-----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, MtJ4P3kZpUuGTPiI8yawfVDAvetxrA5ZMDcNQaOHix+5b9VXyObVmOir2J5OUfeO kDaL+8F2m+RSkflyQfJr4w== 0001405086-11-000069.txt : 20110214 0001405086-11-000069.hdr.sgml : 20110214 20110214145334 ACCESSION NUMBER: 0001405086-11-000069 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TENGION INC CENTRAL INDEX KEY: 0001296391 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 200214813 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-85434 FILM NUMBER: 11606436 BUSINESS ADDRESS: STREET 1: 2900 POTSHOP LANE STREET 2: SUITE 100 CITY: EAST NORRITON STATE: PA ZIP: 19403 BUSINESS PHONE: 267-960-4800 MAIL ADDRESS: STREET 1: 2900 POTSHOP LANE STREET 2: SUITE 100 CITY: EAST NORRITON STATE: PA ZIP: 19403 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OAK MANAGEMENT CORP CENTRAL INDEX KEY: 0001030818 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 SC 13G 1 ftengion13g.htm UNITED STATES

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

§ 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2


(Amendment No. ___________)*


Tengion, Inc.

(Name of Issuer)


Common Stock Par Value $0.001

(Title of Class of Securities)


880346109

(CUSIP Number)


April 14, 2010

(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)


*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).



CUSIP NO. 880346109

13G

PAGE 1 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Oak Investment Partners XI, Limited Partnership

20-1319065


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

2,043,779 Shares of Common Stock


6.    SHARED VOTING POWER

0 Shares of Common Stock

  

7.    SOLE DISPOSITIVE POWER

2,043,779 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

0 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

PN



CUSIP NO. 880346109

13G

PAGE 2 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Oak Associates XI, LLC

20-1319921


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

OO-LLC



CUSIP NO. 880346109

13G

PAGE 3 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Oak Management Corporation

06-0990851


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

CO



CUSIP NO. 880346109

13G

PAGE 4 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Bandel L. Carano


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

IN




CUSIP NO. 880346109

13G

PAGE 5 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Gerald R. Gallagher


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

IN



CUSIP NO. 880346109

13G

PAGE 6 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Edward F. Glassmeyer


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

IN



CUSIP NO. 880346109

13G

PAGE 7 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Fredric W. Harman


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

IN



CUSIP NO. 880346109

13G

PAGE 8 OF 8 PAGES


1.

NAME OF REPORTING PERSONS

Ann H. Lamont


2.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  [     ]

(b)  [ X ]


3.

SEC USE ONLY


4.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States


NUMBER OF SHARES BENEFICIALLY OWNED BY

EACH REPORTING PERSON WITH:


5.    SOLE VOTING POWER

 

0 Shares of Common Stock


6.    SHARED VOTING POWER

  

2,043,779 Shares of Common Stock


7.    SOLE DISPOSITIVE POWER

0 Shares of Common Stock


8.    SHARED DISPOSITIVE POWER

 

2,043,779 Shares of Common Stock


9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,043,779 Shares of Common Stock


10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: [    ]


11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

16.5%


12.

TYPE OF REPORTING PERSON

IN




Item 1.


(a)

Name of Issuer:   

Tengion, Inc.


(b)

Address of Issuer's principal executive offices:

2900 Potshop Lane, Suite 100

East Norriton, Pennsylvania 19403


Item 2.


(a)

Names of persons filing:  

Oak Investment Partners XI, Limited Partnership (“Oak Investment Partners XI”)

Oak Associates XI, LLC (“Oak Associates XI”)

Oak Management Corporation (“Oak Management”)

Bandel L. Carano

Gerald R. Gallagher

Edward F. Glassmeyer

Fredric W. Harman

Ann H. Lamont


(b)

Address or principal business office or, if none, residence:

c/o Oak Management Corporation

One Gorham Island

Westport, Connecticut 06880


(c)

Citizenship:  

Please refer to Item 4 on each cover sheet for each filing person.


(d)

Title of class of securities:

Common Stock, par value $0.001 per share   


(e)

CUSIP No.:   

880346109


Item 3.

Statement filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c):

Not applicable



Item 4. Ownership


The information in Items 1 and 5 through 11 on the cover pages of this Schedule 13G is hereby incorporated by reference.


The approximate percentages of shares of Common Stock reported as beneficially owned by the Reporting Persons are based upon approximately 12,353,536 shares of Common Stock outstanding pursuant to the Prospectus (Form 424B1) filed with the Securities and Exchange Commission on April 12, 2010.


Oak Associates XI is the general partner of Oak Investment Partners XI.  Oak Management is the manager of Oak Investment Partners XI.  Bandel L. Carano, Gerald R. Gallagher, Edward F. Glassmeyer, Fredric W. Harman and Ann H. Lamont are the managing members of Oak Investment Partners XI and, as such, may be deemed to possess shared beneficial ownership of any shares of common stock held by such entities.


By making this filing, the Reporting Persons acknowledge that they may be deemed to constitute a “group” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, in connection with the securities of the Issuer. Each Reporting Person disclaims the existence of a “group” and disclaims beneficial ownership





of all shares of Common Stock or securities convertible into or exercisable for Common Stock other than any shares or other securities reported herein as being owned by it, him or her, as the case may be.


Item 5. Ownership of Five Percent (5%) or Less of a Class.

Not applicable.


Item 6. Ownership of More than Five Percent (5%) 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 each of the Reporting Persons certifies that, to the best of his, her or its 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


Each of the undersigned hereby agrees that this Schedule 13G with respect to the shares of Common Stock of TENGION, INC. has been filed on behalf of the undersigned.  After reasonable inquiry and to the best of the knowledge and belief of the undersigned, each of the undersigned certifies that the information set forth in this statement with respect to such entity or individual is true, complete and correct.


Dated: February 11, 2011

Entities:

Oak Investment Partners XI, Limited Partnership

Oak Associates XI, LLC

Oak Management Corporation

By:

/s/Edward F. Glassmeyer

Edward F. Glassmeyer, as

General Partner or Managing Member

or as attorney-in-fact for the

above-listed entities



Individuals:


Bandel L. Carano

Gerald R. Gallagher

Edward F. Glassmeyer

Fredric W. Harman

Ann H. Lamont

By:

/s/Edward F. Glassmeyer

Edward F. Glassmeyer,

individually and as

attorney-in-fact for the

above-listed individuals





INDEX TO EXHIBITS


EXHIBIT A

Joint Filing Agreement


EXHIBIT B

Power of Attorney





EXHIBIT A


Joint Filing Agreement


Each of the undersigned hereby agree to file jointly the statement on Schedule 13G to which this Agreement is attached and any amendments thereto which may be deemed necessary, pursuant to Regulation 13D-G under the Securities Exchange Act of 1934.


It is understood and agreed that each of the parties hereto is 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 is not responsible for the completeness and accuracy of information concerning any other party unless such party knows or has reason to believe such information is inaccurate.


It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G, and any amendments thereto, filed on behalf of each of the parties hereto with respect to the Issuer.


Dated: February 11, 2011

Entities:

Oak Investment Partners XI, Limited Partnership

Oak Associates XI, LLC

Oak Management Corporation

By:

/s/Edward F. Glassmeyer

Edward F. Glassmeyer, as

General Partner or Managing Member

or as attorney-in-fact for the

above-listed entities



Individuals:


Bandel L. Carano

Gerald R. Gallagher

Edward F. Glassmeyer

Fredric W. Harman

Ann H. Lamont

By:

/s/Edward F. Glassmeyer

 

Edward F. Glassmeyer,

individually and as

attorney-in-fact for the

above-listed individuals





EXHIBIT B


Power of Attorney


The undersigned hereby make, constitute and appoint each of Edward F. Glassmeyer and Ann H. Lamont, acting jointly or individually, with full power of substitution, the true and lawful attorney-in-fact for the undersigned, in the undersigned’s name, place and stead and on the undersigned’s behalf, to complete, execute and file with the United States Securities and Exchange Commission (the “Commission”), a statement on Schedule 13G and/or 13D with respect to the securities of TENGION, INC., and any and all amendments thereto pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder, and any other forms, certificates, documents or instruments (including a Joint Filing Agreement) that the attorneys-in-fact (or either of them) deems necessary or appropriate in order to enable the undersigned to comply with the requirements of said Section 13(d) an d said rules and regulations.


Dated: February 11, 2011


Oak Investment Partners XI, Limited Partnership

By: Oak Associates XI, LLC, its general partner



By:  /s/Edward F. Glassmeyer

Name: Edward F. Glassmeyer

Title:  Managing Member

Oak Associates XI, LLC


By:  /s/Edward F. Glassmeyer

Name: Edward F. Glassmeyer

Title:  Managing Member

Oak Management Corporation



By:  /s/Edward F. Glassmeyer

Name: Edward F. Glassmeyer

Title:  President

 



/s/Bandel L. Carano

Bandel L. Carano



/s/Gerald R. Gallagher

Gerald R. Gallagher



/s/Edward F. Glassmeyer

Edward F. Glassmeyer



/s/Fredric W. Harman

Fredric W. Harman



/s/Ann H. Lamont

Ann H. Lamont

 






-----END PRIVACY-ENHANCED MESSAGE-----