-----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, NKnnZt8V+p9TELq2GoXRBy7UNpee7HTcEFmIEhZAC/w72nYm8WOIzoUaUEy+bR7x srY1kXeYh3m1rTCB5Lj5iA== 0001144204-04-019780.txt : 20041118 0001144204-04-019780.hdr.sgml : 20041118 20041118190537 ACCESSION NUMBER: 0001144204-04-019780 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20041117 FILED AS OF DATE: 20041118 DATE AS OF CHANGE: 20041118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP GLOBAL INVESTORS L P CENTRAL INDEX KEY: 0001281161 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156077 MAIL ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS GLOBAL INVESTORS LP CENTRAL INDEX KEY: 0001162622 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156081 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-899-3689 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS A LP CENTRAL INDEX KEY: 0001167095 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156080 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS STREET 2: 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899 3689 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CORGENTECH INC CENTRAL INDEX KEY: 0001131517 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770503399 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 650 GATEWAY BOULEVARD STREET 2: -- CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6506249600 MAIL ADDRESS: STREET 1: 650 GATEWAY BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN CHASE & CO CENTRAL INDEX KEY: 0000019617 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156082 BUSINESS ADDRESS: STREET 1: 270 PARK AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: CHASE MANHATTAN CORP /DE/ DATE OF NAME CHANGE: 19960402 FORMER NAME: FORMER CONFORMED NAME: CHEMICAL BANKING CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: CHEMICAL NEW YORK CORP DATE OF NAME CHANGE: 19880508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS BHCA LP CENTRAL INDEX KEY: 0001106607 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156085 BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: CHASE EQUITY ASSOCIATES LLC DATE OF NAME CHANGE: 20000214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP CENTRAL INDEX KEY: 0001169889 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156078 BUSINESS ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP CENTRAL INDEX KEY: 0001169890 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156079 BUSINESS ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: C/O J P MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP MASTER FUND MANAGER L P CENTRAL INDEX KEY: 0001243235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156084 BUSINESS ADDRESS: STREET 1: JP MORGAN PARTNERS LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899-3400 MAIL ADDRESS: STREET 1: C/O JPMORGAN PARTNERS LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL. CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JPMP CAPITAL CORP CENTRAL INDEX KEY: 0001243236 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156083 BUSINESS ADDRESS: STREET 1: C/O J.P. MORGAN PARTNERS, LLC STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212 899-3400 MAIL ADDRESS: STREET 1: C/O JPMORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FL. CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: JPMP CAPITAL LLC DATE OF NAME CHANGE: 20030618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: J P MORGAN PARTNERS SBIC LLC CENTRAL INDEX KEY: 0001106605 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50573 FILM NUMBER: 041156086 BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: CHASE VENTURE CAPITAL ASSOCIATES LLC DATE OF NAME CHANGE: 20000214 4 1 v09044_ex.xml X0202 4 2004-11-17 0 0001131517 CORGENTECH INC CGTK 0001106605 J P MORGAN PARTNERS SBIC LLC C/O J.P. MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001106607 JP MORGAN PARTNERS BHCA LP J.P. MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001243235 JPMP MASTER FUND MANAGER L P JP MORGAN PARTNERS LLC 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001243236 JPMP CAPITAL CORP C/O J.P. MORGAN PARTNERS, LLC 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0000019617 J P MORGAN CHASE & CO 270 PARK AVE 39TH FL NEW YORK NY 10017 0 0 1 0 0001162622 JP MORGAN PARTNERS GLOBAL INVESTORS LP 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001167095 J P MORGAN PARTNERS GLOBAL INVESTORS A LP 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10020 0 0 1 0 0001169890 J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP C/O J P MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FL NEW YORK NY 10020 0 0 1 0 0001169889 J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP C/O J P MORGAN PARTNERS 1221 AVENUE OF THE AMERICAS 40TH FL NEW YORK NY 10020 0 0 1 0 0001281161 JPMP GLOBAL INVESTORS L P 1221 AVENUE OF THE AMERICAS 40TH FLOOR NEW YORK NY 10021 0 0 1 0 Common Stock 2004-11-17 4 S 0 564473 17.70 D 3115896 D Common Stock 2004-11-17 4 S 0 76186 17.70 D 416373 I See Footnote Common Stock 2004-11-17 4 S 0 11024 17.70 D 60272 I See Footnote Common Stock 2004-11-17 4 S 0 38467 17.70 D 210213 I See Footnote Common Stock 2004-11-17 4 S 0 4294 17.70 D 23465 I See Footnote Option (right to buy) 1.20 2012-12-03 Common Stock 40000 40000 I See Footnote The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman"). The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II"). These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners ("SBIC"), LLC ("JPM SBIC"). Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 48 months. J.P. Morgan Partners (SBIC), LLC By: /s/ Rodney A. Ferguson, Managing Director 2004-11-18 EX-99.1 2 v09044_ex991.htm Unassociated Document

JPM SBIC/Corgentech, Inc. Exhibit 99.1
 
 
Name and Address of Reporting Person(1)
 
 
Designated Reporter(1))
 
 
Statement for Month/Day/Year
 
 
Deemed Execution Date
(Month/Day/Year)
 
 
Issuer Name, Ticker
or Trading Symbol
 
 
Title and Amount of
Security
Title of Derivative Securities and Title and Amount of Securities Underlying Derivative Securities
 
Ownership Form:
Direct (D) or
Indirect (I)
 
Nature of Indirect
Beneficial Ownership
 
Disclaims
Pecuniary Interest
J.P. Morgan Partners (BHCA), L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas - 40th Floor
New York, NY 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 1
See Table II
I
See Explanatory
Note 2 below
No
JPMP Master Fund Manager, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas - 40th Floor
New York, NY 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 1
See Table II
I
See Explanatory
Note 3 below
No
JPMP Capital Corp.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas - 40th Floor
New York, NY 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
See Table II
I
See Explanatory
Note 4 below
No
JP Morgan Chase & Co.
270 Park Avenue
35th Floor
New York, NY 10017
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
See Table II
I
See Explanatory
Note 5 below
No
J.P. Morgan Partners, Global Investors, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 2
  
D
See Explanatory Note 6 below
  
J.P. Morgan Partners, Global Investors A, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 3
  
D
See Explanatory Note 7 below
  
J.P. Morgan Partners, Global Investors (Cayman), L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 4
  
D
See Explanatory Note 8 below
  
 

 
     
 

J.P. Morgan Partners, Global Investors, L.P. (Cayman) II, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Row 5
  
D
See Explanatory Note 9 below
  
JPMP Global Investors, L.P.
c/o J.P. Morgan Partners, LLC
1221 Avenue of the Americas-40th Floor
New York, New York 10020
J.P. Morgan Partners (SBIC), LLC
November 17, 2004
N/A
Corgentech Inc. (“CGTK”)
See Table I
Rows 2-5
  
I
See Explanatory Note 10
No
Explanatory Note:

1) The Designated Reporter is executing this report on behalf of all Reporting Persons, each of whom has authorized it to do so. Each of the Reporting Persons disclaims beneficial ownership of the Issuer’s securities to the extent it exceeds such Person’s pecuniary interest.

2) The amounts shown in Table I row 1 represent the beneficial ownership of the Issuer’s equity securities by J.P. Morgan Partners (SBIC), LLC (“JPM SBIC”). The Reporting Person is the sole member of JPM SBIC.

3) The amounts shown in Table I row 1 represent the beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), the sole member of JPM SBIC. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA.

4) The amounts shown represent the beneficial ownership of the Issuer’s equity securities by (a) JPM SBIC, and (b) J.P. Morgan Partners Global Investors, L.P., J.P. Morgan Partners Global Investors A, L.P., J.P. Morgan Partners Global Investors (Cayman), L.P., and J.P. Morgan Partners Global Investors (Cayman) II, L.P. (the “JPMP Global Entities”), a portion of which may be deemed attributable to the Reporting Person because it is (1) the general partner of JPMP Master Fund Manager, L.P. (“MF Manager”), the general partner of JPM BHCA (the sole member of JPM SBIC) and (2) the general partner of JPMP Global Investors, L.P. which is the general partner of each of the JPMP Global Entities. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA, MF Manager and each of the JPMP Global Entities.

5) The amounts shown represent the beneficial ownership of the Issuer’s equity securities by JPM SBIC and the JPMP Global Entities, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp. and of Chatham Ventures, Inc., the limited partner of JPM BHCA. In addition to the amounts shown in Table II, the Reporting Person may be deemed the beneficial owner of 92,358 shares of Common Stock owned by J.P. Morgan Securities, Inc., an indirect wholly-owned subsidiary of the Reporting Person. The actual pro rata portion of such beneficial ownership that may be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA, MF Manager and each of the JPMP Global Entities.

6) The amount shown represents the beneficial ownership of the Issuer’s equity securities by J.P. Morgan Partners Global Investors, L.P.

7) The amount shown represents the beneficial ownership of the Issuer’s equity securities by J.P. Morgan Partners Global Investors A, L.P.

8) The amount shown represents the beneficial ownership of the Issuer’s equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. (“Cayman”).

9) The amount shown represents the beneficial ownership of the Issuer’s equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. (“Cayman II”).
   
10)  The amounts shown in Table I rows 2-5 represent the beneficial ownership of the Issuer’s equity securities by the JPMP Global Entities. The Reporting Person is the general partner of each of the JPMP Global Entities. 

    
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