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.
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 2)*
Transcept Pharmaceuticals, Inc. (f/k/a Novacea, Inc.)
(Name of Issuer)
Common Stock
(Title of Class of Securities)
89354M 10 6
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)
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)
x
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 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 15 Pages
Exhibit Index Contained on Page 14
CUSIP NO. 89354M 10 6 13 G Page 2 of 15 |
1 | NAME OF REPORTING PERSONS Sofinnova Venture Partners V, L.P. (SVP V) | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 340,744 shares | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.6% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
CUSIP NO. 89354M 10 6 13 G Page 3 of 15 |
1 | NAME OF REPORTING PERSONS Sofinnova Venture Affiliates V, L.P. (SVA V) | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 8,116 shares | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
CUSIP NO. 89354M 10 6 13 G Page 4 of 15 |
1 | NAME OF REPORTING PERSONS Sofinnova Venture Principals V, L.P. (SVPr V) | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 5,177 shares | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) PN |
CUSIP NO. 89354M 10 6 13 G Page 5 of 15 |
1 | NAME OF REPORTING PERSONS Sofinnova Management V, L.L.C. (SM V) | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
7 | SOLE DISPOSITIVE POWER | ||
8 | SHARED DISPOSITIVE POWER | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 354,037 shares | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.7% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
CUSIP NO. 89354M 10 6 13 G Page 6 of 15 |
1 | NAME OF REPORTING PERSONS Sofinnova Management V 2005 L.L.C. (SMV 2005) | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
7 | SOLE DISPOSITIVE POWER | ||
8 | SHARED DISPOSITIVE POWER | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 340,744 shares | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.6% | ||
12 | TYPE OF REPORTING PERSON (See Instructions) OO |
CUSIP NO. 89354M 10 6 13 G Page 7 of 15 |
1 | NAME OF REPORTING Michael F. Powell (Powell) Tax ID Number: | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
7 | SOLE DISPOSITIVE POWER | ||
8 | SHARED DISPOSITIVE POWER | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 354,037 shares. | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.7% | ||
12 | TYPE OF REPORTING PERSON* IN |
CUSIP NO. 89354M 10 6 13 G Page 8 of 15 |
1 | NAME OF REPORTING Alain L. Azan (Azan) Tax ID Number: | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF | 5 | SOLE VOTING POWER | |
SHARES | 6 | SHARED VOTING POWER | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH 354,037 shares. | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.7% | ||
12 | TYPE OF REPORTING PERSON* IN |
CUSIP NO. 89354M 10 6 13 G Page 9 of 15 |
1 | NAME OF REPORTING James I. Healy, M.D., Ph.D. (Healy) Tax ID Number: | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) o (b) x | ||
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | |
6 | SHARED VOTING POWER | ||
7 | SOLE DISPOSITIVE POWER | ||
8 | SHARED DISPOSITIVE POWER | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) o | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.8% | ||
12 | TYPE OF REPORTING PERSON* IN |
CUSIP NO. 89354M 10 6 13 G Page 10 of 15 |
This Amendment No. 2 amends and restates in its entirety the Schedule 13G previously filed by Sofinnova Venture Partners V, L.P. (SVP V), Sofinnova Venture Affiliates V, L.P. (SVA V), Sofinnova Venture Principals V, L.P. (SVPr V), Sofinnova Management V, L.L.C. (SM V), Sofinnova Management V 2005 LLC (SMV 2005), Michael F. Powell (Powell), Alain L. Azan (Azan) and James I. Healy, M.D., Ph.D. (Healy) (together with all prior and current amendments thereto, this Schedule 13G).
ITEM 1(A).
NAME OF ISSUER
Transcept Pharmaceuticals, Inc. (f/k/a Novacea, Inc.)
ITEM 1(B).
ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES
1003 W. Cutting Boulevard
Suite 110
Pt. Richmond, CA 94804
ITEM 2(A).
NAME OF PERSONS FILING
This Schedule 13G is filed by Sofinnova Venture Partners V, L.P. (SVP V), Sofinnova Venture Affiliates V, L.P. (SVA V), Sofinnova Venture Principals V, L.P. (SVPr V), Sofinnova Management V, L.L.C. (SM V), Sofinnova Management V 2005 LLC (SMV 2005), Michael F. Powell (Powell), Alain L. Azan (Azan) and James I. Healy, M.D., Ph.D. (Healy). The foregoing entities and individuals are collectively referred to as the Reporting Persons.
SM V, the general partner of SVA V and SVPr V, may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by SVA V and SVPr V. Powell, Azan and Healy are the managing members of SM V and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by SVA V and SVPr V.
SM V and SMV 2005, the general partners of SVP V, may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by SVP V. Powell, Azan and Healy are the managing members of each of SMV and SMV 2005 and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by SVP V.
ITEM 2(B).
ADDRESS OF PRINCIPAL BUSINESS OFFICE
The address for each of the Reporting Persons is:
Sofinnova Ventures, Inc.
140 Geary Street, 10th Floor
San Francisco, California 94108
ITEM 2(C)
CITIZENSHIP
SVP V, SVA V and SVPr V, are Delaware limited partnerships. SM V and SMV 2005 are Delaware limited liability companies. Powell, Azan and Healy are United States citizens.
CUSIP NO. 89354M 10 6 13 G Page 11 of 15 |
ITEM 2(D) AND (E).
TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER
Common Stock
CUSIP # 89354M 10 6
ITEM 3.
Not Applicable.
ITEM 4.
OWNERSHIP
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a)
Amount beneficially owned:
See Row 9 of cover page for each Reporting Person.
(b)
Percent of Class:
See Row 11 of cover page for each Reporting Person.
(c)
Number of shares as to which such person has:
(i)
Sole power to vote or to direct the vote:
See Row 5 of cover page for each Reporting Person.
(ii)
Shared power to vote or to direct the vote:
See Row 6 of cover page for each Reporting Person.
(iii)
Sole power to dispose or to direct the disposition of:
See Row 7 of cover page for each Reporting Person.
(iv)
Shared power to dispose or to direct the disposition of:
See Row 8 of cover page for each Reporting Person.
ITEM 5.
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ☒ Yes
CUSIP NO. 89354M 10 6 13 G Page 12 of 15 |
ITEM 6.
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Please see Item 5.
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.
Not applicable.
ITEM 9.
NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10.
CERTIFICATION.
Not applicable.
CUSIP NO. 89354M 10 6 13 G Page 13 of 15 |
SIGNATURES
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: February 9, 2010
Sofinnova Venture Partners V, L.P.
/s/ Nathalie Auber
By Sofinnova Management V, L.L.C.
Nathalie Auber, Attorney-in-Fact*
By Sofinnova Management V 2005 L.L.C.
Its General Partners
Sofinnova Venture Affiliates V, L.P.
/s/ Nathalie Auber
By Sofinnova Management V, L.L.C.
Nathalie Auber, Attorney-in-Fact*
Its General Partner
Sofinnova Venture Principals V, L.P.
/s/ Nathalie Auber
By Sofinnova Management V, L.L.C.
Nathalie Auber, Attorney-in-Fact*
Its General Partner
Michael F. Powell
/s/ Nathalie Auber
Nathalie Auber, Attorney-in-Fact*
Alain L. Azan
/s/ Nathalie Auber
Nathalie Auber, Attorney-in-Fact*
James I. Healy, M.D., Ph.D.
/s/ Nathalie Auber
Nathalie Auber, Attorney-in-Fact*
*Signed pursuant to a Power of Attorney already on file with the appropriate agencies.
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for
other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
CUSIP NO. 89354M 10 6 13 G Page 14 of 15 |
| Found on Sequentially Numbered Page |
Exhibit | |
Exhibit A: Agreement of Joint Filing | 15 |
CUSIP NO. 89354M 10 6 13 G Page 15 of 15 |
EXHIBIT A
Agreement of Joint Filing
An Agreement of Joint Filing is attached as Exhibit A to the original Schedule 13G filed by the Reporting Persons.