-----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, Ma0bEMlRnjf+2LJnA1XpO8HBh8ZfYnEY7MyJWWvk9c5FULXNpRpDvBLdzdQQYM+4 6B2sEiqZEHg10pfeK3PWPw== 0001012870-99-000840.txt : 19990326 0001012870-99-000840.hdr.sgml : 19990326 ACCESSION NUMBER: 0001012870-99-000840 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990325 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/A SEC ACT: SEC FILE NUMBER: 005-41711 FILM NUMBER: 99573148 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/A BUSINESS ADDRESS: STREET 1: 950 PAGE MILL RD STREET 2: PO BOX 10950 CITY: PALO ALTO STATE: CA ZIP: 94303-0802 BUSINESS PHONE: 4154945000 MAIL ADDRESS: STREET 1: 950 PAGE MILL RD STREET 2: PO BOX 10950 CITY: PALO ALTO STATE: CA ZIP: 94303 SC 13D/A 1 AMENDMENT #2 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------- SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)/1/ Alkermes, Inc. -------------------------- (Name of Issuer) Common Stock ---------------------------- (Title of Class of Securities) 01642T108 --------------------------- CUSIP Number Peter D. Staple, Esq. Senior Vice President and General Counsel ALZA Corporation 950 Page Mill Road, P.O. Box 10950 Palo Alto, California 94303-0802 (650) 494-5000 -------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) March 25, 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 Rule 13d-l(b)(3) or (4), check the following box: Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-l(a) for other parties to whom copies are to be sent. - ----------------- /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). 1) Name of Reporting Persons: ALZA Corporation S.S. or I.R.S. Identification No. of above person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group* (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Source of Funds:* 00 - -------------------------------------------------------------------------------- 5) [_] Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- 6) Citizenship or Place of Organization: Delaware - -------------------------------------------------------------------------------- Number of 7) Sole Voting Power Shares 2,000,000 Beneficially -------------------------------------------------------------- Owned by 8) Shared Voting Power Each 0 Reporting -------------------------------------------------------------- Person With 9) Sole Dispositive Power 2,000,000 -------------------------------------------------------------- 10) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 2,000,000 - -------------------------------------------------------------------------------- 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares* - -------------------------------------------------------------------------------- 13) Percent of Class Represented by amount in Row (11): 8.04% - -------------------------------------------------------------------------------- 14) Type of Reporting Person* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 4. PURPOSE OF TRANSACTION. ---------------------- ALZA Corporation ("ALZA") has made a financial investment decision to dispose of some or all of its shares of Alkermes, Inc. in open market transactions depending on prevailing prices and other factors. Except as set forth above, ALZA does not presently have any plans or proposals that relate to or would result in actions called for in this Item 4. 3 SIGNATURE 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: March 25, 1999 ALZA CORPORATION By: /s/ Peter D. Staple --------------------------------------- Peter D. Staple, Senior Vice President and General Counsel 4 -----END PRIVACY-ENHANCED MESSAGE-----