-----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, MtWrb9cnAFXasHSOp2IhjQfH8RnbRJ6zrXk6ezqWq0ieWqbPKA/hUIUmZaxV4D/U 38DkTizRQse3Iv+uWvI0ng== 0000893220-01-500343.txt : 20010612 0000893220-01-500343.hdr.sgml : 20010612 ACCESSION NUMBER: 0000893220-01-500343 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010611 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AFFYMETRIX INC CENTRAL INDEX KEY: 0000913077 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 770319159 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48829 FILM NUMBER: 1658065 BUSINESS ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4085226000 MAIL ADDRESS: STREET 1: 3380 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95051 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC CENTRAL INDEX KEY: 0001131399 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: GLAXO WELLCOME HOUSE STREET 2: BERKELEY AVE CITY: GREENFORD MIDDLESEX STATE: X0 ZIP: 00000 BUSINESS PHONE: 011442089668000 MAIL ADDRESS: STREET 1: GLAXO WELLCOME HOUSE STREET 2: BERKELEY AVE ENGLAND CITY: GREENFORD MIDDLESEX SC 13D/A 1 w50210sc13da.txt AMENDMENT NO.5 TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Amendment No. 5) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Affymetrix Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 00826T 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) Donald F. Parman, GlaxoSmithKline One Franklin Plaza, Philadelphia, PA 19102 Telephone 215-751-7633 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 27, 2001 - May 2, 2001 - -------------------------------------------------------------------------------- (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 / /. 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 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). This Amendment No. 5 amends and supplements the Statement on Schedule 13D electronically filed with the Securities and Exchange Commission (the "Commission") on February 16, 1999, and subsequent amendments electronically filed with the Commission on August 11, 1999, May 5, 1999, November 3, 2000 and December 15, 2000 with respect to the ownership of securities of Affymetrix Inc. (the "Initial Statement"). The Initial Statement was previously filed jointly by Glaxo Wellcome plc, Glaxo Group Limited, Glaxo Venture Limited, Affymax N.V., Affymax Technologies N.V., Wellcome Limited, Glaxo Wellcome Holdings Limited, Glaxo Wellcome International B.V., Glaxo Wellcome Investments B.V., Glaxo Wellcome International, Glaxo Wellcome Americas Inc., Mr. Douglas M. Hurt and Dr. Barry C. Ross. This Amendment No. 5 is being filed on behalf of GlaxoSmithKline plc which became the parent company of Glaxo Wellcome plc though a scheme of arrangement effective December 27, 2000 and consequently the parent of the wholly owned subsidiaries listed above. The undersigned hereby amends and supplements Items 2 and 5 of the Initial Statement to include the following information (capitalized terms used herein without definition shall have the same meaning as set forth in the Initial Statement). 2 SCHEDULE 13D CUSIP NO. 00826T 10 8 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GlaxoSmithKline plc - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 7,736,254 BENEFICIALLY ----------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING PERSON ----------------------------------------------------------------- WITH 9 SOLE DISPOSITIVE POWER 7,736,254 ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,736,254 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.4% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Item 1. Security and Issuer. Item 2. Identity and Background. (a) This statement is filed by GlaxoSmithKline plc, a public limited company organized under the laws of England and Wales ("the Company"). The Company is one of the world's leading research-based pharmaceutical and healthcare companies. (b) The address of the Company's principal executive office is Glaxo Wellcome House, Berkeley Avenue, Greenford, Middlesex UB6 0NN, England. (c) Set forth in Schedule I to this Amendment ("Schedule I") are the names, business address and present principal occupation or employment of each executive officer and director of the Company. (d) During the last five years, there have been no criminal proceedings against the Company or, to the best knowledge of the Company, any of the other persons with respect to whom information is given in response to this Item 2. (e) During the last five years, neither the Company nor, to the best knowledge of the Company, any of the other persons with respect to whom information is given in response to this Item 2 has not been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction resulting in 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. (f) The citizenship of each executive officer and director of the Company is set forth in Schedule I. Item 3. Source and Amount of Funds or Other Consideration. Item 4. Purpose of Transaction. Item 5. Interest in Securities of the Issuer. (a) Amount and Percent Beneficially Owned
Registered Name No. Shares Percent Affymax N.V. 4,765,214 Affymax Technologies N.V. 269,920 GlaxoSmithKline Holdings (Americas) Inc. (1) 2,514,458 Mr. Douglas M. Hurt (2) 79,996 Dr. Barry C. Ross (2)(3) 106,666 --------- 7,736,254 13.4%
(1) Successor by merger to Glaxo Wellcome Americas Inc. (2) Both Mr. Hurt and Dr. Ross acquired shares through exercise of stock options granted to them by the Issuer in their capacities as directors designated by Glaxo Wellcome plc, a direct subsidiary of the Company. Glaxo Wellcome plc beneficially owns such shares. (3) On January 8, 2001, Dr. Ross, a former Director of Issuer, exercised 106,666 stock options. Glaxo Wellcome plc, a direct subsidiary of the Company, beneficially owns such shares. (b) (c) Subsequent to Amendment No. 3, the Company sold 1,375,000 shares on the open market as follows:
Transaction Date No. Shares Average Price $ Per Share 2/27/2001 150,000 57.19 2/28/2001 140,000 57.81 3/01/2001 175,000 54.92 3/20/2001 50,000 39.08 3/21/2001 10,000 37.00 3/28/2001 170,000 28.93 3/29/2001 80,000 28.76 4/30/2001 250,000 33.04 5/01/2001 150,000 31.00 5/02/2001 200,000 31.12
(d) (e) Item 6. Contracts, Arrangements, Understandings or Relationship With respect to Securities of the Issuer. Item 7. Materials to be Filed as Exhibits. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in the Statement is true, correct and complete. DATED: June 11, 2001 GLAXOSMITHKLINE PLC By: /s/ S.M. BICKNELL ------------------------------------ S.M. BICKNELL Company Secretary 4 SCHEDULE I
Principal Occupation Name Business Address or Employment Nationality BOARD OF DIRECTORS Sir Richard Sykes 34 Berkeley Square Company Director British London, England W1J 5AA Sir Francis Roger Hurn Marconi plc Company Director British One Bruton Street London, England W1X 8AQ Sir Peter Walters 22 Hill Street Company Director British Mayfair London, England W1X 7FU Dr. Jean-Pierre Garnier One Franklin Plaza Chief Executive Officer French/USA Philadelphia, PA 19102 John D. Coombe Glaxo Wellcome House Chief Financial Officer British Berkeley Avenue Greenford, Middlesex England UB6 0NN Paul Allaire PO Box 1600 Company Director USA Stamford, CT 06904 Dr. Michele Barzach Sante International Health Strategy French 2 Rue Cognac-Jay Consultant Paris, France 75007 Sir Christopher Hogg Reuters Holdings plc Company Director British 85 Fleet Street London, England EC4P 4AJ Sir Peter Job Reuters Holdings plc Company Director British 85 Fleet Street London, England EC4P 2DB John McArthur 140 Old Connecticut Path Company Director Canadian Wayland, MA 01778 Donald McHenry IRC Group Company Director USA 1320 19TH Street NW Suite 410 Washington, DC 20036 Sir Ian Prosser 20 North Audley Street Company Director British London, England W1Y 1WE Dr. Ronaldo Schmitz 34 Berkeley Square Company Director German London, England W1J 5AA Dr. Lucy Shapiro Stanford University Professor USA School of Medicine 279 Campus Drive Stanford, CA 94305-5329 Dr. John Alan Young 3200 Hillview Avenue Company Director USA Palo Alto, CA 94304 COMPANY SECRETARY Simon M. Bicknell Glaxo Wellcome House Company Secretary British Berkeley Avenue Greenford, Middlesex England UB6 0NN CORPORATE EXECUTIVE TEAM Rupert M. Bondy One New Horizons Court Senior Vice President British Brentford, Middlesex and General Counsel England TW8 9EP John D. Coombe Glaxo Wellcome House Chief Financial British Berkeley Avenue Officer Greenford, Middlesex England UB6 0NN Jean-Pierre Garnier One Franklin Plaza Chief Executive French/USA Philadelphia, PA Officer 19102 Robert A. Ingram 5 Moore Drive Chief Operating USA Research Triangle Park Officer NC 27709 Dr. James Niedel 5 Moore Drive Chief Science & British Research Triangle Park Technology Officer NC 27709 Dr. James B. Palmer 5 Moore Drive Senior Vice President British Research Triangle Park New Product Development NC 27709 Pharmaceuticals R&D Daniel J. Phelan One Franklin Plaza Senior Vice President USA Philadelphia, PA Human Resources 19102 Howard Pien One Franklin Plaza President USA Philadelphia, PA Pharmaceuticals 19102 International David M. Stout 5 Moore Drive President USA Research Triangle Park U.S. Pharmaceuticals NC 27709 Tim Tyson 5 Moore Drive President USA Research Triangle Park Global Manufacturing NC 27709 & Supply Christopher Viehbacher 100 rue de Versailles President German/ 78163 Marly-Le-Roi Pharmaceuticals Canadian Cedex, France Europe Dr. Tadataka Yamada 709 Swedeland Road Chairman USA King of Prussia, PA Research & Development 19406
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