0000913849-05-000183.txt : 20120629
0000913849-05-000183.hdr.sgml : 20120629
20050222133639
ACCESSION NUMBER: 0000913849-05-000183
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20050222
DATE AS OF CHANGE: 20050222
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: ESTEVE ANTONIO PHD
CENTRAL INDEX KEY: 0001174486
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
BUSINESS PHONE: 212-835-1497
MAIL ADDRESS:
STREET 1: 350 SOUTH MAIN STREET
STREET 2: SUITE 307
CITY: DOYLESTOWN
STATE: PA
ZIP: 18901
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: DISCOVERY LABORATORIES INC /DE/
CENTRAL INDEX KEY: 0000946486
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 943171943
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-52027
FILM NUMBER: 05630303
BUSINESS ADDRESS:
STREET 1: 350 MAIN STREET SUITE 307
CITY: DOYLESTOWN
STATE: PA
ZIP: 18901
BUSINESS PHONE: 2152404699
MAIL ADDRESS:
STREET 1: 350 MAIN STREET SUITE 307
CITY: DOYLESTOWN
STATE: PA
ZIP: 18901
FORMER COMPANY:
FORMER CONFORMED NAME: ANSAN PHARMACEUTICALS INC
DATE OF NAME CHANGE: 19961121
FORMER COMPANY:
FORMER CONFORMED NAME: ANSAN INC
DATE OF NAME CHANGE: 19950609
SC 13G
1
sc13g_021105.txt
SCHEDULE 13G
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
DISCOVERY LABORATORIES, INC.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 par value
--------------------------------------------------------------------------------
(Title of Class of Securities)
254668 10 6
--------------------------------------------------------------------------------
(CUSIP Number)
DECEMBER 3, 2004
--------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[_] Rule 13d-1(b)
[x] Rule 13d-1(c)
[_] Rule 13d-1(d)
CUSIP No. 254668 10 6 13G Page 2 of 7 Pages
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
LABORATORIOS DEL DR. ESTEVE, S.A.
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
SPAIN
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 2,285,584
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 317,164
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 2,285,584
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 317,164
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,602,748(1)
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.5%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
CO
_______________
(1) Includes 51,174 shares issuable under a currently excercisable warrant,
2,234,410 shares of common stock of Discovery Laboratories, Inc.
beneficially owned by Laboratorios del Dr. Esteve, S.A. and 317,164 shares
of common stock of Discovery Laboratories, Inc. beneficially owned by
Laboratorios P.E.N., S.A., an affiliate of Laboratorios del Dr. Esteve,
S.A.
CUSIP No. 254668 10 6 13G Page 3 of 7 Pages
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
LABORATORIOS P.E.N., S.A.
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
SPAIN
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 0
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 317,164
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 317,164
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
317,164
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.7%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
CO
CUSIP No. 254668 10 6 13G Page 4 of 7 Pages
________________________________________________________________________________
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
ANTONIO ESTEVE, PH.D.
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
SPAIN
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES 44,590
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 0
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 44,590
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 0
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
44,590
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[x]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.09%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
CUSIP No. 254668 10 6 13G Page 5 of 7 Pages
Item 1(a). Name of Issuer:
Discovery Laboratories, Inc.
____________________________________________________________________
Item 1(b). Address of Issuer's Principal Executive Offices:
2600 Kelly Road, Suite 100, Warrington, Pennsylvania 18976
____________________________________________________________________
Item 2(a). Name of Person Filing:
(i) Laboratorios del Dr. Esteve, S.A.
Av. Mare de Deu de Montserrat, 221
08041 Barcelona (Spain)
(ii) Laboratorios P.E.N., S.A.
Av. Mare de Deu de Montserrat, 221
08041 Barcelona (Spain)
(iii) Antonio Esteve, Ph.D.
Av. Mare de Deu de Montserrat, 221
08041 Barcelona (Spain)
____________________________________________________________________
Item 2(c). Citizenship:
(i) Laboratorios del Dr. Esteve, S.A. is a Spanish corporation.
(ii) Laboratorios P.E.N., S.A. is a Spanish corporation.
(iii) Antonio Esteve, Ph.D. is a Spanish citizen.
____________________________________________________________________
Item 2(d). Title of Class of Securities:
Common Stock, $.001 par value
____________________________________________________________________
Item 2(e). CUSIP Number:
254668 10 6
____________________________________________________________________
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b)
or (c), Check Whether the Person Filing is a:
(a) [_] Broker or dealer registered under Section 15 of the Exchange Act.
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act.
(c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange
Act.
(d) [_] Investment company registered under Section 8 of the Investment
Company Act.
(e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [_] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act;
(i) [_] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act;
CUSIP No. 254668 10 6 13G Page 6 of 7 Pages
(j) [_] Group, in accordance with Rule 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:
2,647,338 (See paragraph (c) below.)
______________________________________________________________________
(b) Percent of class:
5.6%
______________________________________________________________________
(c) Number of shares as to which such person has:
LABORATORIOS DEL DR. ESTEVE, S.A.*
(i) Sole power to vote or direct the vote: 2,285,584
(ii) Shared power to vote or direct the vote: 317,164
(iii) Sole power to dispose or to direct the disposition of:
2,285,584
(iv) Shared power to dispose or to direct the disposition of:
317,164
---------
* Consists of 51,174 shares issuable under a currently exercisable
warrant, 2,234,410 shares of common stock of Discovery Laboratories,
Inc. beneficially owned by Laboratorios del Dr. Esteve, S.A. and
317,164 shares of common stock beneficially owned by Laboratories
P.E.N., S.A., an affiliate of Laboratorios del Dr. Esteve, S.A.
LABORATORIOS P.E.N., S.A.
(i) Sole power to vote or direct the vote: 0
(ii) Shared power to vote or direct the vote: 317,164
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of:
317,164
ANTONIO ESTEVE, PH.D.
(i) Sole power to vote or direct the vote: 44,590**
(ii) Shared power to vote or direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of: 44,590**
(iv) Shared power to dispose or to direct the disposition of: 0
---------
** Consists of 40,000 shares of common stock subject to stock options
that are currently exercisable within 60 days and held directly by
Antonio Esteve, Ph.D. Dr. Esteve is a director of Discovery
Laboratories, Inc. and sits on the Executive Committee of Laboratorios
del Dr. Esteve, S.A. Dr. Esteve disclaims beneficial ownership with
respect to all shares beneficially held by Laboratorios del Dr.
Esteve, S.A. and Laboratorios P.E.N., S.A.
CUSIP No. 254668 10 6 13G Page 7 of 7 Pages
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 [ ].
Not applicable.
_______________________________________________________________________
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 or Control
Person.
Not applicable.
_______________________________________________________________________
Item 8. Identification and Classification of Members of the Group.
Not applicable.
_______________________________________________________________________
Item 9. Notice of Dissolution of Group.
Not applicable.
______________________________________________________________________
Item 10. Certifications.
By signing below I certify that, to the best of my 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.
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.
Dated: February 22, 2005 LABORATORIOS DEL DR. ESTEVE, S.A.
/s/ Jose M. Rafols Ferrer
----------------------------------------
Name: Jose M. Rafols Ferrer
Title: Financial Director
LABORATORIOS P.E.N., S.A.
/s/ Jose M. Rafols Ferrer
----------------------------------------
Name: Jose M. Rafols Ferrer
Title: Financial Director
ANTONIO ESTEVE
/s/ Antonio Esteve
----------------------------------------
Name: Antonio Esteve
EX-99.1
2
ex99-1_021105.txt
JOINT FILING AGREEMENT
EXHIBIT 99.1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of
1934, as amended, each of the undersigned parties hereby agrees to file jointly
a statement on Schedule 13G (including any amendments thereto) with respect to
the Common Stock, $.001 par value per share, of Discovery Laboratories, Inc.
The undersigned acknowledge that each shall be responsible for the
timely filing of such statement and any amendments thereto, and for the
completeness and accuracy of the information concerning such party contained
therein, but such party shall not be responsible for the completeness and
accuracy of information concerning the other party unless such party knows or
has reason to believe that such information is inaccurate.
It is understood and agreed that a copy of this joint filing agreement
shall be attached as an exhibit to the statement on Schedule 13G, and any
amendments thereto, as filed on behalf of the undersigned parties.
Dated: February 22, 2005 LABORATORIOS DEL DR. ESTEVE, S.A.
/s/ Jose M. Rafols Ferrer
----------------------------------------
Name: Jose M. Rafols Ferrer
Title: Financial Director
LABORATORIOS P.E.N., S.A.
/s/ Jose M. Rafols Ferrer
----------------------------------------
Name: Jose M. Rafols Ferrer
Title: Financial Director
ANTONIO ESTEVE
/s/ Antonio Esteve
----------------------------------------
Name: Antonio Esteve