-----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, VdFivzpPs+RKwx+tA35iB9EuWqaSR00lohU7ZRhiDg5bQ7ZnKswTYnLCoKfaqYfj iOtqZa+dduGC0Ovwj/m+jQ== 0000893220-02-000101.txt : 20020414 0000893220-02-000101.hdr.sgml : 20020414 ACCESSION NUMBER: 0000893220-02-000101 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRANSGENOMIC INC CENTRAL INDEX KEY: 0001043961 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 911789357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-59565 FILM NUMBER: 02529378 BUSINESS ADDRESS: STREET 1: 12325 EMMET ST CITY: OMAHA STATE: NE ZIP: 68164 BUSINESS PHONE: 4027385480 MAIL ADDRESS: STREET 1: 12325 EMMET STREET CITY: OMAHA STATE: NE ZIP: 68164 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC CENTRAL INDEX KEY: 0001131399 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: GLAXO WELLCOME HOUSE STREET 2: BERKELEY AVE CITY: GREENFORD MIDDLESEX STATE: X0 ZIP: 00000 BUSINESS PHONE: 011442089668000 MAIL ADDRESS: STREET 1: GLAXO WELLCOME HOUSE STREET 2: BERKELEY AVE ENGLAND CITY: GREENFORD MIDDLESEX SC 13G 1 w57295sc13g.txt SC 13G FILED BY GLAXOSMITHKLINE FOR TRANSGENOMIC SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TRANSGENOMIC, INC. (Name of Issuer) Common Stock, $.01 Par Value (Title of Class of Securities) 89365K206 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on the file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled our for a reporting person's initial filing of 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). (Continued on following page(s)) CUSIP NO. 89365K206 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GlaxoSmithKline plc 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales 5 SOLE VOTING POWER NUMBER OF 1,247,687 SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON 1,247,687 WITH 8 SHARED DISPOSITIVE POWER 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,247,687 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.4% 12 TYPE OF REPORTING PERSON* CO *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 89365K206 13G Item 1. (a). Name of Issuer: Transgenomic, Inc. (b). Address of Issuer's Principal Executive Offices: 12325 Emmet Street Omaha, NE 68164 Item 2. (a). Names of Person Filing: GlaxoSmithKline plc (b). Address of Principal Business Office: 980 Great West Road Brentford Middlesex TW8 9GS ENGLAND (c). Citizenship: England and Wales (d). Title of Class of Securities: Common stock. (e). CUSIP Number: 89365K206 Item 3. Not Applicable. Item 4. Ownership. The information in items 1 and 5 through 11 on the cover pages (page 2) on Schedule 13G is hereby incorporated by reference. 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 [ ]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person: The following companies are indirect, wholly-owned subsidiaries of Reporting Person and owners of record for 1,247,687 shares, collectively:
Owner of Record No. of Shares S.R.One, Limited (US) 1,108,133 S.R. One Limited (UK) 118,210 S.R. One International B.V. (NETH) 21,344
Of these shares, 165,621; 17,731; and 3,202 shares are held respectively by S.R. One, Limited (US); S.R.One Limited (UK) and S.R. One International B.V. (NETH) in an escrow account established in conjunction with the acquisition of Annovis, Inc. by the Issuer. Except to the extent that post-closing claims of the Issuer are satisfied by delivery of shares from the escrow account, the shares will be held in escrow until May 29, 2002. Item 7. Identification and Classification of Subsidiaries 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 acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such 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. GLAXOSMITHKLINE PLC By: /s/ -------------------------------------- S.M. Bicknell Company Secretary Dated: February 6, 2002
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