0001181431-12-044920.txt : 20120810 0001181431-12-044920.hdr.sgml : 20120810 20120810150134 ACCESSION NUMBER: 0001181431-12-044920 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120811 FILED AS OF DATE: 20120810 DATE AS OF CHANGE: 20120810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: POWELL MICHAEL CENTRAL INDEX KEY: 0001202793 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024237 MAIL ADDRESS: STREET 1: C/O SOFINNOVE VENTURE PARTNERS INC STREET 2: 140 GEARY BLVD 10TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024250 MAIL ADDRESS: STREET 1: 140 GEARY STREET STREET 2: 10TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Azan Alain CENTRAL INDEX KEY: 0001294340 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024236 MAIL ADDRESS: STREET 1: 140 GEARY STREET, 10TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KALOBIOS PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001293310 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770557236 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 260 EAST GRAND AVE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650.243.3100 MAIL ADDRESS: STREET 1: 260 EAST GRAND AVE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOFINNOVA VENTURE PARTNERS V LP CENTRAL INDEX KEY: 0001108554 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024249 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650) 681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOFINNOVA VENTURE AFFILIATES V LP CENTRAL INDEX KEY: 0001130859 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024248 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOFINNOVA VENTURE PRINCIPALS V LP CENTRAL INDEX KEY: 0001133066 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024245 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Management V LLC CENTRAL INDEX KEY: 0001294339 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024239 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Management V 2005, LLC CENTRAL INDEX KEY: 0001362315 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54735 FILM NUMBER: 121024238 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 3 1 rrd352773.xml KALOBIOS FORM 10 EFFECTIVE X0206 3 2012-08-11 0 0001293310 KALOBIOS PHARMACEUTICALS INC NONE 0001245624 HEALY JAMES C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 1 0 1 0 0001108554 SOFINNOVA VENTURE PARTNERS V LP C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001130859 SOFINNOVA VENTURE AFFILIATES V LP C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001133066 SOFINNOVA VENTURE PRINCIPALS V LP C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001294339 Sofinnova Management V LLC C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001362315 Sofinnova Management V 2005, LLC C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001202793 POWELL MICHAEL C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001294340 Azan Alain C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 Common Stock 891 I See footnote Common Stock 27116 I See footnote Common Stock 414 I See footnote Series A Preferred Stock Common Stock 21792 I See footnote Series A Preferred Stock Common Stock 662422 I See footnote Series A Preferred Stock Common Stock 10155 I See footnote Series B-1 Preferred Stock Common Stock 39984 I See footnote Series B-1 Preferred Stock Common Stock 1215302 I See footnote Series B-1 Preferred Stock Common Stock 18633 I See footnote Series B-2 Preferred Stock Common Stock 68096 I See footnote Series B-2 Preferred Stock Common Stock 2326908 I See footnote Series B-2 Preferred Stock Common Stock 35553 I See footnote Series C Preferred Stock Common Stock 5966 I See footnote Series C Preferred Stock Common Stock 748111 I See footnote Series C Preferred Stock Common Stock 11194 I See footnote Series D Preferred Stock Common Stock 4869 I See footnote Series D Preferred Stock Common Stock 610616 I See footnote Series D Preferred Stock Common Stock 9136 I See footnote Series E Preferred Stock Common Stock 2293 I See footnote Series E Preferred Stock Common Stock 287522 I See footnote Series E Preferred Stock Common Stock 4302 I See footnote Shares are held directly by Sofinnova Venture Affiliates V, L.P. ("SV V Affiliates"). Sofinnova Management V, L.L.C. ("SV V LLC"), the general partner of SV V Affiliates, and James I. Healy, a director of the Issuer, Michael F. Powell, and Alain L. Azan, the managing members of SV V LLC, may be deemed to share voting and dispositive power over the shares held by SV V Affiliates. Such persons and entities disclaim beneficial ownership of shares held by SV V Affiliates except to the extent of any pecuniary interest therein. Shares are held directly by Sofinnova Venture Partners V, L.P. ("SV V"). SV V LLC and Sofinnova Management V 2005, L.L.C. ("SV V 2005 LLC"), the general partners of SV V, and James I. Healy, a director of the Issuer, Michael F. Powell, and Alain L. Azan, the managing members of SV V LLC and SV V 2005 LLC, may be deemed to share voting and dispositive power over the shares held by SV V. Such persons and entities disclaim beneficial ownership of shares held by SV V except to the extent of any pecuniary interest therein. Shares are held directly by Sofinnova Venture Principals V, L.P. ("SV V Principals"). SV V LLC, the general partner of SV V Principals, and James I. Healy, a director of the Issuer, Michael F. Powell, and Alain L. Azan, the managing members of SV V LLC, may be deemed to have shared voting and dispositive power over the shares owned by SV V Principals. Such persons and entities disclaim beneficial ownership over the shares owned by SV V Principals except to the extent of any pecuniary interest therein. Each share of Preferred Stock is convertible, at the option of the holder, at any time after the date of issuance of such share, into one fully paid and nonassessable share of common stock, subject to certain anti-dilution adjustments. /s/ Nathalie Auber, Attorney-in-Fact for Designated Filer and each Joint Filer 2012-08-10