-----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, NoLdvs/dC83eVuOEGUx5hXaS2sk59fVPzmD6WVKyxlqAcycoSatcwI077SDXV3Od c3TGP50/6e31DwxEUajceQ== 0000851909-07-000005.txt : 20070111 0000851909-07-000005.hdr.sgml : 20070111 20070111173030 ACCESSION NUMBER: 0000851909-07-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070111 DATE AS OF CHANGE: 20070111 GROUP MEMBERS: ISRAEL A. ENGLANDER GROUP MEMBERS: MILLENCO, LLC GROUP MEMBERS: MILLENNIUM MANAGEMENT, L.L.C SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVIGEN INC \DE CENTRAL INDEX KEY: 0000932903 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 133647119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48313 FILM NUMBER: 07526599 BUSINESS ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY STREET 2: . CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5107487150 MAIL ADDRESS: STREET 1: 1301 HARBOR BAY PARKWAY CITY: ALAMEDA STATE: CA ZIP: 94502 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MILLENNIUM PARTNERS, L.P. CENTRAL INDEX KEY: 0000851909 IRS NUMBER: 133521699 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O MILLENNIUM MANAGEMENT, L.L.C. STREET 2: 666 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10103 BUSINESS PHONE: 2128414000 MAIL ADDRESS: STREET 1: C/O MILLENNIUM MANAGEMENT, L.L.C. STREET 2: 666 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10103 FORMER COMPANY: FORMER CONFORMED NAME: MILLENNIUM PARTNERS L P DATE OF NAME CHANGE: 20000628 SC 13G/A 1 avgn_13g-a1.htm AMENDMENT 1 TO SCHEDULE 13G SCHEDULE 13G

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
Under the Securities Exchange Act of 1934

(Amendment No. 1)*


                                                                                  AVIGEN, INC.                                                                                  
(Name of Issuer)

                      COMMON STOCK, PAR VALUE $0.001 PER SHARE                   (Title of Class Securities)

                                                             053690103                                                          
(CUSIP Number)

                                                  JANUARY 5, 2007                                                         
(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o Rule 13d-1(d)

* 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 the disclosures provided in a prior cover page.

The information required in 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).



                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
2
  of   
10

1
 NAME OF REPORTING PERSONS.
 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY).

 Millennium Partners, L.P.
 13-3521699
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Cayman Islands
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 600,000
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 600,000
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 1,244,232
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 4.97%
12 TYPE OF REPORTING PERSON

 PN


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
3
  of   
10

1
 NAME OF REPORTING PERSONS.
 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY).

 Millenco, L.L.C.
 13-3532932
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 644,232
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 644,232
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 1,244,232
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 4.97%
12 TYPE OF REPORTING PERSON

 OO, BD


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
3
  of   
10

1
 NAME OF REPORTING PERSONS.
 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY).

 Millennium Management, L.L.C.
 13-3804139
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 1,244,232
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 1,244,232
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 1,244,232
10  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 4.97%
12 TYPE OF REPORTING PERSON

 
OO


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
4
  of   
10

1
 NAME OF REPORTING PERSONS.
 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY).

 Israel A. Englander
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)   o
 (b)   þ
3
 SEC USE ONLY
4
 CITIZENSHIP OR PLACE OF ORGANIZATION

 United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
5
 SOLE VOTING POWER

 -0-
6
 SHARED VOTING POWER

 1,244,232
 
7
 SOLE DISPOSITIVE POWER

 -0-
 
8
 SHARED DISPOSITIVE POWER

 1,244,232
 
9
 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 1,244,232
10
 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 o
11
 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 4.97%
12
 TYPE OF REPORTING PERSON

 IN

                     
CUSIP No.
 
053690103

 SCHEDULE 13G

Page  
5
  of   
10
 
Item 1    
 
(a) Name of Issuer:
 
   
 
  Avigen, Inc., a company incorporated under the laws of Delaware (the "Company").
 
   
 
(b) Address of Issuer’s Principal Executive Offices:
 
   
 
 

1301 Harbor Bay Parkway

 
Alameda, California 94502
     
Item 2
(a) Name of Person Filing:
Item 2
(b) Address of Principal Business Office:
Item 2
(c) Citizenship:
     
 
  Millennium Partners, L.P.
c/o Millennium Management, L.L.C.
666 Fifth Avenue
New York, New York 10103
Citizenship: Cayman Islands
 
   
 
  Millenco, L.L.C.
c/o Millennium Management, L.L.C.
666 Fifth Avenue
New York, New York 10103
Citizenship: Delaware
 
   
 
  Millennium Management, L.L.C.
666 Fifth Avenue
New York, New York 10103
Citizenship: Delaware
 
   
 
  Israel A. Englander
c/o Millennium Management, L.L.C.
666 Fifth Avenue
New York, New York 10103
Citizenship: United States
 
   
  (d) Title of Class of Securities:
Common Stock, par value $0.001 per share ("Common Stock")
 
  (e) CUSIP Number:
     
    053690103
 
   
Item 3   If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:
 
           
 
  (a)   o   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
             
 
  (b)   o   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
             
 
  (c)   o   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
             
 
  (d)   o   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
             
 
  (e)   o   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

                     
CUSIP No.
 
053690103

 SCHEDULE 13G

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10
 
 
  (f)   o    An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
             
 
  (g)   o   A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
             
 
  (h)   o   A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
             
 
  (i)   o   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
             
 
  (j)   o   Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4. Ownership.

   Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a) Amount Beneficially Owned

   As of the date of this filing, 600,000 shares of Common Stock were owned by Millennium Partners, L.P., a Cayman Islands exempted limited partnership ("Millennium Partners") and 644,232 shares of Common Stock were owned by Millenco, L.L.C., a Delaware limited liability company ("Millenco"), formerly known as Millenco, L.P., a Delaware limited partnership. Millenco is a broker-dealer and a member of the American Stock Exchange and the NASDAQ.

   Millennium Management, L.L.C., a Delaware limited liability company ("Millennium Management"), is the managing partner of Millennium Partners and the manager of Millenco, and consequently may be deemed to have voting control and investment discretion over securities owned by Millennium Partners and by Millenco. Israel A. Englander ("Mr. Englander") is the managing member of Millennium Management. As a result, Mr. Englander may be deemed to be the beneficial owner of any shares deemed to be beneficially owned by Millennium Management. The foregoing should not be construed in and of itself as an admission by Millennium Management or Mr. Englander as to beneficial ownership of the shares owned by Millennium Partners or by Millenco.

   Note: Integrated Holding Group, L.P., a Delaware limited partnership ("Integrated Holding Group"), is a non-managing member of Millenco. As a non-managing member, Integrated Holding Group has no investment or voting control over Millenco or its securities positions.

(b) Percent of Class   

   4.97% of the Company’s Common Stock (see Item 4(a) above), which percentage was calculated based on 25,055,474 shares of Common Stock outstanding as of October 31, 2006, as reported in the Company’s Quarterly Report on Form 10-Q, dated as of November 1, 2006.


                     
CUSIP No.
 
053690103

 SCHEDULE 13G

Page  
7
  of   
10

 (c) Number of shares as to which such person has:

(i) Sole power to vote or to direct the vote

    -0-

(ii) Shared power to vote or to direct the vote

   1,244,232

 (iii) Sole power to dispose or to direct the disposition of

   -0-

(iv) Shared power to dispose or to direct the disposition of

    1,244,232

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 the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following þ .

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

    Not applicable.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

    Not applicable.

Item 8. Identification and Classification of Members of the Group

    See Exhibit I.

Item 9. Notice of Dissolution of Group

    Not applicable.

Item 10. Certification 

    By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
8
  of   
10

Exhibits:

Exhibit I: Joint Filing Agreement, dated as of January 10, 2007, by and among Millennium Partners, L.P., Millenco, L.L.C., Millennium Management, L.L.C. and Israel A. Englander.


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
9
  of   
10
                     
     

SIGNATURE

             

After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.

Dated: January 10, 2007

MILLENNIUM PARTNERS, L.P.

By: Millennium Management, L.L.C.
       its managing partner

By: /s/ Terry Feeney                                          
       Name: Terry Feeney
       Title:   Chief Operating Officer

MILLENCO, L.L.C.

By: Millennium Management, L.L.C.
       as manager

By:  /s/ Terry Feeney                                          
       Name: Terry Feeney
       Title:   Chief Operating Officer

 

MILLENNIUM MANAGEMENT, L.L.C.

By:  /s/ Terry Feeney                                          
        Name: Terry Feeney
        Title:   Chief Operating Officer

 

/s/ Israel A. Englander by David Nolan              
pursuant to Power of Attorney filed with         
the SEC on June 6, 2005                                   
Israel A. Englander


                     
CUSIP No.
 
053690103

SCHEDULE 13G

Page  
10
  of   
10
                     
      EXHIBIT I              
                     
      JOINT FILING AGREEMENT              

This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the Common Stock, par value $0.001 per share, of Avigen, Inc., a company incorporated under the laws of Delaware, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

Dated: January 10, 2007

MILLENNIUM PARTNERS, L.P.

By: Millennium Management, L.L.C.
       its managing partner

By:  /s/ Terry Feeney                                          
       Name: Terry Feeney
       Title:  Chief Operating Officer

MILLENCO, L.L.C.

By: Millennium Management, L.L.C.
       as manager

By:  /s/ Terry Feeney                                          
       Name: Terry Feeney
       Title:   Chief Operating Officer

 

MILLENNIUM MANAGEMENT, L.L.C.

By:  /s/ Terry Feeney                                          
        Name: Terry Feeney
        Title:   Chief Operating Officer

 

/s/ Israel A. Englander by David Nolan              
pursuant to Power of Attorney filed with         
the SEC on June 6, 2005                                   
Israel A. Englander
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