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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
------------
SCHEDULE 13G
(Amendment No. 7)*
UNDER THE SECURITIES ACT OF 1934
RIGEL PHARMACEUTICALS, INC.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
766559108
--------------------------------------------------------------------------------
(CUSIP Number)
May 3, 2004
--------------------------------------------------------------------------------
(Date of Event Which 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).
Page 1 of 18 pages
CUSIP No. 766559108 Page 2 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 1
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 1
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 1
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 1: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 3 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 2
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 2
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 2
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 2: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 4 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 3
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 3
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 3
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 3: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 5 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 4
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 4
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 4
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 4: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 6 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
California
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 5
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 5
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 5
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 5: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 7 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 6
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 6
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 6
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 6: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 8 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alta BioPharma Management 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
Delware
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 7
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 7
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 7
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 7: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 9 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 8
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 8
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,880,250 Please see Attachment A and Footnote 8
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.18%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 8: Includes the 1,619,833 shares of Common Stock and Warrants to
purchase 260,417 shares of Common Stock held by the funds affiliated
with Alta Partners and Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 10 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,481,943
OWNED BY Please see Attachment A & Footnote 9
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,481,943
Please see Attachment A & Footnote 9
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,481,943 Please see Attachment A and Footnote 9
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.81%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 9: Includes the 1,256,249 shares of Common Stock and Warrants to
purchase 225,694 shares of Common Stock held by the funds affiliated
with Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 11 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
11,112
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,880,250
OWNED BY Please see Attachment A & Footnote 10
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 11,112
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,880,250
Please see Attachment A & Footnote 10
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,891,362 Please see Attachment A and Footnote 10
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.24%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 10: Includes the 1,619,833 shares of Common Stock, Warrants to purchase
260,417 shares of Common Stock, and Stock Options for 11,112 shares
of Common Stock. See Attachment A.
CUSIP No. 766559108 Page 12 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 398,307
OWNED BY Please see Attachment A & Footnote 11
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
398,307
Please see Attachment A & Footnote 11
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
398,307 Please see Attachment A and Footnote 11
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.37%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 11: Includes the 363,584 shares of Common Stock and Warrants to
purchase 34,723 shares of Common Stock held by the funds affiliated
with Alta Partners. See Attachment A.
CUSIP No. 766559108 Page 13 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,481,943
OWNED BY Please see Attachment A & Footnote 12
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,481,943
Please see Attachment A & Footnote 12
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,481,943 Please see Attachment A and Footnote 12
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.81%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 12: Includes the 1,256,249 shares of Common Stock and Warrants to
purchase 225,694 shares of Common Stock held by the funds
affiliated with Alta Partners II. See Attachment A.
CUSIP No. 766559108 Page 14 of 18 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
-0-
--------------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 398,307
OWNED BY Please see Attachment A & Footnote 13
EACH --------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
--------------------------------------------------------
8 SHARED DISPOSITIVE POWER
398,307
Please see Attachment A & Footnote 13
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
398,307 Please see Attachment A and Footnote 13
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|_|
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.37%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Footnote 13: Includes the 363,584 shares of Common Stock and Warrants to
purchase 34,723 shares of Common Stock held by the funds affiliated
with Alta Partners. See Attachment A.
CUSIP No. 766559108 Page 15 of 18 Pages
--------------------------------------------------------------------------------
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 Partners, L.P. ("ACMP")
Alta Embarcadero Partners, LLC ("AEP")
Alta BioPharma Partners II, L.P. ("ABP II")
Alta BioPharma Management Partners 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
CUSIP No. 766559108 Page 16 of 18 Pages
--------------------------------------------------------------------------------
Item 3. Not applicable.
Item 4 Ownership.
Please see Attachment A
The numbers listed below reflect the 1:9 Reverse Stock Split
effective June 26, 2003.
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AP AP II ACP ACMP AEP ABP II ABMP II
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250
Ownership
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 11.18% 11.18% 11.18% 11.18% 11.18% 11.18% 11.18%
Class
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0-
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- -0- -0- -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250 1,880,250
Dispositive Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
AEBP II FC JD GG AM GN
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(a) Beneficial 1,880,250 1,481,943 1,891,362 398,307 1,481,943 398,307
Ownership
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(b) Percentage of 11.18% 8.81% 11.24% 2.37% 8.81% 2.37%
Class
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
(c) Sole Voting Power -0- -0- 11,112 -0- -0- -0-
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared Voting 1,880,250 1,481,943 1,880,250 398,307 1,481,943 398,307
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Sole Dispositive -0- -0- 11,112 -0- -0- -0-
Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Shared 1,880,250 1,481,943 1,880,250 398,307 1,481,943 398,307
Dispositive Power
------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Item 5. Ownership of Five Percent or Less of a Class
Not Applicable.
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.
CUSIP No. 766559108 Page 17 of 18 Pages
--------------------------------------------------------------------------------
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
CUSIP No. 766559108 Page 18 of 18 Pages
--------------------------------------------------------------------------------
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: April 5, 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 PARTNERS II, LLC
By: Alta BioPharma Management Partners 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: April 5, 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 PARTNERS II, LLC
By: Alta BioPharma Management Partners 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
Alta Partners provides investment advisory services to several venture capital
funds including Alta California Partners, L.P. and Alta Embarcadero Partners,
LLC. Alta California Partners, L.P. beneficially owns 355,465 shares of Common
Stock and Warrants to purchase 33,947 shares of Common Stock. Alta Embarcadero
Partners, LLC beneficially owns 8,119 shares of Common Stock and Warrants to
purchase 776 shares of Common Stock. The respective general partners and members
of Alta California Partners L.P. and Alta Embarcadero Partners, LLC exercise
sole voting and investment power with respect to the shares owned by such 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. Alta BioPharma Partners II, L.P. beneficially owns
1,211,676 shares of Common Stock and Warrants to purchase 217,686 shares of
Common stock. Alta Embarcadero BioPharma Partners II, LLC beneficially owns
44,573 shares Common Stock and Warrants to purchase 8,008 shares of 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.
Mr. Jean Deleage, Director, is a managing director of Alta BioPharma Management
Partners II, LLC (which is the general partner of Alta BioPharma Partners II,
L.P.), a manager of Alta Embarcadero BioPharma Partners II, LLC, 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. Thus he currently shares voting and dispositive powers over the
1,429,362 shares of Common Stock beneficially owned by Alta BioPharma Partners
II, L.P., the 52,581 shares of Common Stock beneficially owned by Alta
Embarcadero BioPharma Partners II, LLC, the 389,412 shares of Common Stock
beneficially owned by Alta California Partners L.P. and the 8,895 shares of
Common Stock beneficially owned by 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. He holds
stock options for 11,112 shares of Common Stock: options for 8,333 shares were
granted on January 26, 2004 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 Partners
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 1,429,362 shares of Common Stock
beneficially owned by Alta BioPharma Partners II, L.P. and the 52,581 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. Thus he shares voting and dispositive
powers over the 389,412 shares of Common Stock beneficially owned by Alta
California Partners L.P. and 8,895 shares of Common stock beneficially owned by
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.
Page 1 of 2 of Attachment A
Attachment A (continued)
Dr. Alix Marduel is a managing director of Alta BioPharma Management Partners
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 1,429,362 shares of Common Stock
beneficially owned by Alta BioPharma Partners II, L.P. and the 52,581 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.). Thus he shares
voting and dispositive powers over the 389,412 shares of Common Stock
beneficially owned by 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.
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