-----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, BVb0x/T6VeEGL0nBXoKeTpFo1am7bHzvr1jESdPq7crSuYgRpopwDEwWXJl1Uteg I+zOSXbDsQW9Qt91edluvw== 0000950133-97-004232.txt : 19971219 0000950133-97-004232.hdr.sgml : 19971219 ACCESSION NUMBER: 0000950133-97-004232 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19971218 SROS: NONE GROUP MEMBERS: BB BIOTECH AG GROUP MEMBERS: BIOTECH TARGET S.A. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALEXION PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000899866 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133648318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-47771 FILM NUMBER: 97740510 BUSINESS ADDRESS: STREET 1: 25 SCIENCE PARK STREET 2: STE 360 CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 2037761790 MAIL ADDRESS: STREET 1: 25 SCIENCE PARK STREET 2: STE 360 CITY: NEW HAVEN STATE: CT ZIP: 06511 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BB BIOTECH AG CENTRAL INDEX KEY: 0000924223 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: DC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O BAKER & MCKENZIE STREET 2: 815 CONNECTICUT AVENUE NW CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2028351882 MAIL ADDRESS: STREET 1: C/O BAKER & MCKENZIE STREET 2: 815 CONNECTICUT AVENUE NW CITY: WASHINGTON STATE: DC ZIP: 20006 SC 13D/A 1 SCHEDULE 13D (AMENDMENT NO. 2) 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 2) Under the Securities Exchange Act of 1934 ALEXION PHARMACEUTICALS, INC. ----------------------------- (Name of Issuer) COMMON STOCK $.0001 PAR VALUE ----------------------------- (Title of Class of Securities) 015351-10-9 ----------- (CUSIP Number) Dr. Anders Hove Grafenauweg 4, 6301 Zug CH/Switzerland 011-41-41-724-5959 ------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Daniel L. Goelzer, Esq. Baker & McKenzie 815 Connecticut Avenue, N.W. Washington, D.C. 20006 December 8, 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 [ ]. Page 1 of 9 2 Check the following box if a fee is being paid with the statement [ ]. (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 if 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 2 of 9 3 CUSIP No. 015351-10-9 - -------------------------------------------------------------------------------- (1) Name of Reporting Person Biotech Target S.A. S.S. or I.R.S. Identification No. of Above Person: Not Applicable - Foreign Corporation - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- (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 Panama - -------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power Beneficially Owned 0 by Biotech Target S.A. by Each Reporting Person With -------------------------------------------- (8) Shared Voting Power 1,038,282 by Biotech Target S.A. (See Item 5) -------------------------------------------- (9) Sole Dispositive Power 0 by Biotech Target S.A. -------------------------------------------- (10) Shared Dispositive Power 1,038,282 by Biotech Target S.A. (See Item 5) - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person Page 3 of 9 4 1,038,282 shares of common stock, $.0001 par value per share (See Item 5) - -------------------------------------------------------------------------------- (12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 11.4% - -------------------------------------------------------------------------------- (12) Type of Reporting Person* CO Page 4 of 9 5 CUSIP No. 015351-10-9 - -------------------------------------------------------------------------------- (1) Name of Reporting Person BB Biotech AG S.S. or I.R.S. Identification No. of Above Person: Not Applicable: Foreign Corporation - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- (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 Switzerland - -------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power Beneficially Owned 0 by BB Biotech AG by Each Reporting Person With -------------------------------------------- (8) Shared Voting Power 1,038,282 by BB Biotech AG (See Item 5) -------------------------------------------- (9) Sole Dispositive Power 0 by BB Biotech AG -------------------------------------------- (10) Shared Dispositive Power 1,038,282 by BB Biotech AG (See Item 5) - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person Page 5 of 9 6 1,038,282 shares of common stock, $.0001 par value per share (See Item 5) - -------------------------------------------------------------------------------- (12) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 11.4% - -------------------------------------------------------------------------------- (12) Type of Reporting Person* HC, CO Page 6 of 9 7 Schedule 13D Amendment Number 2 This Amendment Number 2 reports the acquisition by BB Biotech AG ("BB Biotech") and Biotech Target S.A. ("Biotech Target") of additional securities of Alexion Pharmaceuticals, Inc. ("Alexion"). Biotech Target purchased an additional 102,500 shares of common stock, $.0001 par value per share, of Alexion (the "Common Stock) in a series of open market transactions as described in Item 5 of this Amendment Number 2. This Amendment Number 2 also serves to modify the reporting of the beneficial ownership by Biotech Target and BB Biotech of securities issued by Alexion. Pursuant to that certain Series B Preferred Stock Purchase Agreement, dated September 8, 1997, Biotech Target purchased 400,000 shares of the Series B Convertible Preferred Stock, par value $.0001 per share the ("Preferred Stock"), which represented 100% of the outstanding shares of the Preferred Stock. The Preferred Stock is an unregistered class of securities. As of December 18, 1997, the shares of Preferred Stock owned by Biotech Target and BB Biotech were immediately convertible into 935,782 shares of the Common Stock, which represents approximately 9.5% of the outstanding shares of the Common Stock. Therefore, as of December 16, 1997, Biotech Target and BB Biotech beneficially own, as defined in Rule 13-d(3)(a) and Rule 13d-(3)(d), a total of 1,038,282 shares of the Common Stock which represent approximately 11.4% of the outstanding shares of the Common Stock. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (c) Biotech Target engaged in the following transactions with respect to the securities of Alexion during the past sixty days. Each of these transactions was completed on the open market.
- ---------------------------------------------------------------------------------------------------------- DATE TRANSACTION AMOUNT PRICE PER SHARE - ---------------------------------------------------------------------------------------------------------- December 8, 1997 Bought 85,000 shares of Common $10.63 Stock - ---------------------------------------------------------------------------------------------------------- December 10, 1997 Bought 7,500 shares of Common $10.63 Stock - ---------------------------------------------------------------------------------------------------------- December 11, 1997 Bought 10,000 shares of Common $10.63 Stock - ----------------------------------------------------------------------------------------------------------
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1: Agreement by and between BB Biotech and Biotech Target with respect to the joint filing of this disclosure statement. 7 of 9 8 SIGNATURES 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. BB BIOTECH AG Date: December 18, 1997 By: /s/ Hans-Joerg Graf ------------------------- Name: Hans-Joerg Graf ------------------------ Date: December 18, 1997 By: /s/ Dr. Victor Bischoff ------------------------- Name: Dr. Victor Bischoff ------------------------ BIOTECH TARGET S.A. Date: December 18, 1997 By: /s/ Dr. Andreas Bremer -------------------------- Name: Dr. Andreas Bremer ------------------------ Date: December 18, 1997 By: /s/ Dr. Anders Hove -------------------------- Name: Dr. Anders Hove ------------------------ Page 8 of 9 EX-1 2 JOINT FILING AGREEMENT 1 JOINT FILING AGREEMENT We, the undersigned, hereby express our agreement that the attached Schedule 13D (including all amendments thereto) is filed on behalf of each of the undersigned. BB BIOTECH AG Date: December 18, 1997 By: /s/ Hans-Joerg Graf ------------------------- Name: Hans-Joerg Graf ------------------------ Date: December 18, 1997 By: /s/ Dr. Victor Bischoff ------------------------- Name: Dr. Victor Bischoff ------------------------ BIOTECH TARGET S.A. Date: December 18, 1997 By: /s/ Dr. Andreas Bremer -------------------------- Name: Dr. Andreas Bremer ------------------------ Date: December 18, 1997 By: /s/ Dr. Anders Hove -------------------------- Name: Dr. Anders Hove ------------------------ Page 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----