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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
o Rule 13d-1(c)
þ Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons 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. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures II, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 109,213 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 109,213 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
109,213 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 2 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures II-QP, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 989,697 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 989,697 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
989,697 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
6.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 3 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Germany | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 348,491 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 348,491 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
348,491 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
2.3% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 4 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM Asset Management Investors 2001 LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 20,548 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
20,548 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.1% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
Page 5 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM Asset Management II, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,447,401* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,447,401* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,447,401* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 6 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM Asset Management II LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,447,401* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,447,401* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,447,401* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
Page 7 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures Strategic Fund, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 132,520 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 132,520 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 8 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III GP, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 132,520* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
132,520* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 9 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 132,520* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
132,520* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
Page 10 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) Ansbert Gadicke |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | |||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 11 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) Luke Evnin |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 12 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) Nicholas Galakatos |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 4,999* | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 4,999* | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,605,468* ** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 13 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) Michael Steinmetz |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 14 of 23
CUSIP
No. |
00826A 1G 9 |
1 | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) Kurt Wheeler |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
10.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 15 of 23
(a) | Name of Issuer | ||
Affymax, Inc. | |||
(b) | Address of Issuers Principal Executive Offices | ||
4001 Miranda Avenue Palo Alto, CA 94304 |
(a) | Name of Person Filing |
MPM BioVentures II, LP MPM BioVentures II-QP, L.P. MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG MPM Asset Management Investors 2001 LLC MPM BioVentures Strategic Fund, L.P. MPM Asset Management II, L.P. MPM Asset Management II LLC MPM BioVentures III GP, L.P. MPM BioVentures III LLC Ansbert Gadicke Luke Evnin Nicholas Galakatos Michael Steinmetz Kurt Wheeler |
(b) | Address of Principal Business Office or, if none, Residence |
c/o MPM Capital L.P. The John Hancock Tower 200 Clarendon Street, 54th Floor Boston, MA 02116 |
(c) | Citizenship |
All entities were organized in Delaware, except MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG which was organized in Germany. The individuals are United States citizens. |
(d) | Title of Class of Securities |
Common Stock |
(e) | CUSIP Number |
00826A 1G 9 |
Item 3. | If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: |
Not applicable |
Page 16 of 23
(a) | Amount Beneficially Owned: |
MPM BioVentures II, LP |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,605,468 | (3)(4) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
Percent of Class: |
MPM BioVentures II, LP |
0.7 | % | ||
MPM BioVentures II-QP, L.P. |
6.6 | % | ||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
2.3 | % | ||
MPM Asset Management Investors 2001 LLC |
0.1 | % | ||
MPM BioVentures Strategic Fund, L.P. |
0.9 | % | ||
MPM Asset Management II, L.P. |
9.6 | % | ||
MPM Asset Management II LLC |
9.6 | % | ||
MPM BioVentures III GP, L.P. |
0.9 | % | ||
MPM BioVentures III LLC |
0.9 | % | ||
Ansbert Gadicke |
10.6 | % | ||
Luke Evnin |
10.6 | % | ||
Nicholas Galakatos |
10.6 | % | ||
Michael Steinmetz |
10.6 | % | ||
Kurt Wheeler |
10.6 | % |
(b) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote |
MPM BioVentures II, LP |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
0 |
Page 17 of 23
MPM Asset Management II LLC |
0 | |||
MPM BioVentures III GP, L.P. |
0 | |||
MPM BioVentures III LLC |
0 | |||
Ansbert Gadicke |
0 | |||
Luke Evnin |
0 | |||
Nicholas Galakatos |
4,999 | (4) | ||
Michael Steinmetz |
0 | |||
Kurt Wheeler |
0 |
(ii) | Shared power to vote or to direct the vote |
MPM BioVentures II, LP |
0 | |||
MPM BioVentures II-QP, L.P. |
0 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
0 | |||
MPM Asset Management Investors 2001 LLC |
0 | |||
MPM BioVentures Strategic Fund L.P. |
0 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,600,469 | (3) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
(iii) | Sole power to dispose or to direct the disposition of |
MPM BioVentures II, LP |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
0 | |||
MPM Asset Management II LLC |
0 | |||
MPM BioVentures III GP, L.P. |
0 | |||
MPM BioVentures III LLC |
0 | |||
Ansbert Gadicke |
0 | |||
Luke Evnin |
0 | |||
Nicholas Galakatos |
4,999 | (4) | ||
Michael Steinmetz |
0 | |||
Kurt Wheeler |
0 |
Page 18 of 23
(iv) | Shared power to dispose or to direct the disposition of |
MPM BioVentures II, LP |
0 | |||
MPM BioVentures II-QP, L.P. |
0 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
0 | |||
MPM Asset Management Investors 2001 LLC |
0 | |||
MPM BioVentures Strategic Fund L.P. |
0 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,600,469 | (3) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
(1) | The shares are held as follows: 989,697 by MPM BioVentures II-QP, L.P. (BV II QP), 109,213 by MPM BioVentures II, L.P. (BV II) and 348,491 by MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG (BV KG). MPM Asset Management II, L.P. and MPM Asset Management II LLC (AM II LLC) are the direct and indirect general partners of BV II QP, BV II and BV KG. | |
(2) | The shares are held by MPM BioVentures Strategic Fund, L.P. (MPM SF). MPM BioVentures III GP, L.P. and MPM BioVentures III LLC (BV III LLC) are the direct and indirect general partners of MPM SF. | |
(3) | The shares are held as follows: 989,697 by BV II QP, 109,213 by BV II, 20,548 by MPM Asset Management Investors 2001 LLC (AM 2001), 348,491 by BV KG and 132,520 by MPM SF. The Reporting Person is a member of AM II LLC, AM 2001 and BV III LLC. The Reporting Person disclaims beneficial ownership of all such shares except to the extent of his proportionate pecuniary interests therein. | |
(4) | Includes 4,999 shares issuable upon exercise of options within 60 days of December 31, 2007. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Page 19 of 23
MPM BIOVENTURES II, L.P. | MPM BIOVENTURES II-QP, L.P. | |||||||||
By:
|
MPM Asset Management II, L.P., | By: | MPM Asset Management II, L.P., | |||||||
its General Partner | its General Partner | |||||||||
By:
|
MPM Asset Management II LLC, its General Partner |
By: | MPM Asset Management II LLC, its General Partner |
|||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin | Name: Luke B. Evnin | |||||||||
Title: Investment Manager | Title: Investment Manager | |||||||||
MPM BIOVENTURES GMBH & CO. PARALLEL-BETEILIGUNGS KG | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | |||||||||
By:
|
MPM Asset Management II LP, in its capacity as the Special Limited Partner | By: | /s/ Luke Evnin
Title: Investment Manager |
|||||||
By:
|
MPM Asset Management II LLC, its General Partner | |||||||||
By:
|
/s/ Luke Evnin | |||||||||
Name: Luke B. Evnin | ||||||||||
Title: Investment Manager | ||||||||||
MPM ASSET MANAGEMENT II LP | MPM ASSET MANAGEMENT II LLC | |||||||||
By:
|
MPM Asset Management II LLC, its General Partner | |||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin |
Name: Luke B. Evnin | |||||||||
Title: Investment Manager | Title: Investment Manager | |||||||||
MPM BIOVENTURES STRATEGIC FUND, L.P. | MPM BIOVENTURES III GP, L.P. | |||||||||
By:
|
MPM BioVentures III GP, L.P., its General Partner | By: | MPM BioVentures III LLC, its General Partner | |||||||
By:
|
MPM BioVentures III LLC, its General Partner | |||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin | Name: Luke Evnin | |||||||||
Title: Series A Member | Title: Series A Member | |||||||||
MPM BIOVENTURES III LLC | ||||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Ansbert Gadicke | |||||||
Name: Luke Evnin | Name: Ansbert Gadicke | |||||||||
Title: Series A Member |
Page 20 of 23
By:
|
/s/ Luke Evnin | By: | /s/ Nicholas Galakatos | |||||||
Name: Luke B. Evnin | Name: Nicholas Galakatos | |||||||||
By:
|
/s/ Michael Steinmetz | By: | /s/ Kurt Wheeler | |||||||
Name: Michael Steinmetz | Name: Kurt Wheeler |
Page 21 of 23
MPM BIOVENTURES II, L.P. | MPM BIOVENTURES II-QP, L.P. | |||||||||
By:
|
MPM Asset Management II, L.P., its General Partner | By: | MPM Asset Management II, L.P., its General Partner | |||||||
By:
|
MPM Asset Management II LLC, its General Partner | By: | MPM Asset Management II LLC, its General Partner | |||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin | Name: Luke B. Evnin | |||||||||
Title: Investment Manager | Title: Investment Manager | |||||||||
MPM BIOVENTURES GMBH & CO. PARALLEL-BETEILIGUNGS KG | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | |||||||||
By:
|
MPM Asset Management II LP, in its capacity as the Special Limited Partner | By: | /s/ Luke Evnin
Title: Investment Manager |
|||||||
By:
|
MPM Asset Management II LLC, its General Partner | |||||||||
By:
|
/s/ Luke Evnin | |||||||||
Name: Luke B. Evnin | ||||||||||
Title: Investment Manager | ||||||||||
MPM ASSET MANAGEMENT II LP | MPM ASSET MANAGEMENT II LLC | |||||||||
By:
|
MPM Asset Management II | |||||||||
LLC, its General Partner | ||||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin Title: Investment Manager |
Name: Luke B. Evnin Title: Investment Manager |
|||||||||
MPM BIOVENTURES STRATEGIC FUND, L.P. | MPM BIOVENTURES III GP, L.P. | |||||||||
By:
|
MPM BioVentures III GP, L.P., its General Partner | By: | MPM BioVentures III LLC, its General Partner | |||||||
By:
|
MPM BioVentures III LLC, its General Partner | |||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||
Name: Luke B. Evnin | Name: Luke Evnin | |||||||||
Title: Series A Member | Title: Series A Member |
Page 22 of 23
MPM BIOVENTURES III LLC | ||||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Ansbert Gadicke | |||||||
Name: Luke Evnin | Name: Ansbert Gadicke | |||||||||
Title: Series A Member | ||||||||||
By:
|
/s/ Luke Evnin | By: | /s/ Nicholas Galakatos | |||||||
Name: Luke B. Evnin | Name: Nicholas Galakatos | |||||||||
By:
|
/s/ Michael Steinmetz | By: | /s/ Kurt Wheeler | |||||||
Name: Michael Steinmetz | Name: Kurt Wheeler |
Page 23 of 23