-----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, TlZ10zFK6YnII3upxhIejnCeVYlvb+tTK3xLmx5yP8n2sllssRyaFaCx7yJUuKp6 gvwlr5f05pLsGoTnwwEbcw== 0000950123-97-009182.txt : 19971107 0000950123-97-009182.hdr.sgml : 19971107 ACCESSION NUMBER: 0000950123-97-009182 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971106 SROS: NYSE GROUP MEMBERS: JOHNSON & JOHNSON GROUP MEMBERS: JOHNSON & JOHNSON DEVELOPMENT CORP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELL THERAPEUTICS INC CENTRAL INDEX KEY: 0000891293 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 911533912 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-48459 FILM NUMBER: 97708965 BUSINESS ADDRESS: STREET 1: 201 ELLIOTT AVE W STREET 2: STE 400 CITY: SEATTLE STATE: WA ZIP: 98119 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JOHNSON & JOHNSON CENTRAL INDEX KEY: 0000200406 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 221024240 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: ONE JOHNSON & JOHNSON PLZ CITY: NEW BRUNSWICK STATE: NJ ZIP: 08933 BUSINESS PHONE: 9085240400 SC 13D 1 SCHEULE 13D / CELL THERAPEUTICS, INC. 1 . UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* CELL THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 150934 10 7 (CUSIP Number) James J. Bergin, Esq. Johnson & Johnson One Johnson & Johnson Plaza New Brunswick, NJ 08933 (908) 524-2464 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 27, 1997 (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. *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. 2 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). Page 1 of 10 Pages 3 SCHEDULE 13D - --------------------------------- ------------------------------- CUSIP NO. 150934 10 7 PAGE 2 OF 10 PAGES - --------------------------------- ------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Johnson & Johnson 22-1024240 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New Jersey - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH REPORTING PERSON WITH --------------------------------------------------------------- 8 SHARED VOTING POWER 868,262 --------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 868,262 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 868,262 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.65% - ------------------------------------------------------------------------------- 4 - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 5 SCHEDULE 13D - --------------------------------- ------------------------------- CUSIP NO. 150934 10 7 PAGE 3 OF 10 PAGES - --------------------------------- ------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Johnson & Johnson Development Corporation 22-2007137 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New Jersey - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY EACH REPORTING PERSON WITH --------------------------------------------------------------- 8 SHARED VOTING POWER 868,262 --------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 868,262 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 868,262 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.65% - ------------------------------------------------------------------------------- 6 - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 7 CUSIP NO. 150934 10 7 PAGE 4 OF 10 PAGES Item 1. Security and Issuer: Common Stock, no par value ("Common Stock") Cell Therapeutics, Inc. 201 Elliott Avenue West Seattle, WA 98119 Item 2. Identity and Background: (a) Johnson & Johnson ("J&J") and Johnson & Johnson Development Corporation ("JJDC"), both New Jersey corporations. (b) One Johnson & Johnson Plaza, New Brunswick, New Jersey 08933. (c) The principal business of J&J is health care products. JJDC is a wholly-owned subsidiary of J&J engaged in the venture capital business. The name, citizenship, residence or business address and principal occupation or employment (and the name, principal business and address of any corporation or other organization in which such employment is conducted) of each director and executive officer of J&J and JJDC is set forth on Appendix A hereto. (d),(e) To the best of J&J's knowledge, neither J&J nor any of its directors or executive officers has, during the past five years: (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a 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. To the best of JJDC's knowledge, neither JJDC nor any of its directors or executive officers has, during the past five years: (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or 8 CUSIP NO. 150934 10 7 PAGE 5 OF 10 PAGES mandating activities subject to, Federal or State securities laws of finding any violation with respect to such laws. (f) Not applicable. Item 3. Source and Amount of Funds or Other Consideration: On October 27, 1997, JJDC purchased 125,000 shares of Common Stock ($16.00 per share) of Cell Therapeutics, Inc. (the "Company"), in a fully underwritten and registered, secondary offering. No funds were borrowed to finance the purchase. Item 4. Purpose of Transaction: J&J and JJDC have no present plans or proposals which relate to, or would result in, any of the actions enumerated in paragraphs (a) through (j) of this Item. Item 5. Interest in Securities of the Issuer: (a) As of October 27, 1997, J&J and JJDC each had beneficial ownership of an aggregate of 868,262 shares of Common Stock, which constituted approximately 5.65% of the outstanding shares of Common Stock of the Company at that time. (b) J&J and JJDC each have shared power to vote and shared power to dispose of all shares described in paragraph (a) above. (c) Except as described in the response to Item 3 hereof, there were no transactions in the Common Stock of the Company effected by J&J or JJDC during the past sixty days. To the best knowledge of J&J and JJDC, no director or executive officer of J&J or JJDC beneficially owns any shares of Common Stock or other securities of the Company. Neither J&J nor JJDC is aware of any transaction in such securities during the past sixty (60) days by any of its executive officers or directors. (d) Not applicable. (e) Not applicable. 9 CUSIP NO. 150934 10 7 PAGE 6 OF 10 PAGES Item 6. Contracts, Arrangements, etc.: Not applicable. Item 7. Exhibits: Not applicable. 10 CUSIP NO. 150934 10 7 PAGE 7 OF 10 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. JOHNSON & JOHNSON Dated: November 5, 1997 By /s/ P. S. Galloway ------------------------------ Name: Peter S. Galloway Title: Secretary JOHNSON & JOHNSON DEVELOPMENT CORPORATION Dated: November 5, 1997 By /s/ P.S. Galloway ------------------------------ Name: Peter S. Galloway Title: Secretary 11 CUSIP NO. 150934 10 7 PAGE 8 OF 10 PAGES SCHEDULE A Board of Directors and Executive Officers of Johnson & Johnson The directors and executive officers of Johnson & Johnson are identified in the table below. Directors of Johnson & Johnson are indicated by an asterisk.
Name Business Address Citizenship Principal Occupation - ---- ---------------- ----------- -------------------- 1. Dr. Gerard N. Burrow (*) Yale New Haven School United Dean of the Yale of Medicine States University School of 333 Cedar Street Medicine since 1992 New Haven, CT 06510 2. Joan Ganz Cooney (*) Children's Television United Chairman, Children's Workshop States Television Workshop One Lincoln Plaza New York, NY 10023 3. James Cullen (*) Bell Atlantic United Vice Chairman of the Corporation States Board, Bell Atlantic 1310 North Court House Corporation Road Arlington, VA 22201 Johnson & Johnson 4. Robert J. Darretta One Johnson & Johnson United Vice President, Finance Plaza States and Member, Executive New Brunswick, NJ Committee of Johnson & 08933 Johnson 5. Russell C. Deyo Johnson & Johnson United Vice President, One Johnson & Johnson States Administration, and Plaza Member, Executive New Brunswick, NJ Committee of Johnson & 08933 Johnson 6. Roger S. Fine Johnson & Johnson United Vice President and One Johnson & Johnson States General Counsel and Plaza Member, Executive New Brunswick, NJ Committee of Johnson & 08933 Johnson 7. Ronald G. Gelbman Johnson & Johnson United Member, Executive One Johnson & Johnson States Committee of Johnson & Plaza Johnson New Brunswick, NJ 08933 8. Philip M. Hawley (*) Philip M. Hawley United Former Chairman and Suite 2280 States Chief Executive Officer 444 South Flower of Carter Hawley Hale Street Stores, Inc. Los Angeles, CA 90071-2900 9. JoAnn H. Heisen Johnson & Johnson United Corporate Vice One Johnson & Johnson States President, Chief Plaza Information Officer, New Brunswick, NJ 08933 and Member, Executive Committee of Johnson & Johnson 10. Ann Dibble Jordan (*) Johnson & Johnson United Director of various One Johnson & Johnson States other corporations Plaza New Brunswick, NJ 08933 11. Christian A. Koffmann Johnson & Johnson France Member, Executive One Johnson & Johnson Committee of Johnson & Plaza Johnson New Brunswick, NJ 08933
12 CUSIP NO. 150934 10 7 PAGE 9 OF 10 PAGES
Name Business Address Citizenship Principal Occupation - ---- ---------------- ----------- -------------------- 12. Arnold G. Langbo (*) 111 Capital Avenue, Canada Chairman of the Board S.W. and Chief Executive Battle Creek, MI 49015 Officer of the Kellogg Company 13. Ralph S. Larsen (*) Johnson & Johnson United Chairman, Board of One Johnson & Johnson States Directors, Chief Plaza Executive Officer and New Brunswick, NJ Chairman, Executive 08933 Committee, of Johnson & Johnson 14. James T. Lenehan Johnson & Johnson United Member, Executive One Johnson & Johnson States Committee of Johnson & Plaza Johnson New Brunswick, NJ 08933 15. Dr. John S. Mayo (*) AT&T Bell United President, Emeritus, Laboratories, Inc. States AT&T Bell Laboratories, 600 Mountain Avenue Inc. Murray Hill, NJ 07974 16. Thomas S. Murphy (*) Capital Cities/ABC, United Former Chairman of the Inc. States Board and Chief 77 West 66th Street Executive Officer of New York, NY Capital Cities/ABC 10023-6298 17. Paul J. Rizzo (*) IBM Corporation United Retired Vice Chairman Old Orchard Road States of International Armonk, NY 10504 Business Machines Corporation 18. Henry B. Schact (*) Lucent Technologies United Chairman of the Board 600 Mountain Avenue States of Lucent Technologies Murray Hill, N.J. 07974 19. Maxine F. Singer, Carnegie Institution United President of the Ph.D.(*) of Washington States Carnegie Institution of 1530 P Street, N.W. Washington Washington, D.C. 20005-1910 20. Roger B. Smith (*) Johnson & Johnson United Retired Chairman of One Johnson & Johnson States General Motors Plaza Corporation, Member of New Brunswick NJ 08933 the Business Council and Trustee of the Alfred P. Sloan Foundation 21. Robert N. Wilson (*) Johnson & Johnson United Vice Chairman, Board of One Johnson & Johnson States Directors and Vice Plaza Chairman, Executive New Brunswick, NJ Committee of Johnson & 08933 Johnson
13 CUSIP NO. 150934 10 7 PAGE 10 OF 10 PAGES Board of Directors and Executive Officers of Johnson & Johnson Development Corporation The directors and executive officers of Johnson & Johnson Development Corporation are identified in the table below. Directors of Johnson & Johnson Development Corporation are indicated by an asterisk.
Name Business Address Citizenship Principal Occupation - ---- ---------------- ----------- -------------------- 1. Peter S. Johnson & Johnson United Secretary and Associate General Galloway (*) One Johnson & States Counsel of Johnson & Johnson; Johnson Plaza and Vice President and New Brunswick, Secretary of Johnson & Johnson NJ 08933 Development Corporation 2. Thomas M. Johnson & Johnson United Vice President of Gorrie, Ph.D. One Johnson & States Johnson & Johnson Development Johnson Plaza Corporation New Brunswick, NJ 08933 3. Susan Lambert Johnson & Johnson United Vice President of One Johnson & Kingdom Johnson & Johnson Development Johnson Plaza Corporation New Brunswick, NJ 08933 4. Alfred T. Mays Johnson & Johnson United President, McNeil Specialty One Johnson & States Products Company; and Vice Johnson Plaza President of Johnson & Johnson New Brunswick, NJ Development Corporation 08933 5. Ting Pau Oei (*) Johnson & Johnson United Vice President of One Johnson & States Johnson & Johnson Development Johnson Plaza Corporation New Brunswick, NJ 08933 6. James R. Utaski Johnson & Johnson United Corporate Vice President, (*) One Johnson & States Business Development of Johnson Johnson Plaza & Johnson; President of Johnson New Brunswick, & Johnson Development NJ 08933 Corporation 7. Dr. Brad Vale Johnson & Johnson United Vice President of One Johnson & States Johnson & Johnson Development Johnson Plaza Corporation New Brunswick, NJ 08933
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