United States
Securities and Exchange Commission
Washington, D.C. 20549
Schedule 13G
(Amendment No. __)*
Under the Securities Exchange Act of 1934
RIGEL PHARMACEUTICALS, INC.
-----------------------------------------
(Name of Issuer)
Common Stock
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(Title of Class of Securities)
766559108
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(CUSIP Number)
December 31, 2000
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(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 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Partners
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
California
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Please see Attachment A
Number Of Shares (5) Sole Voting Power 4,683,923
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With
(7) Sole Dispositive Power 4,683,923
(8) Shared Dispositive Power -0-
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(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,683,923 Please see Attachment A
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(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
- ------------------------------------------------------------------------------------------------------------
(11) Percent Of Class Represented By Amount In Row (11)
13.0% Please see Attachment A
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(12) Type Of Reporting Person
IA
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*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 3 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Partners, L. P.
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
Delaware
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Please see Attachment A
Number Of Shares (5) Sole Voting Power 4,579,305
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With
(7) Sole Dispositive Power 4,579,305
(8) Shared Dispositive Power -0-
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,579,305 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)
12.7% Please see Attachment A
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(12) Type Of Reporting Person
PN
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CUSIP No. 766559108 Page 4 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta California Management Partners, L. P.
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
Delaware
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Please see Attachment A
Number Of Shares (5) Sole Voting Power 4,579,305
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With
(7) Sole Dispositive Power 4,579,305
(8) Shared Dispositive Power -0-
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,579,305 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)
12.7% Please see Attachment A
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(12) Type Of Reporting Person
PN
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CUSIP No. 766559108 Page 5 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Alta Embarcadero Partners, LLC
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
California
- ------------------------------------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power 104,618
Beneficially Owned
By Each Reporting (6) Shared Voting Power -0-
Person With
(7) Sole Dispositive Power 104,618
(8) Shared Dispositive Power -0-
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
104,618 Please see Attachment A
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(10) Check If The Aggregate Amount In Row (11) Excludes Certain Shares*
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(11) Percent Of Class Represented By Amount In Row (11)
0.3% Please see Attachment A
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(12) Type Of Reporting Person
CO
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CUSIP No. 766559108 Page 6 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Jean Deleage
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States
- ------------------------------------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 4,683,923
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 4,683,923
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,683,923 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)
13.0% Please see Attachment A
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(12) Type Of Reporting Person
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 7 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Garrett Gruener
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(2) Check The Appropriate Box If A Member Of A Group (a)
(b) X
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States
- ------------------------------------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 4,683,923
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 4,683,923
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,683,923 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)
13.0% Please see Attachment A
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(12) Type Of Reporting Person
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 8 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Guy Nohra
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(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
- ------------------------------------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 4,683,923
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 4,683,923
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,683,923 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)
13.0% Please see Attachment A
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(12) Type Of Reporting Person
IN
- ------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
CUSIP No. 766559108 Page 9 of 12 Pages
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(1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons
Marino Polestra
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(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
- ------------------------------------------------------------------------------------------------------------
Please see Attachment A
Number Of Shares (5) Sole Voting Power -0-
Beneficially Owned
By Each Reporting (6) Shared Voting Power 4,683,923
Person With
(7) Sole Dispositive Power -0-
(8) Shared Dispositive Power 4,683,923
- ------------------------------------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned By Each Reporting Person
4,683,923 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)
13.0% Please see Attachment A
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(12) Type Of Reporting Person
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Item 1.
(a) Name of Issuer: Rigel Pharmaceuticals, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
240 East Grand Avenue
South San Francisco, CA 94080
Item 2.
(a) Name of Person Filing:
Alta Partners ("AP")
Alta California Partners, L.P. ("ACP")
Alta California Management Partners, L.P. ("ACMP")
Alta Embarcadero Partners, LLC ("AEP")
Jean Deleage ("JD")
Garrett Gruener ("GG")
Guy Nohra ("GN")
Marino Polestra ("MP")
(b) Address of Principal Business Office:
One Embarcadero Center, Suite 4050
San Francisco, CA 94111
(c) Citizenship/Place of Organization:
Entities: AP - California
ACP - Delaware
ACMP Delaware
AEP California
Individuals: JD United States
GG United States
GN United States
MP United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 766559108
Item 3. Not applicable.
Item 4 Ownership.
Please see Attachment A
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
AP ACP ACMP AEP JD GG GN MP
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
(a) Beneficial 4,683,923 4,579,305 4,579,305 104,618 4,683,923 4,683,923 4,683,923 4,683,923
Ownership
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
(b) Percentage of 13.0% 12.7% 12.7% 0.3% 13.0% 13.0% 13.0% 13.0%
Class
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
(c) Sole Voting Power 4,683,923 4,579,305 4,579,305 104,618 -0- -0- -0- -0-
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared Voting -0- -0- -0- -0- 4,683,923 4,683,923 4,683,923 4,683,923
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
Sole Dispositive 4,683,923 4,579,305 4,579,305 104,618 -0- -0- -0- -0-
Power
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------ -----------
Shared -0- -0- -0- -0- 4,683,923 4,683,923 4,683,923 4,683,923
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.
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: January 26, 2001
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
/s/ Jean Deleage /s/ Guy Nohra
----------------------- -----------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Marino Polestra
----------------------- -----------------------------
Garrett Gruener Marino Polestra
Exhibit A
Agreement of Joint Filing
We, the undersigned, hereby express our agreement that the attached
Schedule 13G is filed on behalf of us.
Date: January 26, 2001
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: January 26, 2001
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
/s/ Jean Deleage /s/ Guy Nohra
----------------------- -----------------------------
Jean Deleage Guy Nohra
/s/ Garrett Gruener /s/ Marino Polestra
----------------------- -----------------------------
Garrett Gruener Marino Polestra
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 4,579,305 shares
of Common Stock. Alta Embarcadero Partners, LLC beneficially owns 104,618 shares
of Common Stock. The respective general partners of Alta California Partners
L.P. and Alta Embarcadero Partners exercise sole voting and investment power
with respect to the shares owned by such funds.
The 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 of Alta Embarcadero Partners, LLC. As general
partners and members of such funds, they may be deemed to share voting and
investment powers for 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.
Mr. Jean Deleage, a director of the company, is a general partner of
Alta California Partners, L.P. and member of Alta Embarcadero Partners, LLC. He
disclaims beneficial ownership of all such shares held by all of the foregoing
funds. He does not directly own any securities in Rigel Pharmaceuticals, Inc.
Alta Partners is a venture capital company with an office in San
Francisco. Alta Partners is California Corporation. Alta California Partners,
L.P. is a Delaware Limited Partnership and Alta Embarcadero Partners, LLC is a
California Limited Liability Company.