-----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, NMQUW0BLV8+/xy95MrzCK9fcLx7MdE51j65aYUXloAJLUQOSOAywNiyyF7P0y+b3 uC2uQkWOzn/JOcMZqPrWFQ== 0000950005-97-000558.txt : 19970522 0000950005-97-000558.hdr.sgml : 19970522 ACCESSION NUMBER: 0000950005-97-000558 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970521 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROBIOLOGICAL TECHNOLOGIES INC /CA/ CENTRAL INDEX KEY: 0000918112 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 943049219 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49135 FILM NUMBER: 97612239 BUSINESS ADDRESS: STREET 1: 1387 MARINA WAY S CITY: RICHMOND STATE: CA ZIP: 94804 BUSINESS PHONE: 5102158000 MAIL ADDRESS: STREET 1: 1387 MARINA WAY SOUTH CITY: RICHMOND STATE: CA ZIP: 94804 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MOHR DAVIDOW VENTURES II/WHD LGM PARTNERS/ ET AL CENTRAL INDEX KEY: 0000903353 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3000 SAND HILL RD., BLDG 1 STREET 2: SUITE 240 CITY: MENLO PARK STATE: CA ZIP: 94025 MAIL ADDRESS: STREET 1: 600 HANSEN WAY 2ND FLOOR CITY: PALO ALTO STATE: CA ZIP: 94304 SC 13G/A 1 FORM 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* Neurobiological Technologies Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 00064124W1 - -------------------------------------------------------------------------------- (CUSIP Number) *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). (Continued on following pages) Page 1 of 7 Pages - -------------------------------------------------------- --------------------------------------- CUSIP NO. 00064124W1 13 G Page 2 of 7 Pages - -------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Lawrence G. Mohr, Jr. ("Mohr") Tax ID Number: ###-##-#### - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------------------------------- -------- ----------------------------------------------------------------------- 5 SOLE VOTING POWER 9,142 shares, of which 4,000 are owned by the "Lawrence G. Mohr, Jr. IRA SEP Fidelity Management Trust Co. Custodian" and 5,142 shares are issuable upon the exercise of a stock option. -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER NUMBER OF 43,010 shares, of which 21,505 are shares directly owned by MDV II and SHARES 21,505 shares of which are directly owned by MDV III. Mohr is a general BENEFICIALLY partner of WHD/LGM, the general partner of MDV II, and a general OWNED BY EACH partner of WLPJ, the general partner of MDV III, and may be deemed to REPORTING have shared voting power with respect to such shares. PERSON -------- ----------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 9,142 shares, of which 4,000 are owned by the "Lawrence G. Mohr, Jr. IRA SEP Fidelity Management Trust Co. Custodian" and 5,142 shares are issuable upon the exercise of a stock option. -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 43,010 shares, of which 21,505 are shares directly owned by MDV II and 21,505 shares of which are directly owned by MDV III. Mohr is a general partner of WHD/LGM, the general partner of MDV II, and a general partner of WLPJ, the general partner of MDV III, and may be deemed to have shared dispositive power with respect to such shares. - ----------------------------------- -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 52,152 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.80% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- --------------------------------------- CUSIP NO. 00064124W1 13 G Page 3 of 7 Pages - -------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS William H. Davidow ("Davidow") Tax ID Number: ###-##-#### - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------------------------------- -------- ----------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER NUMBER OF 43,010 shares, of which 21,505 are shares directly owned by MDV II and SHARES 21,505 shares of which are directly owned by MDV III. Davidow is a BENEFICIALLY general partner of WHD/LGM, the general partner of MDV II, and a OWNED BY EACH general partner of WLPJ, the general partner of MDV III, and may be REPORTING deemed to have shared voting power with respect to such shares. PERSON -------- ----------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 shares -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 43,010 shares, of which 21,505 are shares directly owned by MDV II and 21,505 shares of which are directly owned by MDV III. Davidow is a general partner of WHD/LGM, the general partner of MDV II, and a general partner of WLPJ, the general partner of MDV III, and may be deemed to have shared dispositive power with respect to such shares. - ----------------------------------- -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 43,010 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.66% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- --------------------------------------- CUSIP NO. 00064124W1 13 G Page 4 of 7 Pages - -------------------------------------------------------- --------------------------------------- - ----------- -------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Jonathan D. Feiber ("Feiber") Tax ID Number: ###-##-#### - ----------- -------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ----------- -------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ----------------------------------- -------- ----------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares -------- ----------------------------------------------------------------------- 6 SHARED VOTING POWER NUMBER OF 43,010 shares, of which 21,505 are shares directly owned by MDV II and SHARES 21,505 shares of which are directly owned by MDV III. Feiber is a BENEFICIALLY general partner of WHD/LGM, the general partner of MDV II, and a OWNED BY EACH general partner of WLPJ, the general partner of MDV III, and may be REPORTING deemed to have shared voting power with respect to such shares. PERSON -------- ----------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 shares -------- ----------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 43,010 shares, of which 21,505 are shares directly owned by MDV II and 21,505 shares of which are directly owned by MDV III. Feiber is a general partner of WHD/LGM, the general partner of MDV II, and a general partner of WLPJ, the general partner of MDV III, and may be deemed to have shared dispositive power with respect to such shares. - ----------- -------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 43,010 - ----------- -------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------- -------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.66% - ----------- -------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 5 of 7 Pages This statement amends the Amendment No. 2 and Restatement on Schedule 13(G) (the "Restatement") filed by Mohr Davidow Ventures II, A California Limited Partnership, WHD/LGM Partners, A California Limited Partnership, Mohr, Davidow Ventures III, A California Limited Partnership, WLPJ Partners, A California Limited Partnership, Lawrence G. Mohr, Jr., William H. Davidow, Jonathan D. Feiber and Nancy J. Schoendorf (collectively, the "Reporting Persons"). Only those items that have changed since the Restatement are included herein. ITEM 2(a). NAME OF PERSONS FILING: This Statement is filed by Lawrence G. Mohr, Jr. ("Mohr"), William H. Davidow ("Davidow") and Jonathan D. Feiber ("Feiber"). The foregoing individuals are collectively referred to as the "Reporting Persons." Mohr, Davidow and Feiber are the general partners of WHD/LGM Partners, A California Limited Partnership ("WHD/LGM"), the general partner of Mohr, Davidow Ventures II, A California Limited Partnership ("MDV II") and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned by MDV II. Mohr, Davidow and Feiber are general partners of WLPJ Partners, A California Limited Partnership ("WLPJ"), the general partner of Mohr, Davidow Ventures III, A California Limited Partnership ("MDV III"), and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned by MDV III. ITEM 2(c) CITIZENSHIP: Mohr, Davidow and Feiber are United States citizens. Page 6 of 7 Pages ITEM 4. OWNERSHIP: The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of April 30, 1997: (a) Amount beneficially owned: See Row 9 of cover page for each Reporting Person. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: If this statement is being filed to report the fact that as of the date hereof each of the Reporting Persons has ceased to be the beneficial ownership of more than five percent of the class of securities, check the following: [X] Yes Page 7 of 7 Pages 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. Dated: May ___, 1997 /s/ Lawrence G. Mohr, Jr. --------------------------- Lawrence G. Mohr, Jr. /s/ William H. Davidow --------------------------- William H. Davidow /s/ Jonathan D. Feiber --------------------------- Jonathan D. Feiber -----END PRIVACY-ENHANCED MESSAGE-----