-----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, K1Nwx3vq2MMGoi9TdvatLOm1CkX6LqCoQSVFH9I/eiGyv4GTNdho2zUDWCj993Ox luBh4DtzDzoTKrVYnvCWQQ== 0001209191-05-051377.txt : 20051006 0001209191-05-051377.hdr.sgml : 20051006 20051006143516 ACCESSION NUMBER: 0001209191-05-051377 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051004 FILED AS OF DATE: 20051006 DATE AS OF CHANGE: 20051006 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GENOMIC HEALTH INC CENTRAL INDEX KEY: 0001131324 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 770552594 BUSINESS ADDRESS: STREET 1: 301 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-556-9300 MAIL ADDRESS: STREET 1: 301 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER JULIAN CENTRAL INDEX KEY: 0001087939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51541 FILM NUMBER: 051126962 BUSINESS ADDRESS: STREET 1: TISCH FAMILY INTERESTS STREET 2: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker Biotech Capital III (Z) (GP), LLC CENTRAL INDEX KEY: 0001307728 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51541 FILM NUMBER: 051126963 BUSINESS ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 4 1 bpa13212_bpa18bbc.xml MAIN DOCUMENT DESCRIPTION X0202 4 2005-10-04 1 0001131324 GENOMIC HEALTH INC GHDX 0001307728 Baker Biotech Capital III (Z) (GP), LLC 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 0 0 1 0 0001087939 BAKER JULIAN 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 1 0 1 0 Common Stock 2005-10-04 4 C 0 21355 0 A 21355 I Through Partnerships Common Stock 2005-10-04 4 J 0 863 0 A 22218 I Through Partnerships Series E Preferred 2005-10-04 4 C 0 64067 0 D Common Stock 21355 0 I Through Partnerships In addition to Baker Biotech Capital III (Z) (GP), LLC, this Form 4 is being filed jointly by Julian C. Baker, who has the same business address as Baker Biotech Capital III (Z) (GP), LLC and may be deemed to have a pecuniary interest in securities owned by it. Because of certain relationships with other security holders of the Issuer, the Reporting Persons are filing solely for informational purposes as if they were a member of a group of such shareholders. However, the Reporting Persons disclaim that they and any other person or persons, in fact constitute a "group" for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, or Rule 13d-5 thereunder or that they are the beneficial owners of such securities owned by any such person, and each of them disclaims beneficial ownership of securities reported herein except to the extent of their pecuniary interest, if any, therein. Represents securities owned by Baker Biotech Fund III (Z), L.P., a limited partnership of which the sole general partner is Baker Biotech Capital III (Z), L.P., a limited partnership of which the sole general partner is Baker Biotech Capital III (Z) (GP), LLC. Julian C. Baker is a controlling member of Baker Biotech Capital III (Z) (GP), LLC. On September 8, 2005, the Issuer declared a conditional dividend of 791,210 shares of Common Stock to be distributed on a pro rata basis to the Issuer's stockholders of record at the commencement of the Issuer's initial public offering ("IPO") if the price per share of the Issuer's Common Stock sold in the IPO is $11.40 or greater. As a result, the Reporting Persons received 863 shares of Common Stock as of October 4, 2005, the closing date of the IPO. Every 3 shares of Preferred Stock were converted into 1 share of Common Stock upon consummation of the IPO. This conversion rate is reflected in the amount of securities underlying the derivative security reported in column 7. These securities are exercisable immediately. These securities do not have an expiration date. /s/ Julian C. Baker, as Managing Member of Baker Biotech Capital III (Z) (GP), LLC 2005-10-05 /s/ Julian C. Baker 2005-10-05 -----END PRIVACY-ENHANCED MESSAGE-----