SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
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)
(Amendment No.1)*
CollaGenex Pharmaceuticals, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
19419B100
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(CUSIP Number)
December 31, 1999
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(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)
[ ] Rule 13d-(c)
[X] 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
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 ("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).
(Continued on following pages)
Page 1 of 10 Pages
<PAGE>
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CUSIP NO. 19419B100 13 G Page 2 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi Ventures III, L.P. ("DV III")
Tax ID Number:
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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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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 0 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
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12 TYPE OF REPORTING PERSON* PN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 19419B100 13 G Page 3 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi BioInvestments III, L.P. ("DBI III")
Tax ID Number:
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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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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 0 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
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12 TYPE OF REPORTING PERSON* PN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 19419B100 13 G Page 4 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi Management Partners ("DMP III")
Tax ID Number:
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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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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 0 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
0 shares.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
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12 TYPE OF REPORTING PERSON* PN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 19419B100 13 G Page 5 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James J. Bochnowski ("Bochnowski")
Tax ID Number:
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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
U.S. Citizen
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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 12,483 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
0 shares.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
12,483 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 12,483
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.13%
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12 TYPE OF REPORTING PERSON* IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 19419B100 13 G Page 6 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David L. Douglass ("Douglass")
Tax ID Number:
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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
U.S. Citizen
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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 11,847 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
0 shares.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
11,847 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 11,847
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.12%
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12 TYPE OF REPORTING PERSON* IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 19419B100 13 G Page 7 of 10 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Donald J. Lothrop ("Lothrop")
Tax ID Number:
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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
U.S. Citizen
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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 9,237 shares.
OWNED BY EACH REPORTING
PERSON WITH
-------------------------------------------
6 SHARED VOTING POWER
0 shares.
-------------------------------------------
7 SOLE DISPOSITIVE POWER
9,237 shares.
-------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 9,237
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.09%
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12 TYPE OF REPORTING PERSON* IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
Page 8 of 10 Pages
This Statement amends and restates the Statement on 13(G) filed by
Delphi Ventures III, L.P., a Delaware limited partnership ("DV III"),
Delphi BioInvestments III, L.P. ("DBI III"), Delphi Management
Partners III, L.P., a Delaware limited partnership ("DMP III"), James
J. Bochnowski ("Bochnowski"), David L. Douglass ("Douglass") and
Donald J. Lothrop ("Lothrop"). The foregoing entities and individuals
are collectively referred to as the "Reporting Persons."
ITEM 4. OWNERSHIP
The following information with respect to the ownership of the Common
Stock of the issuer by the persons filing this Statement is provided
as of December 31, 1999:
(a) Amount beneficially owned:
See Row 9 of cover page for each Reporting Person.
(b) Percent of Class:
See Row 11 of cover page for each Reporting Person.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See Row 5 of cover page for each Reporting
Person.
(ii) Shared power to vote or to direct the vote:
See Row 6 of cover page for each Reporting
Person.
(iii) Sole power to dispose or to direct the
disposition of:
See Row 7 of cover page for each Reporting
Person.
(iv) Shared power to dispose or to direct the
disposition of:
See Row 8 of cover page for each Reporting
Person.
<PAGE>
Page 9 of 10 Pages
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the
date hereof, the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the
following: [X]
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Page 10 of 10 Pages
SIGNATURES
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.
Dated: February 10, 2000
/s/ James J. Bochnowski
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James J. Bochnowski, individually,
and on behalf of DVIII, in his
capacity as a general partner of
DMP III, the general partner of
DVIII, on behalf of DBI III, in
his capacity as a general partner
of DMP III, the general partner of
DBI III, and on behalf of DMP III
in his capacity as a general
partner thereof.
/s/ David L. Douglass
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David L. Douglass
/s/ Donald J. Lothrop
----------------------------------
Donald J. Lothrop
