-----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, UakMjv6dJQFicmueXyvJP7iEM20jwJHMeq+TAlX33rY3TT8q1RWAZUp8Cxzkm4gQ l7jTgkATA8JwMGg4h8Mdhg== 0001209191-10-053401.txt : 20101105 0001209191-10-053401.hdr.sgml : 20101105 20101105160253 ACCESSION NUMBER: 0001209191-10-053401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101103 FILED AS OF DATE: 20101105 DATE AS OF CHANGE: 20101105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHARMATHENE, INC CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 BUSINESS PHONE: 410 269 2600 MAIL ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III L.P. CENTRAL INDEX KEY: 0001173408 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168800 BUSINESS ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617 425 9200 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III LP DATE OF NAME CHANGE: 20031124 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III LP DATE OF NAME CHANGE: 20020514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III-QP L.P. CENTRAL INDEX KEY: 0001173409 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168797 BUSINESS ADDRESS: STREET 1: C/O MPM ASSET MANAGEMENT STREET 2: 200 CLARENDON ST., 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617 425 9200 MAIL ADDRESS: STREET 1: C/O MPM ASSET MANAGEMENT STREET 2: 200 CLARENDON ST., 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III QP LP DATE OF NAME CHANGE: 20031124 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III QP LP DATE OF NAME CHANGE: 20020514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III PARALLEL FUND, L.P. CENTRAL INDEX KEY: 0001249063 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168802 BUSINESS ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III PARALLEL FUND, LP DATE OF NAME CHANGE: 20051214 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III PARALLEL FUND DATE OF NAME CHANGE: 20031124 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III PARALLEL FUND DATE OF NAME CHANGE: 20030627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III GMBH & CO. Beteiligungs KG CENTRAL INDEX KEY: 0001249133 STATE OF INCORPORATION: 2M FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168801 BUSINESS ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III GMBH & CO DATE OF NAME CHANGE: 20031124 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III GMBH & CO DATE OF NAME CHANGE: 20030627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III GP L.P. CENTRAL INDEX KEY: 0001249143 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168799 BUSINESS ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIOVENTURES III GP LP DATE OF NAME CHANGE: 20031124 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III GP LP DATE OF NAME CHANGE: 20030627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM BIOVENTURES III LLC CENTRAL INDEX KEY: 0001249147 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168803 BUSINESS ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6174259200 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: MPM BIO VENTURES III LLC DATE OF NAME CHANGE: 20030627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPM Asset Management Investors 2004 BVIII LLC CENTRAL INDEX KEY: 0001397371 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 101168796 BUSINESS ADDRESS: STREET 1: C/O MPM ASSET MANAGEMENT STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-425-9200 MAIL ADDRESS: STREET 1: C/O MPM ASSET MANAGEMENT STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 4 1 c07980_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-11-03 0001326190 PHARMATHENE, INC PIP 0001249147 MPM BIOVENTURES III LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001249063 MPM BIOVENTURES III PARALLEL FUND, L.P. C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001249133 MPM BIOVENTURES III GMBH & CO. Beteiligungs KG C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001173408 MPM BIOVENTURES III L.P. C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001249143 MPM BIOVENTURES III GP L.P. C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001173409 MPM BIOVENTURES III-QP L.P. C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 0001397371 MPM Asset Management Investors 2004 BVIII LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON MA 02116 0 0 1 0 Common Stock 2010-11-03 4 C 0 2428171 2.5417 A 5917614 I See footnote Common Stock 2010-11-03 4 P 0 430000 3.50 A 6347614 I See footnote 10% Convertible Note 2.5417 2010-11-03 4 C 0 6171601.10 0 D 2011-07-28 Common Stock 2428171 0 I See Footnote These notes were held in principal amount as follows: $304,967.95 by MPM BioVentures III, L.P. ("BV III"), $4,535,272.77 by MPM BioVentures III-QP, L.P. ("BV III QP"), $383,274.43 by MPM BioVentures III GmbH & Co. Beteiligungs KG ("BV KG"), $136,981.07 by MPM BioVentures III Parallel Fund, L.P. ("BV Parallel") and $107,818.80 by MPM Asset Management Investors 2004 BVIII LLC ("AM 2004"). Amounts reflected above also include accrued interest on the notes as follows: $39,222.27 by BV III, $583,286.47 by BV III QP, $49,293.35 by BV KG, $17,617.29 by BV Parallel and $13,866.70 by AM 2004. MPM BioVentures III GP, L.P. ("MPM III GP") and MPM BioVentures III LLC ("MPM III LLC") are the direct and indirect general partners of BV III QP, BV III and BV Parallel and BV KG. Luke Evnin, Ansbert Gadicke, Nicholas Galakatos, Dennis Henner, Nicholas Simon III, Michael Steinmetz and Kurt Wheeler are the members of M PM III LLC and AM 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities except to the extent of his or its pecuniary interest therein. Immediately convertible into shares of Common Stock of the Issuer at the rate of $2.541667 per share. The shares were acquired as follows: 135,419 by BV III, 2,013,859 by BV III QP, 170,191 by BV KG, 60,826 by BV Parallel and 47,876 by AM 2004. The shares are held as follows: 330,024 by BV III, 4,907,913 by BV III QP, 414,765 by BV KG, 148,235 by BV Parallel and 116,677 by AM 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities except to the extent of his or its pecuniary interest therein. The shares were purchased as follows: 23,981 by BV III, 356,630 by BV III QP, 30,139 by BV KG, 10,772 by BV Parallel and 8,478 by AM 2004. The shares are held as follows: 354,005 by BV III, 5,264,543 by BV III QP, 444,904 by BV KG, 159,007 by BV Parallel and 125,155 by AM 2004. Each of the Reporting Persons disclaims beneficial ownership of the securities except to the extent of his or its pecuniary interest therein. See Form 4 for Luke Evnin filed simultaneously herewith for additional members of this joint filing. /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC 2010-11-05 /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC, the general partner of MPM BioVentures III GP, LP, the general partner of MPM BioVentures III Parallel Fund, LP 2010-11-05 /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC, the general partner of MPM BioVentures III GP, LP, in its capacity as the Managing Limited Partner of MPM BioVentures III GmbH & Co. Beteiligungs KG 2010-11-05 /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC, the general partner of MPM BioVentures III GP, LP, the general partner of MPM BioVentures III, LP 2010-11-05 /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC, the general partner of MPM BioVentures III GP, LP 2010-11-05 /s/ Luke Evnin, Series A Member of MPM BioVentures III LLC, the general partner of MPM BioVentures III GP, LP, the general partner of MPM BioVentures III QP, LP 2010-11-05 /s/ Luke Evnin, manager of MPM Asset Management Investors 2004 BVIII LLC 2010-11-05 -----END PRIVACY-ENHANCED MESSAGE-----