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FORM 3 OMB APPROVAL
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OMB Number 3235-0104
Expires: December 31, 2001
Estimated average burden
Hours per response ...... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
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<S> <C> <C> <C>
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1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date
Paul G. Allen Statement Trading Symbol of Original
---------------------------------------- (Month/Day/Year) Rosetta Inpharmatics, Inc. ("RSTA") (Month/Day/Year)
(Last) (First) (Middle) August 2, 2000 ----------------------------------
---------------------------- 5. Relationship of Reporting -----------------------
110-110th Avenue N.E., Suite 550 3. IRS or Social Security Person to Issuer 7. Individual or Joint/
---------------------------------------- Number of Reporting (Check all applicable) Group Filing (Check
(Street) Person (Voluntary) Director X 10% Owner applicable line)
----- ----- Form filed by
Bellevue, WA 98004 ---------------------------- Officer Other ----- One Reporting
-------------------------------------- ----- (give ----- (specify Person
(City) (State) (Zip) title below) below) X Form filed by
----- More than One
---------------------------------- Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect
(Instr. 4) Beneficially Owned Direct (D) or Beneficial
(Instr. 4) Indirect (I) Ownership (Instr. 5)
(Instr. 5)
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*If the form is filed by more than one Reporting Person, see Instruction 5(b)(v).
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly (Over)
(Print or Type Responses) SEC 1473 (8-92)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<S> <C> <C> <C> <C> <C>
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1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect
(Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership
Expiration Date Derivative Security Exercise Form of (Instr. 5)
(Month/Day/ (Instr. 4) Price of Deriv-
Year) Deriv- ative
ative Security:
Security
------------------------------------------------- Direct
Date Expira- Amount or (D) or
Exercis- tion Title Number Indirect (I)
able Date of Shares (Instr. 5)
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Series A Preferred Stock (1) Common Stock 1,000,000 1:1(2) I
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Series C Preferred Stock (1) Common Stock 740,741 1:1(2) I
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Series E Preferred Stock (1) Common Stock 1,602,564 1:1(2) I
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Common Stock Warrant
(Right to Buy)(3) 04/01/99 (4) Common Stock 223,125 $0.45 I
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Explanation of Responses:
(1) These securities are owned directly by Vulcan Ventures Incorporated ("VVI") and indirectly by Paul G. Allen, the sole
shareholder of VVI.
* Form 3 is being filed in anticipation of Issuer's initial registration statement under the Securities Act of 1934 becoming
effective and the simultaneous effectiveness of the registration statement for the applicable stock under the Securities
Act of 1933.
(1) Immediately prior to the closing of the IPO, all of the preferred stock will convert into common stock.
(2) The price of these shares will be the price of the Issuer's common stock upon effectiveness of the IPO, which is currently
anticipated to be approximately $11.00.
(3) This warrant will be exercised upon closing of the IPO through a net exercise feature at the warrant exercise price,
which is $0.45.
(4) This warrant expires upon closing of the IPO.
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**Signature of Reporting Person Date
William D. Savoy as Attorney-in
Fact for Paul G. Allen pursuant
to a Power of Attorney filed with
the Reporting Persons' Schedule 13G
for Pathogenesis, Inc. on August 30,
1999 and incorporated herein by
reference.
**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this form, one of which must be manually signed.
If space provided is insufficient, See Instruction 6 for procedure. SEC 1473 (3-99)
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JOINT FILER INFORMATION
Name: Vulcan Ventures Incorporated
Address: 110-110th Avenue N.E.
Bellevue, WA 98004
Designated Filer: Paul G. Allen
Issuer & Ticker Symbol: ROSETTA INPHARMATICS, INC. ("RSTA")
Date of Event
Requiring Statement: August 2, 2000
Signature: VULCAN VENTURES INCORPORATED
By: /s/ William D. Savoy
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William D. Savoy, Vice President
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