|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (right to buy) | $ 5 (4) | 07/12/2005 | P | 272,268 | 01/08/2006 | 07/12/2010 | Common | 272,268 | $ 0 | 272,268 | D (1) | ||||
Warrant (right to buy) | $ 5 (4) | 07/12/2005 | P | 2,732 | 01/08/2006 | 07/12/2010 | Common | 2,732 | $ 0 | 2,732 | I (3) | By mRNA Fund II L.P. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OXFORD BIOSCIENCE PARTNERS IV LP 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
MRNA FUND II LP 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
OBP MANAGEMENT IV LP 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
BARNES JEFFREY T 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
CARTHY MARK 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
FLEMING JONATHAN 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
LYTTON MICHAEL 222 BERKELEY ST. BOSTON, MA 02116 |
X | |||
WALTON ALAN G 222 BERKELEY ST. BOSTON, MA 02116 |
X |
/s/ Jonathan J. Fleming, as general partner of the general partner of Oxford Bioscience Partners IV L.P. | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Jonathan J. Fleming, as general partner of the general partner of mRNA Fund II L.P. | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Jonathan J. Fleming, as general partner of OBP Management IV L.P. | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Raymond Charest, as attorney-in-fact for Jeffrey T. Barnes | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Raymond Charest, as attorney-in-fact for Mark P. Carthy | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Jonathan J. Fleming | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Raymond Charest, as attorney-in-fact for Michael E. Lytton | 07/13/2005 | |
**Signature of Reporting Person | Date | |
/s/ Raymond Charest, as attorney-in-fact for Alan G. Walton | 07/13/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Securities held of record by Oxford Bioscience Partners IV L.P. ("Oxford IV"). By virtue of their relationship as affiliated limited partnerships, whose sole general partner shares individual general partners, Oxford IV and mRNA Fund II L.P. ("mRNA") may be deemed to share voting power and the power to direct the disposition of the shares which each partnership owns of record. OBP Management IV L.P. ("OBP IV") (as the general partner of Oxford IV and mRNA II), may also be deemed to own beneficially the shares held of record by Oxford IV and mRNA II. Each of Messrs. Barnes, Carthy, Fleming, Lytton, and Walton, the individual general partners of OBP IV, may be deemed to own beneficially the shares held by Oxford IV and mRNA II. The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
(2) | The shares were issued in connection with the reallocation of an aggregate of 7,198 shares of common stock of Solexa, Inc. (the "Company") to the former shareholders of Solexa Limited in connection with the business combination between the Company and Solexa Limited completed on March 4, 2005. |
(3) | Securities held of record by mRNA. By virtue of their relationship as affiliated limited partnerships, whose sole general partner shares individual general partners, Oxford IV and mRNA may be deemed to share voting power and the power to direct the disposition of the shares which each partnership owns of record. OBP IV (as the general partner of Oxford IV and mRNA II), may also be deemed to own beneficially the shares held of record by Oxford IV and mRNA II. Each of Messrs. Barnes, Carthy, Fleming, Lytton, and Walton, the individual general partners of OBP IV, may be deemed to own beneficially the shares held by Oxford IV and mRNA II. The reporting persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
(4) | If, at any time prior to January 12, 2008, Solexa, Inc. issues additional shares of Common Stock or rights, warrants, options or other securities or debt convertible, exercisable or exchangeable for shares of Common Stock or otherwise entitling any individual or entity to acquire shares of Common Stock at an effective net price to the Company per share of Common Stock less than four dollars ($4.00) the Exercise Price shall be reduced in accordance with the terms of the Warrant to Purchase Common Stock dated as of May 6, 2005. |