================================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
Pharmion Corporation
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 par value
--------------------------------------------------------------------------------
(Title of Class of Securities)
71715B 40 9
--------------------------------------------------------------------------------
(CUSIP Number)
Louis S. Citron, Esq.
New Enterprise Associates
1119 St. Paul Street, Baltimore, MD 21202
(410)246-2927
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 28, 2004
--------------------------------------------------------------------------------
(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 that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [_]
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss.240.13d-7 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).
================================================================================
Page 1 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 2 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
New Enterprise Associates 10, Limited Partnership
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware Limited Partnership
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,894,268 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,894,268 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,894,268 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.4%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
================================================================================
Page 2 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 3 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
NEA Partners 10, Limited Partnership
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware Limited Partnership
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
================================================================================
Page 3 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 4 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Stewart Alsop II
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 4 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 5 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Michael James Barrett
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
25,000 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 25,000 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,933,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 5 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 6 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Peter J. Barris
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 6 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 7 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
C. Richard Kramlich
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
115 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 115 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,853 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 7 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 8 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Peter T. Morris
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 8 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 9 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Charles W. Newhall III
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
1,149 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,909,887 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 1,149 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,909,887 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,911,036 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 9 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 10 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Mark W. Perry
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 10 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 11 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Scott D. Sandell
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 11 of 24 pages
===================== ===================
CUSIP NO. 71715B 40 9 13D PAGE 12 OF 24 PAGES
===================== ===================
================================================================================
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Eugene A. Trainor III
----- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[_]
----- -------------------------------------------------------------------------
3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF
----- -------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
----- -------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
------------------------- ----- ------------------------------------------------
7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 2,908,738 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
2,908,738 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,908,738 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.5%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
================================================================================
Page 12 of 24 pages
Schedule 13D
Schedule 13D
Item 1. Security and Issuer.
-------------------
This statement relates to the Common Stock, $.001 par value (the
"Shares") of Pharmion Corporation (the "Issuer") having its principal executive
office at 2525 28th Street, Boulder, Colorado 80301.
Item 2. Identity and Background.
-----------------------
This statement is being filed by New Enterprise Associates 10,
Limited Partnership ("NEA 10"), NEA Partners 10, Limited Partnership ("NEA
Partners 10"), which is the sole general partner of NEA 10, and Stewart Alsop II
("Alsop"), Michael James Barrett ("Barrett"), Peter J. Barris ("Barris"), C.
Richard Kramlich ("Kramlich"), Peter T. Morris ("Morris"), Charles W. Newhall
III ("Newhall"), Mark W. Perry ("Perry"), Scott D. Sandell ("Sandell") and
Eugene A. Trainor III ("Trainor"), (collectively, the "General Partners"). The
General Partners are the individual general partners of NEA Partners 10. NEA 10,
NEA Partners 10 and the General Partners are sometimes referred to collectively
herein as the "Reporting Persons."
The address of the principal business office of NEA 10, NEA Partners
10, Barrett, Newhall and Trainor is New Enterprise Associates, 1119 St. Paul
Street, Baltimore, MD 21202. The address of the principal business office of
Alsop, Kramlich, Morris, Perry and Sandell is New Enterprise Associates, 2490
Sand Hill Road, Menlo Park, California 94025. The address of the principal
business office of Barris is New Enterprise Associates, 11951 Freedom Drive,
Suite 1240, Reston, Virginia 20190.
The principal business of NEA 10 is to invest in and assist
growth-oriented businesses located principally in the United States. The
principal business of NEA Partners 10 is to act as the sole general partner of
NEA 10. The principal business of each of the General Partners is to act as a
general partner of NEA Partners 10 and a number of affiliated partnerships with
similar businesses.
During the five years prior to the date hereof, none of the Reporting
Persons has been convicted in a criminal proceeding or has been a party to a
civil proceeding ending in a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
Each of NEA 10 and NEA Partners 10 is a limited partnership organized
under the laws of the State of Delaware. Each of the General Partners is a
United States citizen.
Item 3. Source and Amount of Funds or Other Consideration.
-------------------------------------------------
Not applicable.
Item 4. Purpose of Transaction.
----------------------
On September 28, 2004, NEA 10 distributed 1,447,000 shares of
Pharmion Corporation Common Stock to its partners, including 14,470 shares to
NEA Partners 10 (the "NEA Partners 10 Record Shares"). As a result of the
distribution, NEA 10 now holds 2,894,268 shares of Common Stock (the "NEA 10
Record Shares") and NEA Partners 10 holds 14,470 shares of Common Stock. All
Reporting Persons, except NEA 10 and NEA Partners 10, disclaim beneficial
ownership of the NEA 10 Record Shares and the NEA Partners 10 Record Shares. NEA
10 disclaims beneficial ownership of the NEA Partners 10 Record Shares. NEA
Partners 10 disclaims beneficial ownership of the NEA 10 Record Shares.
Page 13 of 24 pages
In connection with his service on the Issuer's Board of Directors,
Barrett has been granted options to purchase 25,000 shares of the Issuer's
Common Stock, all of which may be exercised within 60 days of the date hereof.
NEA 10 acquired the Record Shares for investment purposes. Depending
on market conditions, its continuing evaluation of the business and prospects of
the Issuer and other factors, NEA 10 and other Reporting Persons may dispose of
or acquire additional Shares of the Issuer. Barrett is a member of the Board of
Directors. Except as set forth above, none of the Reporting Persons has any
present plans which relate to or would result in:
(a) The acquisition by any person of additional securities of the
Issuer, or the disposition of securities of the Issuer;
(b) An extraordinary corporate transaction, such as a merger,
reorganization or liquidation, involving the Issuer or any of
its subsidiaries;
(c) A sale or transfer of a material amount of assets of the
Issuer or any of its subsidiaries;
(d) Any change in the present board of directors or management of
the Issuer, including any plans or proposals to change the
number or term of directors or to fill any existing vacancies
on the board;
(e) Any material change in the present capitalization or dividend
policy of the Issuer;
(f) Any other material change in the Issuer's business or
corporate structure;
(g) Changes in the Issuer's charter, bylaws or instruments
corresponding thereto or other actions which may impede the
acquisition of control of the Issuer by any person;
(h) Causing a class of securities of the Issuer to be delisted
from a national securities exchange or to cease to be
authorized to be quoted in an inter-dealer quotation system of
a registered national securities association;
(i) A class of equity securities of the Issuer becoming eligible
for termination of registration pursuant to Section 12(g)(4)
of the Securities Exchange Act of 1934; or
(j) Any action similar to any of those enumerated above.
Item 5. Interest in Securities of the Issuer.
------------------------------------
(a) NEA 10 is the record owner of 2,894,268 shares of Common
Stock. As the sole general partner of NEA 10, NEA Partners 10
may be deemed to own beneficially the NEA 10 Record Shares. As
the individual general partners of NEA Partners 10, each of
the General Partners also may be deemed to own beneficially
the NEA 10 Record Shares.
NEA Partners 10 is the record owner of 14,470 shares of Common
Stock. As the individual general partners of NEA Partners 10,
each of the General Partners also may be deemed to own
beneficially the NEA Partners 10 Record Shares.
NEA 10 may be deemed to own beneficially 9.4% of the Issuer's
Common Stock. NEA Partners 10, Alsop, Barris, Kramlich,
Morris, Newhall, Sandell, Perry and Trainor may be deemed to
own beneficially 9.5% of the Issuer's Common Stock. Barrett
may be
Page 14 of 24 pages
deemed to own beneficially 9.6% of the Issuer's Common Stock,
which percentages are calculated based upon 30,689,315 shares
reported to be outstanding in the Issuer's Quarterly Report on
Form 10-Q which was filed on August 13, 2004 with the
Securities and Exchange Commission. Each of the Reporting
Persons, except NEA 10, disclaims beneficial ownership of the
NEA 10 Record Shares. Each of the Reporting Persons, except
NEA Partners 10, disclaims beneficial ownership of the NEA
Partners 10 Record Shares. Newhall disclaims beneficial
ownership of the 1,149 shares of Common Stock held of record
by his wife, Amy L. Newhall.
(b) Regarding the number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
0 shares for the following Reporting Persons: NEA 10,
NEA Partners 10, Alsop, Barris, Morris, Sandell, Perry
and Trainor. 25,000 shares for Barrett. 1,149 shares
for Newhall. 115 shares for Kramlich
(ii) shared power to vote or to direct the vote:
2,908,738 shares for each Reporting Person, except for
NEA 10 and Newhall. 2,894,268 shares for NEA 10.
2,909,887 shares for Newhall.
(iii) sole power to dispose or to direct the disposition:
0 shares for the following Reporting Persons: NEA 10,
NEA Partners 10, Alsop, Barris, Morris, Sandell, Perry
and Trainor. 25,000 shares for Barrett. 1,149 shares
for Newhall. 115 shares for Kramlich
(iv) shared power to dispose or to direct the disposition:
2,908,738 shares for each Reporting Person, except for
NEA 10 and Newhall. 2,894,268 shares for NEA 10.
2,909,887 shares for Newhall.
(c) Except as set forth above, none of the Reporting Persons has
effected any transaction in the Common Stock during the last
60 days.
(d) No other person is known to have the right to receive or the
power to direct the receipt of dividends from, or any proceeds
from the sale of, shares beneficially owned by any of the
Reporting Persons.
(e) Nancy L. Dorman retired as a General Partner of NEA Partners
10 on June 1, 2004. Ronald H. Kase retired as a General
Partner of NEA Partners 10 on January 1, 2004. Thomas C.
McConnell retired as a General Partner of NEA Partners 10 on
May 31, 2004. As a result of the above-mentioned retirements,
Dorman, Kase and McConnell ceased to own beneficially five
percent (5%) or more of the Issuer's Common Stock.
Item 6. Contracts, Arrangements, Undertakings or Relationships with Respect
-------------------------------------------------------------------
to Securities of the Issuer.
---------------------------
Not applicable.
Page 15 of 24 pages
Item 7. Material to be Filed as Exhibits.
--------------------------------
Exhibit 1 - Agreement regarding filing of joint Schedule 13D.
Exhibit 2 - Powers of Attorney regarding Schedule 13D filings.
Page 16 of 24 pages
SIGNATURE
---------
After reasonable inquiry and to the best of its knowledge and belief,
each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Date: October 8, 2004
NEW ENTERPRISE ASSOCIATES 10,
LIMITED PARTNERSHIP
By: NEA PARTNERS 10, LIMITED PARTNERSHIP
General Partner
By: /s/ Eugene A. Trainor, III
------------------------------------
Eugene A. Trainor, III
General Partner
NEA PARTNERS 10, LIMITED PARTNERSHIP
By: /s/ Eugene A. Trainor, III
------------------------------------
Eugene A. Trainor, III
General Partner
*
----------------------------------
Stewart Alsop II
*
----------------------------------
Michael James Barrett
*
----------------------------------
Peter J. Barris
*
----------------------------------
C. Richard Kramlich
*
----------------------------------
Peter T. Morris
*
----------------------------------
Charles W. Newhall III
Page 17 of 24 pages
*
----------------------------------
Mark W. Perry
*
----------------------------------
Scott D. Sandell
*
----------------------------------
Eugene A. Trainor III
*/s/ Louis S. Citron
-----------------------------------
Louis S. Citron
As attorney-in-fact
Page 18 of 24 pages
EXHIBIT 1
---------
AGREEMENT
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of
1934, the undersigned hereby agree that only one statement containing the
information required by Schedule 13D need be filed with respect to the ownership
by each of the undersigned of shares of stock of Pharmion Corporation.
EXECUTED this 8th day of October, 2004.
NEW ENTERPRISE ASSOCIATES 10,
LIMITED PARTNERSHIP
NEW ENTERPRISE ASSOCIATES 10,
LIMITED PARTNERSHIP
By: NEA PARTNERS 10, LIMITED PARTNERSHIP
General Partner
By: /s/ Eugene A. Trainor, III
------------------------------------
Eugene A. Trainor, III
General Partner
NEA PARTNERS 10, LIMITED PARTNERSHIP
By: /s/ Eugene A. Trainor, III
------------------------------------
Eugene A. Trainor, III
General Partner
*
----------------------------------
Stewart Alsop II
*
----------------------------------
Michael James Barrett
*
----------------------------------
Peter J. Barris
*
----------------------------------
C. Richard Kramlich
*
----------------------------------
Thomas C. McConnell
*
----------------------------------
Peter T. Morris
*
----------------------------------
Charles W. Newhall III
Page 19 of 24 pages
*
----------------------------------
Mark W. Perry
*
----------------------------------
Scott D. Sandell
*
----------------------------------
Eugene A. Trainor III
*/s/ Louis S. Citron
-----------------------------------
Louis S. Citron
As attorney-in-fact
This Schedule 13D was executed by Louis S. Citron on behalf of the individuals
listed above pursuant to a Power of Attorney which is being filed with the
Securities and Exchange Commission with this Schedule 13D filing for Pharmion
Corporation and said Power of Attorney is incorporated herein by reference and a
copy of which is attached as Exhibit 2.
Page 20 of 24 pages
EXHIBIT 2
---------
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Nancy L. Dorman, Charles W.
Newhall III, Louis S. Citron and Eugene A. Trainor III, and each of them, with
full power to act without the others, his true and lawful attorney-in-fact, with
full power of substitution, to sign any and all instruments, certificates and
documents that may be necessary, desirable or appropriate to be executed on
behalf of himself as an individual or in his capacity as a general partner of
any partnership, pursuant to section 13 or 16 of the Securities Exchange Act of
1934, as amended (the "Exchange Act"), and any and all regulations promulgated
thereunder, and to file the same, with all exhibits thereto, and any other
documents in connection therewith, with the Securities and Exchange Commission,
and with any other entity when and if such is mandated by the Exchange Act or by
the By-laws of the National Association of Securities Dealers, Inc., granting
unto said attorney-in-fact full power and authority to do and perform each and
every act and thing necessary, desirable or appropriate, fully to all intents
and purposes as he might or could do in person, thereby ratifying and confirming
all that said attorney-in-fact, or his substitutes, may lawfully do or cause to
be done by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the
1st day of January, 2001.
/s/ Stewart Alsop II
--------------------------------
Stewart Alsop II
/s/ Peter J. Barris
--------------------------------
Peter J. Barris
/s/ Nancy L. Dorman
--------------------------------
Nancy L. Dorman
/s/ Ronald Kase
--------------------------------
Ronald Kase
/s/ C. Richard Kramlich
--------------------------------
C. Richard Kramlich
/s/ Arthur J. Marks
--------------------------------
Arthur J. Marks
/s/ Thomas C. McConnell
--------------------------------
Thomas C. McConnell
/s/ Peter T. Morris
--------------------------------
Peter T. Morris
Page 21 of 24 pages
/s/ John M. Nehra
--------------------------------
John M. Nehra
/s/ Charles W. Newhall III
--------------------------------
Charles W. Newhall III
/s/ Mark W. Perry
--------------------------------
Mark W. Perry
/s/ Scott D. Sandell
--------------------------------
Scott D. Sandell
Page 22 of 24 pages
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Nancy L. Dorman, Charles W.
Newhall III, Louis S. Citron and Eugene A. Trainor III, and each of them, with
full power to act without the others, his true and lawful attorney-in-fact, with
full power of substitution, to sign any and all instruments, certificates and
documents that may be necessary, desirable or appropriate to be executed on
behalf of himself as an individual or in his capacity as a general partner of
any partnership, pursuant to section 13 or 16 of the Securities Exchange Act of
1934, as amended (the "Exchange Act"), and any and all regulations promulgated
thereunder, and to file the same, with all exhibits thereto, and any other
documents in connection therewith, with the Securities and Exchange Commission,
and with any other entity when and if such is mandated by the Exchange Act or by
the By-laws of the National Association of Securities Dealers, Inc., granting
unto said attorney-in-fact full power and authority to do and perform each and
every act and thing necessary, desirable or appropriate, fully to all intents
and purposes as he might or could do in person, thereby ratifying and confirming
all that said attorney-in-fact, or his substitutes, may lawfully do or cause to
be done by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the
19th day of October, 2001.
/s/ Michael James Barrett
--------------------------------
Michael James Barrett
Page 23 of 24 pages
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the person whose signature
appears below hereby constitutes and appoints Nancy L. Dorman, Charles W.
Newhall III and Louis S. Citron, and each of them, with full power to act
without the others, his true and lawful attorney-in-fact, with full power of
substitution, to sign any and all instruments, certificates and documents that
may be necessary, desirable or appropriate to be executed on behalf of himself
as an individual or in his capacity as a general partner of any partnership,
pursuant to section 13 or 16 of the Securities Exchange Act of 1934, as amended
(the "Exchange Act"), and any and all regulations promulgated thereunder, and to
file the same, with all exhibits thereto, and any other documents in connection
therewith, with the Securities and Exchange Commission, and with any other
entity when and if such is mandated by the Exchange Act or by the By-laws of the
National Association of Securities Dealers, Inc., granting unto said
attorney-in-fact full power and authority to do and perform each and every act
and thing necessary, desirable or appropriate, fully to all intents and purposes
as he might or could do in person, thereby ratifying and confirming all that
said attorney-in-fact, or his substitutes, may lawfully do or cause to be done
by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the
21st day of April, 2002.
/s/ Eugene A. Trainor III
--------------------------------
Eugene A. Trainor III
Page 24 of 24 pages