-----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, H4e1TGTUdA8+uI5b417AZKSHDL3Cr9ZuBpqC5DN/W9+32MfCyZdJSidq+ntscGzL lhn9/ajv9S29G1/P5Fts+g== 0000912057-97-006425.txt : 19970223 0000912057-97-006425.hdr.sgml : 19970223 ACCESSION NUMBER: 0000912057-97-006425 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970221 SROS: NYSE 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 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-41711 FILM NUMBER: 97540813 BUSINESS ADDRESS: STREET 1: 64 SIDNEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02139-4136 BUSINESS PHONE: 6174940171 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALZA CORP CENTRAL INDEX KEY: 0000004310 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770142070 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 950 PAGE MILL RD STREET 2: PO BOX 10950 CITY: PALO ALTO STATE: CA ZIP: 94303-0802 BUSINESS PHONE: 4154945000 SC 13D 1 SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* --------- Alkermes, Inc. -------------------------------------------------------- (Name of Issuer) Common Stock -------------------------------------------------------- (Title of Class of Securities) 01642T108 -------------------------------------------------------- (CUSIP Number) Carol A. Gamble, Vice President and Associate General Counsel ALZA Corporation, 950 Page Mill Road, P.O. Box 10950, Palo Alto, California 94303-0802 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Agreement to Purchase Common Stock 02/13/97 -------------------------------------------------------- (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 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with this statement /X/. (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 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). SCHEDULE 13D CUSIP No. 01642T108 Page 2 of 4 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons ALZA Corporation I.R.S. Identification No.: 77-0142070 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds* WC - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) Not applicable. - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power Beneficially Owned Two million shares by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power None -------------------------------------------------- (9) Sole Dispositive Power Two million shares -------------------------------------------------- (10) Shared Dispositive Power None - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person Two million shares - ------------------------------------------------------------------------------- (12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* Not applicable. - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) Approximately 9.7% - ------------------------------------------------------------------------------- (14) Type of Reporting Person* CO - ------------------------------------------------------------------------------- Page 3 of 4 ITEM 1. SECURITY AND ISSUER This Schedule 13D relates to shares of Common Stock of Alkermes, Inc. ("Alkermes"), 64 Sidney Street, Cambridge, MA 02139. ITEM 2. IDENTITY AND BACKGROUND The reporting person, ALZA Corporation ("ALZA"), incorporated in Delaware, is a pharmaceutical company. The address of its principal office and place of business is 950 Page Mill Road, P.O. Box 10950, Palo Alto, California 94303-0802. During the last five years, ALZA has not been convicted in a criminal proceeding. During the last five years, ALZA has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which it is subject to any judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Working capital. ITEM 4. PURPOSE OF TRANSACTION ALZA is purchasing the shares as an investment. ALZA currently has no plans or proposals related to any matters described in this Item; however, ALZA reserves the right to develop such plans or proposals. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) ALZA currently owns no shares of Alkermes. Pursuant to a Stock Purchase Agreement between ALZA and Alkermes dated as of February 13, 1997. ALZA will purchase two million shares of Alkermes Common Stock (approximately 9.7% of the class), after the applicable Hart-Scott Rodino waiting period. The purchase price is $25 per share. (b) Sole voting power - two million shares; shared voting power - zero sole power to dispose - two million shares shared power to dispose - zero (c) See paragraph 5(a) above. (d) None. Page 4 of 4 (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS None. 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. By: /s/ Carol A. Gamble ---------------------------------------- Carol A. Gamble Vice President and Associate General Counsel February 21, 1997 -----END PRIVACY-ENHANCED MESSAGE-----