-----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, Vkx9mu6qU0UsdR/9jDBYUahT49M2HlLcDuqSBH5isBmeNqBDc9pKKS94msEkqhKK 2u/VTnMZObAOO54vGfLeAQ== 0001012870-99-002628.txt : 19990805 0001012870-99-002628.hdr.sgml : 19990805 ACCESSION NUMBER: 0001012870-99-002628 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990804 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: 99677869 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: 6504945000 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 #5 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------------------- SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No. 5)* Alkermes, Inc. -------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 01642T108 --------- CUSIP Number Peter D. Staple, Esq. ALZA Corporation 950 Page Mill Road Palo Alto, California 94303 (650) 494-5000 ------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 2, 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-1(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-1 (a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 4 pages) - ------------------------ * 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. 01642T108 13D Page 2 of 4 Pages - -------------------------------------- ---------------------------------------
- ---------------------------------------------------------------------------------------- 1 NAME 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 OF A GROUP (a) [_] (b) [_] - ---------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - ---------------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [_] - ---------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 880,000 shares of Common Stock ------------------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------------------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER REPORTING 880,000 shares of Common Stock ------------------------------------------------------------ PERSON WITH 10 SHARED DISPOSITIVE POWER - ---------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 880,000 shares of Common Stock - ---------------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - ---------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.5% - ---------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ----------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 4 Pages Item 5. Interest in Securities of the Issuer. ------------------------------------- (a) As of August 2, 1999, ALZA held 880,000 shares of Common Stock of Alkermes, equal to approximately 3.5% of the total number of issued and outstanding shares of Common Stock of Alkermes. (b) Sole voting power - 880,000 shares of Common Stock Shared voting power - 0 Sole dispositive power - 880,000 shares of Common Stock Shared dispositive power - 0 (c) Since the filing of Amendment No. 4 to this Schedule 13D of July 15, 1999, ALZA has sold 480,000 shares of Common Stock of Alkermes in several open market transactions at prices ranging from $26 to $26.875 per share. Each individual sale is listed below. Date Amount of Price per of Sale Shares Sold Share 7/16/99 15,000 26.0000 7/30/99 43,000 26.0000 8/3/99 15,000 27.0000 8/3/99 140,000 26.8750 8/3/99 60,000 26.7500 8/3/99 15,000 26.6250 8/3/99 80,000 26.5000 8/3/99 80,000 26.3750 8/3/99 32,000 26.0000 (d) Not applicable. (e) As a result of the transactions described in Item 5(c) hereof, ALZA ceased to be a beneficial owner of more than five percent of Alkermes Common Stock on August 2, 1999. Therefore, this Amendment No. 5 is a final filing. Page 3 of 4 Pages 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. August 3, 1999 ALZA CORPORATION By: /s/ Peter D. Staple -------------------------------- Peter D. Staple, Senior Vice President and General Counsel Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----