Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Amendment No. 9)*
UNDER THE SECURITIES EXCHANGE ACT OF 1934
RIGEL PHARMACEUTICALS, INC.
-----------------------------------------
(Name of Issuer)
Common Stock
-----------------------------------------
(Title of Class of Securities)
766559108
-----------------------------------------
(CUSIP Number)
October 21, 2004
- --------------------------------------------------------------------------------
(Date of Event That Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
|_| Rule 13d-1(b)
|X| Rule 13d-1(c)
|_| Rule 13d-1(d)
* 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 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. 766559108 Page 2 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Partners
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 3 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Partners II, Inc.
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
California
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IA
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 4 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Partners, L.P..
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 5 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Management Partners, L.P..
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 6 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Embarcadero Partners, LLC
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 7 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta BioPharma Partners II, L.P.
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
PN
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 8 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta BioPharma Management II, LLC.
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 9 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Embarcadero BioPharma Partners II, LLC.
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
CO
- -------------------------------------------------------------------------------------------------------------------
CUSIP No. 766559108 Page 10 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Farah Champsi
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 11 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Jean Deleage
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power 29,038
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With EXIT FILING ---- Please see footnote 1
(7) Sole Dispositive Power 29,038
(8) Shared Dispositive Power 780,103
EXIT FILING ---- Please see footnote 1
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
809,141 EXIT FILING ---- Please see Attachment A and footnote 2
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
4.14% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1: Includes the 780,103 shares of Common Stock held by the funds
affiliated with Alta Partners II. He beneficially owns 9,593 shares of
Common Stock and Stock Options for 20,557 shares of Common Stock. See
Attachment A.
CUSIP No. 766559108 Page 12 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Garrett Gruener
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With EXIT FILING
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power -0-
EXIT FILING
- -------------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
-0- EXIT FILING ---- Please see Attachment A and footnote 2
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 13 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alix Marduel
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 780,103
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 780,103
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
780,103 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
3.99% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 14 of 21 Pages
- -------------------------------------------------------------------------------------------------------------------
(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Guy Nohra
- -------------------------------------------------------------------------------------------------------------------
(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
- -------------------------------------------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------------------------------------------
EXIT FILING ---- Please see Attachment A
Number Of Shares (5) Sole Voting Power 15,122
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With EXIT FILING
(7) Sole Dispositive Power 15,122
(8) Shared Dispositive Power -0-
EXIT FILING
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
15,122 EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- -------------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
0.08% EXIT FILING ---- Please see Attachment A
- -------------------------------------------------------------------------------------------------------------------
(12) Type Of Reporting Person
IN
- -------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Item 1.
(a) Name of Issuer: Rigel Pharmaceuticals, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
1180 Veterans Boulevard
South San Francisco, CA 94080
Item 2.
(a) Name of Person Filing:
Alta Partners ("AP")
Alta Partners II, Inc. ("AP II")
Alta California Partners, L.P. ("ACP")
Alta California Management, L.P. ("ACMP")
Alta Embarcadero Partners, LLC ("AEP")
Alta BioPharma Partners II, L.P. ("ABP II")
Alta BioPharma Management II, LLC ("ABMP II")
Alta Embarcadero BioPharma Partners II, LLC ("AEBP II")
Farah Champsi ("FC")
Jean Deleage ("JD")
Garrett Gruener ("GG")
Alix Marduel ("AM")
Guy Nohra ("GN")
(b) Address of Principal Business Office:
One Embarcadero Center, Suite 4050
San Francisco, CA 94111
(c) Citizenship/Place of Organization:
Entities: AP California
AP II California
ACP Delaware
ACMP Delaware
AEP California
ABP II Delaware
ABMP II Delaware
AEBP II California
Individuals: FC United States
JD United States
GG United States
AM United States
GN United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 766559108
Item 3. Not applicable.
Item 4 Ownership.
EXIT FILING ---- Please see Attachment A
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AP AP II ACP ACMP AEP ABP II ABMP II
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 780,103 780,103 780,103 780,103 780,103 780,103 780,103
Ownership
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 3.99% 3.99% 3.99% 3.99% 3.99% 3.99% 3.99%
Class
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0-
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 780,103 780,103 780,103 780,103 780,103 780,103 780,103
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- -0- -0- -0- -0- -0-
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 780,103 780,103 780,103 780,103 780,103 780,103 780,103
Dispositive Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AEBP II FC JD GG AM GN
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 780,103 780,103 809,141 -0- 780,103 15,122
Ownership
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 3.99% 3.99% 4.14% 0.00% 3.99% 0.08%
Class
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- 29,038 -0- -0- 15,122
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 780,103 780,103 780,103 -0- 780,103 -0-
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- 29,038 -0- -0- 15,122
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 780,103 780,103 780,103 -0- 780,103 -0-
Dispositive Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Item 5. Ownership of Five Percent or Less of a Class
EXIT FILING
Item 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding
Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group
No reporting person is a member of a group as defined in Section
240.13d-1(b)(1)(ii)(H) of the Act.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below we certify that, to the best of our knowledge and belief, the
securities referred to above were acquired and are held in the ordinary course
of business and were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
EXHIBITS
A: Joint Filing Statement
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.
Date: November 1, 2004
ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.,
By: /s/ Jean Deleage By: /s/ Jean Deleage
----------------------------------------- ------------------------------------------
Jean Deleage, President Jean Deleage, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Jean Deleage By: /s/ Jean Deleage
----------------------------------------- -----------------------------------------
Jean Deleage, General Partner Jean Deleage, Member
ALTA PARTNERS II, INC.
By: /s/ Jean Deleage
-----------------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT II, LLC
By: Alta BioPharma Management II, LLC
By: /s/ Farah Champsi By: /s/ Farah Champsi
----------------------------------------- -----------------------------------------
Farah Champsi, Managing Director Farah Champsi, Managing Director
ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC
By: /s/ Farah Champsi /s/ Alix Marduel
----------------------------------------- --------------------------------------------
Farah Champsi, Manager Alix Marduel
/s/ Jean Deleage /s/ Guy Nohra
----------------------------------------- --------------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Farah Champsi
----------------------------------------- --------------------------------------------
Garrett Gruener Farah Champsi
EXHIBIT A
AGREEMENT OF JOINT FILING
Date: November 1, 2004
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. ALTA PARTNERS ALTA CALIFORNIA PARTNERS, L.P.
By: Alta California Management Partners, L.P.,
By: /s/ Jean Deleage By: /s/ Jean Deleage
----------------------------------------- ------------------------------------------
Jean Deleage, President Jean Deleage, General Partner
ALTA CALIFORNIA MANAGEMENT PARTNERS, L.P. ALTA EMBARCADERO PARTNERS, LLC
By: /s/ Jean Deleage By: /s/ Jean Deleage
----------------------------------------- -----------------------------------------
Jean Deleage, General Partner Jean Deleage, Member
ALTA PARTNERS II, INC.
By: /s/ Jean Deleage
-----------------------------------------
Jean Deleage, President
ALTA BIOPHARMA PARTNERS II, L.P. ALTA BIOPHARMA MANAGEMENT II, LLC
By: Alta BioPharma Management II, LLC
By: /s/ Farah Champsi By: /s/ Farah Champsi
----------------------------------------- -----------------------------------------
Farah Champsi, Managing Director Farah Champsi, Managing Director
ALTA EMBARCADERO BIOPHARMA PARTNERS II, LLC
By: /s/ Farah Champsi /s/ Alix Marduel
----------------------------------------- --------------------------------------------
Farah Champsi, Manager Alix Marduel
/s/ Jean Deleage /s/ Guy Nohra
----------------------------------------- --------------------------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Farah Champsi
----------------------------------------- --------------------------------------------
Garrett Gruener Farah Champsi
Attachment A ----- EXIT FILING
Alta Partners provides investment advisory services to several venture capital
funds including Alta California Partners, L.P. and Alta Embarcadero Partners,
LLC. On 9/29/04, Alta California Partners, L.P. net exercised its warrant for
33,947 shares of Common Stock into 25,052 shares of Common Stock, and then sold
the shares on 9/30/04. On 9/29/04, Alta Embarcadero Partners, LLC net exercised
its warrant for 776 shares of Common Stock into 573 shares of Common Stock, and
then sold the shares on 9/30/04. As a result of the sale of the stock, Alta
California Partners, L.P. and Alta Embarcadero Partners, LLC no longer
beneficially own any securities in Rigel Pharmaceuticals, Inc. The respective
general partners and members of Alta California Partners L.P. and Alta
Embarcadero Partners, LLC hold sole voting and investment power with respect to
the shares owned
by the aforementioned funds.
Certain principals of Alta Partners are general partners of Alta California
Management Partners, L.P. (which is a general partner of Alta California
Partners, L.P.), and members Alta Embarcadero Partners, LLC. As general partners
and members of such funds, they may be deemed to share voting and investment
powers over the shares held by the funds. The principals of Alta Partners
disclaim beneficial ownership of all such shares held by the foregoing funds,
except to the extent of their proportionate pecuniary interests therein.
Alta Partners II, Inc. provides investment advisory services to several venture
capital funds including Alta BioPharma Partners II, L.P. and Alta Embarcadero
BioPharma Partners II, LLC. During the period of October 18-21, 2004, Alta
BioPharma Partners II, L.P. and Alta Embarcadero BioPharma Partners II, LLC sold
the following shares:
Holder Date of Sale # of Shares Sold
------ ------------ ----------------
Alta BioPharma Partners II, L.P. 10/18/04 18,712
10/19/04 25,994
10/21/04 171,299
-------
216,005
Holder Date of Sale # of Shares Sold
------ ------------ ----------------
Alta Embarcadero BioPharma Partners II, LLC 10/18/04 688
10/19/04 956
10/21/04 6,301
-----
7,945
As a result of the sales, Alta BioPharma Partners II, L.P. now beneficially owns
752,423 shares of Common Stock and Alta Embarcadero BioPharma Partners II, LLC
now beneficially owns 27,680 shares Common Stock. The managing directors of Alta
BioPharma Partners II, L.P. and managers of Alta Embarcadero BioPharma Partners
II, LLC exercise sole voting and investment power in respect to the shares owned
by such funds.
Certain principals of Alta Partners II, Inc. are managing directors of Alta
BioPharma Management II, LLC (which is the general partner of Alta BioPharma
Partners II, L.P.), and managers of Alta Embarcadero BioPharma Partners II, LLC.
As managing directors and managers of such entities, they may be deemed to share
voting and investment powers over the shares beneficially held by the funds. The
principals of Alta Partners II, Inc. disclaim beneficial ownership of all such
shares held by the foregoing funds, except to the extent of their proportionate
pecuniary interests therein.
Page 1 of 2 of Attachment A
Attachment A (continued)
Mr. Jean Deleage, Director, is a managing director of Alta BioPharma Management
II, LLC (which is the general partner of Alta BioPharma Partners II, L.P.), and
a manager of Alta Embarcadero BioPharma Partners II, LLC. Thus he currently
shares voting and dispositive powers over the 752,423 shares of Common Stock
beneficially owned by Alta BioPharma Partners II, L.P., and the 27,680 shares of
Common Stock beneficially owned by Alta Embarcadero BioPharma Partners II, LLC.
He disclaims beneficial ownership of all such shares held by all of the
foregoing funds except to the extent of his proportionate pecuniary interests
therein. Mr. Deleage beneficially owns 9,593 shares of Common Stock. He holds
stock options for 20,557 shares of Common Stock: options for 8,333 shares were
granted on June 30, 2004, options for 8,333 shares were granted on January 26,
2004, options for 1,112 shares were granted on 7/28/03, options for 1,667 shares
were granted on June 26, 2003, options for 556 shares were granted on June 20,
2002 and options for 556 shares were granted on July 19, 2001.
Ms. Farah Champsi is a managing director of Alta BioPharma Management II, LLC
(which is the general partner of Alta BioPharma Partners II, L.P.) and a manager
of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently shares voting
and dispositive powers over the 752,423 shares of Common Stock beneficially
owned by Alta BioPharma Partners II, L.P. and the 27,680 shares of Common Stock
beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims
beneficial ownership of all such shares held by all of the foregoing funds
except to the extent of her proportionate pecuniary interests therein.
Mr. Garrett Gruener is a general partner of Alta California Management Partners,
L.P. (which is the general partner of Alta California Partners, L.P.) and a
member of Alta Embarcadero Partners, LLC. He disclaims beneficial ownership of
all such shares held by all of the foregoing funds except to the extent of his
proportionate pecuniary interests therein.
Dr. Alix Marduel is a managing director of Alta BioPharma Management II, LLC
(which is the general partner of Alta BioPharma Partners II, L.P.) and a manager
of Alta Embarcadero BioPharma Partners II, LLC. Thus she currently shares voting
and dispositive powers over the 752,423 shares of Common Stock beneficially
owned by Alta BioPharma Partners II, L.P. and the 27,680 shares of Common Stock
beneficially owned by Alta Embarcadero BioPharma Partners II, LLC. She disclaims
beneficial ownership of all such shares held by all of the foregoing funds
except to the extent of her proportionate pecuniary interests therein.
Mr. Guy Nohra is a general partner of Alta California Management Partners, L.P.
(which is the general partner of Alta California Partners, L.P.). He disclaims
beneficial ownership of all such shares held by all of the foregoing funds
except to the extent of his proportionate pecuniary interests therein. The Nohra
Living Trust owns 11,442 shares of Common Stock and the Nohra 1996 Credit Trust
owns 3,680 shares of Common Stock.
Alta Partners and Alta Partners II, Inc. are venture capital firms that share an
office in San Francisco. Alta Partners is California Corporation. Alta Partners
II, Inc. is a California Corporation. Alta California Partners, L.P. is a
Delaware Limited Partnership, Alta Embarcadero Partners, LLC is a California
Limited Liability Company, Alta BioPharma Partners II, L.P. is a Delaware
Limited Partnership, and Alta Embarcadero BioPharma Partners II, LLC is a
California Limited Liability Company.
Page 2 of 2 of Attachment A