<PAGE>
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2(a)(1)
(Amendment No. 2)
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PATHOGENESIS CORPORATION
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(Name of Issuer)
Common Stock, par value $.001 per share
(Title of Class of Securities)
70321E104
-----------------------
(CUSIP Number)
Woon-Wah Siu, Esq.
Bell, Boyd & Lloyd LLC
70 W. Madison Street
Three First National Plaza
Chicago, Illinois 60602
(312) 372-1121
-----------------------
(Name, address and telephone number of person
authorized to receive notices and communications)
September 18, 2000
-------------------------------
(Date of event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of (S)(S)240.13d-1(e), 240.13d-1(f) or 240.13d- 1(g),
check the following box [_]
Note. Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See (S)240.13d-7(b) for other
parties to whom copies are to be sent.
(1) The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Exchange Act") or otherwise subject to the liabilities of that
section of the Exchange Act but shall be subject to all other provisions of the
Exchange Act (however, see the Notes).
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CUSIP No. 70321E04 13D
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Fred Wilpon
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
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SOURCE OF FUNDS (See Instructions)
4
00
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
5
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
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SOLE VOTING POWER
7
NUMBER OF 81,598 (all 81,598 shares underlying
exercisable options)
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
None
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 81,598 (all 81,598 shares underlying
exercisable options)
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
None
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
81,598
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_]
12
(See Instructions)
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.5%
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TYPE OF REPORTING PERSON (See Instructions)
14
IN
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2
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CUSIP No. 70321E04 13D
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Marvin B. Tepper
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
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SOURCE OF FUNDS (See Instructions)
4
00
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
5
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CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
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SOLE VOTING POWER
7
NUMBER OF 75,348 (all 75,348 shares underlying
exercisable options)
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
None
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 75,348 (all 75,348 shares underlying
exercisable options)
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
None
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
75,348
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_]
12
(See Instructions)
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0.5%
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TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------------------------------------------------------------------------
3
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CUSIP No. 70321E04 13D
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NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Saul B. Katz
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
2 (a) [_]
(b) [_]
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SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS (See Instructions)
4
00
------------------------------------------------------------------------------
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF None
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
None
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING None
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
None
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
None
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_]
12
(See Instructions)
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
14
IN
------------------------------------------------------------------------------
4
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This Amendment No. 2 (this "Amendment") relates to a Statement on Schedule
13D originally filed on September 3, 1998, as restated and amended by Amendment
No. 1 (the "Statement") relating to the Common Stock, par value $.001 per share
(the "Common Stock"), of PathoGenesis Corporation, a Delaware corporation (the
"Company"). This Amendment supplements the original Statement and should be
read in conjunction therewith. Capitalized terms used but otherwise not defined
herein have the meanings ascribed to them in the Statement.
Item 5. Interest in Securities of the Issuer.
(a) and (b) As of September 18, 2000, Mr. Wilpon owned options to
purchase 81,598 shares of Common Stock, and had the sole power to vote and
dispose of said shares upon exercise of such options and acquisition of such
shares.
As of September 18, 2000, Mr. Tepper owned options to purchase 75,348
shares of Common Stock, and had the sole power to vote and dispose of said
shares upon exercise of such options and acquisition of such shares.
(c) On September 5, 2000, Sterling distributed an aggregate of 70,000
shares of Common Stock to certain of its partners, each of whom on September 5,
2000, donated the shares of Common Stock received by him in such distribution to
one or more foundations controlled by him.
(i) On September 12, 2000, Mr. Wilpon and his spouse tendered the
9,000 shares of Common Stock held jointly by them into the offer by Picard
Acquisition Corp. (the "Purchaser"), a wholly-owned subsidiary of Chiron
Corporation, to purchase for cash all outstanding shares of Common Stock at
$38.50 per share (the "Offer"); (ii) on September 12, 2000, Messrs. Wilpon and
Katz tendered the 10,000 shares of Common Stock held jointly by them into the
Offer; (iii) on September 13, 2000, Mr. Katz tendered the 40,000 shares of
Common Stock held by him into the Offer; (iv) on September 13, 2000, Mr. Katz
and his spouse tendered the 5,000 shares of Common Stock held jointly by them
into the Offer; (v) on September 15, 2000, Sterling, of which Messrs. Wilpon,
Tepper and Katz are partners, tendered the remaining 730,000 shares held by it
into the Offer; and (vi) on September 8, 2000, nine foundations controlled by
partners of Sterling tendered the 70,000 shares of Common Stock held by them
into the Offer. The above shares were accepted for payment by the Purchaser on
September 18, 2000.
(e) As of September 18, 2000, each of Messrs. Wilpon, Tepper and Katz
ceased to be the beneficial owner of more than five percent of the Common Stock.
Item 7. Materials to be Filed as Exhibits.
The following exhibits are filed herewith or incorporated by
reference:
5
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Exhibit No. Exhibit
1. Agreement of Joint Filing, a copy of which is filed
herewith.
2. PathoGenesis Corporation 1999 Stock Plan (incorporated
herein by reference to Appendix A to the Company's Schedule
14A filed on April 19, 1999, Commission file No. 0-27150).
3. PathoGenesis Corporation 1997 Stock Option Plan
(incorporated herein by reference to Annex A to the
Company's Schedule 14A filed on April 29, 1997, Commission
file No. 0-27150).
4. PathoGenesis Corporation 1996 Stock Option Plan for Non-
Employee Directors (incorporated herein by reference to
Exhibit 4.3 to the Company's Annual Report on Form 10-K for
the fiscal year ended December 31, 1995, Commission file No.
0-27150).
5. PathoGenesis Corporation 1992 Stock Option Plan
(incorporated herein by reference to Exhibit 3.1 to the
Company's Registration Statement on Form S-1, Commission
file No. 33-97070).
6
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the
undersigned certifies that the information set forth in this statement is true,
complete, and correct.
Date: September 18, 2000
/s/ Fred Wilpon
-------------------------
Fred Wilpon
7
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the
undersigned certifies that the information set forth in this statement is true,
complete, and correct.
Date: September 18, 2000
/s/ Marvin B. Tepper
--------------------------------
Marvin B. Tepper
8
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the
undersigned certifies that the information set forth in this statement is true,
complete, and correct.
Date: September 18, 2000
/s/ Saul B. Katz
---------------------------
Saul B. Katz
9
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AGREEMENT OF JOINT FILING
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the
undersigned hereby consent to the joint filing of Amendment No. 1 to the
Statement on Schedule 13D on their behalf and to the joint filing of any single
amended statements on Schedule 13D thereto with respect to the ownership by each
of the undersigned of shares of Common Stock of the Company. The undersigned
hereby further agree that this statement may be executed in any number of
counterparts, each of which when so executed shall be deemed to be an original,
but all of which counterparts shall together constitute one and the same
instrument.
Dated: September 18, 2000
/s/ Fred Wilpon
----------------------------
Fred Wilpon
/s/ Marvin B. Tepper
----------------------------
Marvin B. Tepper
/s/ Saul B. Katz
----------------------------
Saul B. Katz
10
