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