Sec Form 13G Filing - Alloy Ventures 2000 L.P. filing for HUMANIGEN INC (HGEN) - 2014-02-14

SCHEDULE 13G

(Rule 13d-102)

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. )*

(Name of Issuer)

(Title of Class of Securities)

(CUSIP Number)

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(1)  This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. 

(2)  Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)  This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

2

(1)  This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. 

(2)  Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)  This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

3

(1)  This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. 

(2)  Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  ; Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)  This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

4

(1)  This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G. 

(2)  Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)  This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

5

(1)  This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)  Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)  This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

6

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)   Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

7

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)   Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

8

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)   Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

9

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)   Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by In vestors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

10

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

(2)   Includes 1,000 shares held by Di Bona directly. 

(3)   Includes  (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(4)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

11

(1)   This Schedule 13G is filed by Alloy Ventures 2000, L.P., a California limited partnership (“Ventures”), Alloy Partners 2000, L.P., a California limited partnership (“Partners”), Alloy Corporate 2000, L.P., a California limited partnership (“Corporate”), Alloy Investors 2000, L.P., a California limited partnership (“Investors”), Alloy Ventures 2000, LLC, a California limited liability company (“GP 2000”), Alloy Annex I, L.P. a California limited partnership (“Annex”), Alloy Annex I, LLC, a California limited liability company (“GP Annex”), Craig Taylor (“Taylor”), John Shoch (“Shoch”), Douglas Kelly (“Kelly”), Tony Di Bona (“Di Bona”) and Daniel Rubin (“Rubin” and together with Ventures, Partners, Corporate, Investors, GP 2000, Annex, GP Annex, Taylor, Shoch, Kelly and Di Bona  collectively, the “Reporting Persons”).  The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.  

(2)   Includes (i) 871,003 shares held by Ventures; (ii) 44,644 shares held by Partners; (iii) 104,688 shares held by Corporate; (iv) 179,607 shares held by Investors;  and (v) 491,752 shares held by Annex. GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(3)   This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

12

13

GP 2000 serves as the sole general partner of Ventures, Partners, Corporate and Investors and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly and Di Bona are managing directors of GP 2000 and share voting and dispositive power over the shares held by Ventures, Partners, Corporate and Investors; however, they disclaim beneficial ownership of the shares held by Ventures, Partners, Corporate and Investors except to the extent of their pecuniary interests therein. GP Annex serves as the sole general partner of Annex and owns no securities of the Issuer directly.  Taylor, Shoch, Kelly, Di Bona and Rubin are managing directors of GP Annex and share voting and dispositive power over the shares held by Annex; however, they disclaim beneficial ownership of the shares held by Annex except to the extent of their pecuniary interests therein.

(1)         This percentage is calculated based upon 32,921,962 shares of Common Stock outstanding as of September 30, 2013 as set forth in the Issuer’s most recent 10-Q filed with the Securities and Exchange Commission on November 12, 2013.

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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.

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Exhibit(s):

A - Joint Filing Statement

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EXHIBIT A

JOINT FILING STATEMENT

We, the undersigned, hereby express our agreement that the attached Schedule 13G (or any amendments thereto) relating to the Common Stock of KaloBios Pharmaceuticals, Inc.  is filed on behalf of each of us.

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