0000927016-01-503058.txt : 20011010
0000927016-01-503058.hdr.sgml : 20011010
ACCESSION NUMBER: 0000927016-01-503058
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011005
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: INTERNATIONAL BIOTECHNOLOGY TRUST PLC
CENTRAL INDEX KEY: 0000942257
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: FIVE ARROWS HOUSE
STREET 2: ST SWITHINS LN
CITY: LONDON EC4N 8NR
MAIL ADDRESS:
STREET 1: FIVE ARROWS HOUSE
STREET 2: ST SWITHINS LN
CITY: LONDON EC4N 8NR
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: RIBOZYME PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0000892112
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 341697351
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-47149
FILM NUMBER: 1752854
BUSINESS ADDRESS:
STREET 1: 2950 WILDERNESS PLACE
CITY: BOULDER
STATE: CO
ZIP: 80301
BUSINESS PHONE: 3034496500
MAIL ADDRESS:
STREET 1: 2950 WILDERNESS PLACE
CITY: BOULDER
STATE: CO
ZIP: 80301
SC 13D/A
1
dsc13da.txt
SCHEDULE 13D/A AMENDMENT 2
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OMB APPROVAL
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UNITED STATES OMB Number: 3235-0415
SECURITIES AND EXCHANGE COMMISSION Expires: October 31, 2002
Washington, D.C. 20549 Estimated average burden
hours per response.... 14.90
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SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2 )*
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Ribozyme Pharmaceuticals, Inc.
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(Name of Issuer)
Common Stock, $.01 par value
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(Title of Class of Securities)
762567105
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(CUSIP Number)
Stephen Cunningham David W. Tegeler, Esq.
Schroders Investment Management Limited Testa, Hurwitz & Thibeault, LLP
31 Gresham Street 125 High Street
London EC2V 7QA, England Boston, MA 02110
+44 (0) 20 7658-6000 (617) 248-7000
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(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
March 23, 2001
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(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 that is the subject of this Schedule 13D, and is filing this
schedule because of (S)(S)240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [_]
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See (S)240.13d-7 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
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CUSIP NO. 762567105 PAGE 2 OF 5 PAGES
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NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY).
International Biotechnology Trust plc
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
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SOURCE OF FUNDS*
4
Not Applicable
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
5 PURSUANT TO ITEMS 2(d) or 2(e) [_]
Not Applicable
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
United Kingdom
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SOLE VOTING POWER
7
NUMBER OF 782,633 shares of Common Stock,
$.01 par value ("Common Stock")
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
-0-
OWNED BY
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EACH SOLE DISPOSITIVE POWER
9
REPORTING 782,633 shares of Common Stock
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
-0-
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
782,633 shares of Common Stock
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12 [_]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
4.6%
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TYPE OF REPORTING PERSON*
14
CO
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*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.
Page 2 of 5 pages
This Schedule 13D Amendment No. 2 ("Amendment No. 2") is an amendment to
the Schedule 13D that was filed with the Securities and Exchange Commission
("SEC") on May 3, 1996 and amended by Schedule 13D Amendment No. 1 filed with
the SEC on October 31, 1997 (together, the "Original 13D") on behalf of
International Biotechnology Trust plc.
Unless otherwise noted, the information contained in this Amendment No. 2
amends and restates the items below as previously disclosed in the Original 13D.
Capitalized terms not defined in this Amendment No. 2 shall have their
respective meanings as set forth in the Original 13D.
ITEM 1. SECURITY AND ISSUER.
This statement relates to the Common Stock, $.01 par value (the "Common
Stock") of Ribozyme Pharmaceuticals, Inc., a Delaware corporation (the
"Issuer"). The principal executive officers of the Issuer are located at 2950
Wilderness Place, Boulder, Colorado 80301.
ITEM 2. IDENTITY AND BACKGROUND.
(a) The undersigned hereby files this Schedule 13D on behalf of
International Biotechnology Trust plc, a company organized under the laws of the
United Kingdom ("IBT").
(b) The principal business of IBT is that of a publicly-traded investment
trust company.
(c) The address of the principal business office of IBT is 31 Gresham
Street, London, EC2V 7QA, England.
(d) During the five years prior to the date hereof, neither IBT nor any of
its officers or directors have been convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors).
(e) During the five years prior to the date hereof, neither IBT nor any of
its officers or directors were a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction as a result of which such person
was or is subject to a judgment, decree or final order enjoining future
violations of or prohibiting or mandating activity 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.
Not Applicable
ITEM 4. PURPOSE OF TRANSACTION.
Not Applicable.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) Based on a total of 16,882,683 share of Common Stock outstanding (such
number is based on the number of securities outstanding as contained in the most
recently available filing with the Commissioner of the Issuer) of the Issuer,
IBT owns 782,633 shares of Common Stock, or approximately 4.6% of the Common
Stock outstanding.
(b) Except as described in Item 6 below, IBT has sole power to vote or
direct the voting of and to dispose or to direct the disposition of the shares
of Common Stock referred to in paragraph (a) above.
Page 3 of 5 pages
(c) Except as described in this statement, neither IBT nor any of its
officers or directors have effected any transaction in the Common Stock in the
past 60 days.
(d) As of March 23, 2001, IBT has ceased to be a beneficial owner of more
than five percent of the class of securities of the Issuer.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
On November 7, 2000, IBT terminated its contractual agreement with
Rothchild Asset Management Limited. Pursuant to a contractual agreement dated
as of November 7, 2000, IBT has engaged Schroders Investment Management Limited
("Schroders") to act as its discretionary investment manager. Pursuant to such
agreement, Schroders manages the business and assets of IBT, which includes the
authority to make decisions regarding the acquisition or disposition of
portfolio securities by IBT and to exercise any rights (including voting rights)
with respect to such securities. IBT has the right to terminate Schroders'
appointment as manager at any time if Schroders commits a material breach of its
obligations under the agreement and, if its breach is capable of remedy, fails
to make good the breach within 90 days of receipt of notice from IBT requiring
it to do so.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
None.
Page 4 of 5 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.
INTERNATIONAL BIOTECHNOLOGY TRUST PLC
October 4, 2001
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Date
/s/ Tom Daniel
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Signature
Signatory
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Name/Title
Page 5 of 5 pages