-----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, C7L3m2EQRVGOgBYG1ghtnO2TMHPD9t/XCaAZskcFyF27bpoEW0Kizocaxl2m79GR Z/KAEU+RC3NZ9Iu1PhfeCw== 0000929624-00-000233.txt : 20000217 0000929624-00-000233.hdr.sgml : 20000217 ACCESSION NUMBER: 0000929624-00-000233 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELTRIX PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000871395 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943121462 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-41502 FILM NUMBER: 546732 BUSINESS ADDRESS: STREET 1: 2033 GATEWAY PLACE STREET 2: SUITE 600 CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 4089882500 MAIL ADDRESS: STREET 1: 2033 GATEWAY PLACE STREET 2: SUITE 600 CITY: SAN JOSE STATE: CA ZIP: 95110 FORMER COMPANY: FORMER CONFORMED NAME: CELTRIX LABORATORIES INC DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEE WEI-CHEN CENTRAL INDEX KEY: 0001106855 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 172 BANKING EAST ROAD STREET 2: SECTION 2, TAIWAN REPUBLIC OF CHINA 104 MAIL ADDRESS: STREET 1: 172 BANKING EAST ROAD STREET 2: SECTION 2, TAIWAN REPUBLIC OF CHINA 104 SC 13D 1 SCHEDULE 13-D (WEI-CHEN LEE) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. Final)* ------ Celtrix Pharmaceuticals Inc. ------------------------------------------------- (Name of Issuer) Common Stock -------------------------------------------------- (Title of Class of Securities) 151186103 ---------------------------------------------- (CUSIP Number) Paul J. Tauber Coblentz, Patch, Duffy & Bass, LLP 222 Kearny Street, 7th Floor San Francisco, California 94108-4510 415-391-4800 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 17, 1999 ------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]. Check the following box if a fee is being paid with the statement [_]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. The information required on 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). 1 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wei-Chen Lee ("Lee") N.A. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N.A. (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 PF - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(E) 5 N.A. [_] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 Taiwan (Republic of China) - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 NUMBER OF 1,005,000 shares. The 1,005,000 shares include warrants to purchase 800,000 shares of the issuer held by Lee. SHARES ------------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 0 OWNED BY ------------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1,005,000 shares. The 1,005,000 shares include warrants to purchase 800,000 shares of the issuer held by Lee. PERSON ------------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,005,000 shares - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 N.A. [_] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 3.59% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Wei-Chen Lee (the "Reporting Person") hereby amends the single statement on Schedule 13D, filed with the Securities and Exchange Commission, with respect to certain shares of common stock of Celtrix Pharmaceuticals Inc. ("Issuer") as follows: ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) 1,005,000 shares. The 1,005,000 shares include warrants to purchase 800,000 shares of the Issuer held by the Reporting Person. (b) (i) Sole power to vote or direct the vote: 1,005,000 shares (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or direct the disposition of: 1,005,000 shares (iv) Shared power to dispose or direct the disposition of: 0 (c) Between August 5, 1999 and December 17, 1999, the Reporting Person sold 503,500 shares of common stock of the Issuer in a series of twenty-one sales. The prices of such sales ranged from $1.39 per share to $2.52 per share. All sales were accomplished in open market transactions conducted through a registered broker-dealer. The details of the trades are set forth below: 1. August 15, 1999 16,500 $1.49/share 2. August 20, 1999 300,000 $1.49/share 3. August 20, 1999 20,500 $1.39/share 4. August 24, 1999 50,000 $1.59/share 5. August 27, 1999 5,000 $1.58/share 6. August 27, 1999 1,000 $1.56/share 7. August 31, 1999 14,500 $1.50/share 8. September 1, 1999 1,000 $1.50/share 9. September 3, 1999 95,000 $1.50/share 10. October 25, 1999 25,000 $1.50/share 11. November 8, 1999 500 $1.56/share 12. November 8, 1999 1,000 $1.56/share 13. November 9, 1999 1,000 $1.50/share 14. November 9, 1999 7,500 $1.50/share 15. November 12, 1999 5,500 $1.59/share 16. November 23, 1999 5,000 $1.56/share 17. November 24, 1999 50,000 $1.55/share 18. November 30, 1999 10,000 $1.75/share 19. November 30, 1999 50,000 $1.65/share 20. December 3, 1999 50,000 $2.52/share 21. December 17, 1999 26,000 $1.99/share Between December 7, 1999 and December 17, 1999, the Reporting Person exercised warrants to purchase 610,000 shares of common stock of the Issuer. The exercise of warrants was conducted in a series of eleven transactions. Each exercise was made directly with the Issuer and was made pursuant to the terms of the warrants. The exercise price of each of the warrants was $0.55 per share. The details of the exercise of the warrants are set forth below: 1. December 7, 1999 50,000 2. December 8, 1999 50,000 3. December 9, 1999 5,000 4. December 9, 1999 50,000 5. December 9, 1999 50,000 6. December 9, 1999 50,000 7. December 13, 1999 15,000 8. December 13, 1999 15,000 9. December 14, 1999 150,000 10. December 16, 1999 85,000 11. December 17, 1999 90,000 (d) N.A. (e) December 17, 1999. Instruction. For computations regarding securities which represent a right to acquire an underlying security, see Rule 13d-3(d)(1) and the note thereto. 3 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 14, 2000 /s/Wei-Chen Lee ----------------------------------- ------------------------------ Date Signature ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 100 4 -----END PRIVACY-ENHANCED MESSAGE-----