-------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response......11 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G (Amendment No. 4)* 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) RIGEL PHARMACEUTICALS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 766559108 - -------------------------------------------------------------------------------- (CUSIP Number) April 29, 2003 - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & Footnote 1 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & Footnote 1 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 1: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A and Footnote 2 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A and Footnote 2 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 2: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & Footnote 3 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & Footnote 3 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 3: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 California - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & Footnote 4 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & Footnote 4 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 4: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & footnote 5 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & footnote 5 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 5: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & Footnote 6 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & Footnote 6 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 6: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 Delaware - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & footnote 7 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & footnote 7 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 7: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & footnote 8 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & footnote 8 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,895,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 8: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 15,212,500 BENEFICIALLY Please see Attachment A & footnote 9 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 15,212,500 Please see Attachment A & footnote 9 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,212,500 - ------------------------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) 12.7% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 9: Includes the 1,150,000 shares of Common Stock currently held by the funds affiliated with Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER 10,000 -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 19,895,423 BENEFICIALLY Please see Attachment A & footnote 10 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 10,000 WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 19,895,423 Please see Attachment A & footnote 10 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,905,423 - ------------------------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) 16.5% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 10: Includes the 5,832,923 shares of Common Stock currently held by the funds affiliated with Alta Partners and Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. In addition Mr. Deleage holds Stock Options for 10,000 shares of Common Stock. Please 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 4,682,923 BENEFICIALLY Please see Attachment A & footnote 11 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,682,923 Please see Attachment A & footnote 11 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,682,923 - ------------------------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) 4.8% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 11: Includes the 4,682,923 shares of Common Stock currently held by the funds affiliated with Alta Partners. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 15,212,500 BENEFICIALLY Please see Attachment A & footnote 12 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 15,212,500 Please see Attachment A & footnote 12 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,212,500 - ------------------------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) 12.7% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 12: Includes the 1,150,000 shares of Common Stock currently held by the funds affiliated with Alta Partners II, and the proposed purchase of 11,718,750 shares of Common Stock and the Warrants to purchase 2,343,750 shares of Common Stock to be purchased by the funds affiliated with Alta Partners II, in accordance with the terms of the Common Stock and Warrant Purchase Agreement dated April 29, 2003. 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 - -------------------------------------------------------------------------------- Please see Attachment A 5 SOLE VOTING POWER -0- -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 4,682,923 BENEFICIALLY Please see Attachment A & footnote 13 OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,682,923 Please see Attachment A & footnote 13 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,682,923 - ------------------------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) 4.8% - --------------------------Please see Attachment A------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Footnote 13: Includes the 4,682,923 shares of Common Stock currently held by the funds affiliated with Alta Partners. 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 Item 3. Not applicable. Item 4 Ownership. Please see Attachment A
- ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- AP AP II ACP ACMP AEP ABP II ABMP II - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (a) Beneficial 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (b) Percentage of 16.5% 16.5% 16.5% 16.5% 16.5% 16.5% 16.5% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (c) Sole Voting Power -0- -0- -0- -0- -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared Voting 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Sole Dispositive -0- -0- -0- -0- -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 19,895,423 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- AEBP II FC JD GG AM GN - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (a) Beneficial 19,895,423 15,212,500 19,905,423 4,682,923 15,212,500 4,682,923 Ownership - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (b) Percentage of 16.5% 12.7% 16.5% 4.8% 12.7% 4.8% Class - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- (c) Sole Voting Power -0- -0- 10,000 -0- -0- -0- - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared Voting 19,895,423 15,212,500 19,895,423 4,682,923 15,212,500 4,682,923 Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Sole Dispositive -0- -0- 10,000 -0- -0- -0- Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ ------------- Shared 19,895,423 15,212,500 19,895,423 4,682,923 15,212,500 4,682,923 Dispositive Power - ------- ------------------ ----------- ----------- ------------ ----------- ------------- ------------ -------------
Please see Attachment A 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 B: Rigel Pharmaceuticals, Inc. Common Stock and Warrant Purchase Agreement 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: May 9, 2003
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, Member 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