11.84% Alberto W. Vilar 2,465,000 11.84% Gary A. Tanaka 2,465,000 11.84% Item 5. Ownership of Five Percent or Less of a Class. - ------ -------------------------------------------- Inapplicable. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. - ------ --------------------------------------------------------------- The subject shares are all owned by clients of the Advisor Entity. No such person's interest in the securities included in this report exceeds 5% of the class outstanding. Item 7. Identification and Classification of the Subsidiary Which - ------ --------------------------------------------------------- Acquired the Security Being Reported on By the Parent Holding ------------------------------------------------------------- Company. ------- Inapplicable. Item 8. Identification and Classification of Members of the Group. - ------ --------------------------------------------------------- (a-c) This statement is being filed by Amerindo Investment Advisors Inc., a California corporation whose principal executive offices are located at One Embarcadero Center, Suite 2300, San Francisco, California, 94111 ("Amerindo"), Alberto W. Vilar and Gary A. Tanaka (sometimes hereinafter collectively referred to as the "Reporting Persons"). Although this statement is being made jointly by the Reporting Persons, each of them expressly disaffirms membership in any group under Rule 13d-5 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise. Amerindo is sometimes hereinafter referred to as the "Advisor Entity." The Advisor Entity is an investment advisor, and all of the subject securities have been purchased by the Advisor Entity in the ordinary course of its respective business as an investment advisor and not with the purpose of effecting change or influencing the control of the issuer or in connection with or as a participant in any transaction having such purpose or effect, including any transaction subject to Rule 13d-3(b) under the Exchange Act. Amerindo is registered as an investment advisor under the Investment Advisors Act of 1940, as amended. Messrs. Vilar and Tanaka are the sole shareholders and directors of the Advisor Entity. Because the Advisor Entity is obligated to act in the best interest of its respective clients and in accordance with the respective mandates of those clients to act in the best interest of the beneficiaries thereof, there is no agreement between or among any of the Reporting Persons to act together with respect to the issuer or its securities, except that they may, from time to time and provided that transactions are otherwise being effected at the same time, aggregate orders for client accounts in order to receive more favorable trading terms. (d-e) This statement is being filed as to the Common Stock of Alkermes Inc., Cusip Number 01642T108. Item 9. Notice of Dissolution of Group. - ------ ------------------------------ Inapplicable. Item 10. Certification. - ------- ------------- By signing below, the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURES After reasonable inquiry and to the best of the knowledge and belief of the undersigned, we certify that the information set forth in this statement is true, complete and correct. AMERINDO INVESTMENT ADVISORS INC., a California corporation By: /s/ Alberto W. Vilar ------------------------------- ALBERTO W. VILAR, PRESIDENT By: /s/ Alberto W. Vilar ------------------------------- ALBERTO W. VILAR /s/ Gary A. Tanaka ------------------------------- GARY A. TANAKA EXHIBIT A ALKERMES INC. COMMON STOCK 01642T108 We hereby agree that the within Statement on Schedule 13G/A regarding our beneficial ownership of Common Stock is filed on behalf of each of us. AMERINDO INVESTMENT ADVISORS INC., a California corporation By: /s/ Alberto W. Vilar --------------------------------- ALBERTO W. VILAR, PRESIDENT By: /s/ Alberto W. Vilar --------------------------------- ALBERTO W. VILAR /s/ Gary A. Tanaka --------------------------------- GARY A. TANAKA -----END PRIVACY-ENHANCED MESSAGE-----