-----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, NEtZPESwwIpShRXHtp9kldl+Fxy5a3rHJzIgw0Mm5OwKZgYPgkja39wgTau6b6Ra HB+0vwqYQmGLiOdrOY9zFQ== 0000950135-98-004205.txt : 19980714 0000950135-98-004205.hdr.sgml : 19980714 ACCESSION NUMBER: 0000950135-98-004205 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980710 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COLLATERAL THERAPEUTICS INC CENTRAL INDEX KEY: 0001060329 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 330661290 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-54311 FILM NUMBER: 98664003 BUSINESS ADDRESS: STREET 1: 9360 TOWNE CENTRE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6198246500 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WELLCOME TRUST LTD CENTRAL INDEX KEY: 0001026720 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 210 EUSTON ROAD CITY: LONDON ENGLAND MAIL ADDRESS: STREET 1: 210 EUSTON ROAD CITY: LONDON ENGLAND STATE: X0 SC 13G 1 SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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) (Amendment No._______ )1 Collateral Therapeutics, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 193921 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) July 2, 1998 - -------------------------------------------------------------------------------- (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) ____________ 1 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). 2 - ------------------------ ------------------------------- CUSIP NO. 193921 10 3 13G Page 2 of 5 Pages ------- ------- - ------------------------ ------------------------------- - ------ ------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Wellcome Trust Limited as Trustee of The Wellcome Trust 98 6038021 - ------ ------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------ ------------------------------------------------------------------------- 3 SEC USE ONLY - ------ ------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------ ------------------------------------------------------------------------- 5 SOLE VOTING POWER 987,500 NUMBER OF ----- -------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ----- -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 987,500 ----- -------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER 0 - ------ ------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 987,500 - ------ ------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ------ ------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.4% - ------ ------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - ------ ------------------------------------------------------------------------- Page 2 of 6 3 Item 1(a). Name of Issuer: Collateral Therapeutics, Inc. (the "Issuer"). Item 1(b). Address of Issuer's Principal Executive Offices: 9360 Towne Centre Drive, San Diego, California 92121. Item 2(a). Name of Person Filing: The Wellcome Trust Limited as Trustee of The Wellcome Trust (the "Reporting Person"). Item 2(b). Address of Principal Business Office: The principal business address of the Reporting Person is 183 Euston Road, London NW1 2BE, England. Item 2(c). Citizenship: The Reporting Person is a citizen of England. Item 2(d). Title of Class of Securities: Common Stock, $.001 par value per share (the "Common Stock"). Item 2(e). CUSIP Number: 193921 10 3. Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"); (b) [ ] Bank as defined in Section 3(a)(6) of the Act; (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act; (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940; (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940; (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) of the Act; (g) [ ] Parent Holding Company, in accordance with Rule 3d-1(b)(ii)(G) of the Act; (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; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of the Act. Page 3 of 6 4 If this statement is filed pursuant to Rule 13d-1(c), check this box. [ X ] Item 4. Ownership: (a) Amount Beneficially Owned: The Reporting Person beneficially owns 987,500 shares of Common Stock of the Issuer. (b) Percent of Class: The Reporting Person beneficially owns 9.4% of the Issuer's Common Stock. (c) Number of Shares as to Which Such Person Has: (i) Sole power to vote or to direct the vote: 987,500 shares of Common Stock. (ii) Shared power to vote or to direct the vote: 0 shares of Common Stock. (iii) Sole power to dispose or to direct the disposition of: 987,500 shares of Common Stock. (iv) Shared power to dispose or to direct the disposition of: 0 shares of Common Stock. Item 5. Ownership of Five Percent or Less of a Class: 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: 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. Certification: 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 Page 4 of 6 5 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. Page 5 of 6 6 SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: July 10, 1998 THE WELLCOME TRUST LIMITED AS TRUSTEE OF THE WELLCOME TRUST By: /s/ Ian MacGregor Its: Chief Investment Officer Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----