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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
________________________________________________________________________________
1. Name and Address of Reporting Person*
Credit Suisse First Boston,
on behalf of the Credit Suisse First Boston business unit
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(Last) (First) (Middle)
11 Madison Avenue
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(Street)
New York NY 10010
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
IntraBiotics Pharmaceuticals, Inc. (IBPI)
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Year
November 2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
________________________________________________________________________________
<PAGE>
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 3/27/00 C 214,093 (A) 214,093 I (1)(2)(3)
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Common Stock 3/27/00 C 2,052,933 (A) 2,052,933 I (1)(3)(4)
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Common Stock 3/27/00 C 1,352,727 (A) 1,352,727 I (1)(3)(5)
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Common Stock 3/27/00 C 23,846 (A) 23,846 I (1)(3)(6)
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</TABLE>
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
(Print or Type Responses)
(Over)
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Series A Convertible 1:1 3/27/00 C (D) Common Stock 27,933 0
Preferred
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Series B Convertible 1:1 3/27/00 C (D) Common Stock 156,919 0
Preferred
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Series C Convertible 1:1 3/27/00 C (D) Common Stock 6,882 0
Preferred
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Series D Convertible 1:1 3/27/00 C (D) Common Stock 22,359 0
Preferred
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Series C Convertible 1:1 3/27/00 C (D) Common Stock 1,839,038 0
Preferred
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Series D Convertible 1:1 3/27/00 C (D) Common Stock 213,895 0
Preferred
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Series A Convertible 1:1 3/27/00 C (D) Common Stock 176,406 0
Preferred
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Series B Convertible 1:1 3/27/00 C (D) Common Stock 990,938 0
Preferred
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Series C Convertible 1:1 3/27/00 C (D) Common Stock 44,482 0
Preferred
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Series D Convertible 1:1 3/27/00 C (D) Common Stock 140,901 0
Preferred
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Series C Convertible 1:1 3/27/00 C (D) Common Stock 21,362 0
Preferred
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Series D Convertible 1:1 3/27/00 C (D) Common Stock 2,484 0
Preferred
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</TABLE>
Explanation of Responses:
See Attachment A for footnotes:
Credit Suisse First Boston, acting
solely on behalf of the Credit Suisse
First Boston business unit
/s/ Lindsay Hollister 12/11/00
--------------------------------------------- ---------
By: Lindsay Hollister, Director Date
**Signature of Reporting Person
** 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.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.
<PAGE>
Attachment A
EXPLANATION TO RESPONSES:
(1) Credit Suisse First Boston (USA) Inc. ("CSFB-USA"), a Delaware corporation
formerly named Donaldson, Lufkin & Jenrette, Inc., is the parent of DLJ
Capital Corporation ("DLJCC"). DLJCC is the parent of DLJ Capital
Associates VII, Inc., which is the General Partner of DLJ Associates VII,
L.P., which is the General Partner of Sprout Capital VII, L.P. DLJCC is
also parent of DLJ Capital Associates VI, Inc., which is the General
Partner of DLJ Associates VI, L.P., which is the General Partner of Sprout
Capital VI, L.P.
(2) These securities are directly held by DLJCC.
(3) This Form 4 is being filed by Credit Suisse First Boston (the "Bank"), a
Swiss bank, on behalf of itself and its subsidiaries, to the extent that
they constitute part of the Credit Suisse First Boston business unit (the
"CSFB business unit" or the "Reporting Person"). The CSFB business unit is
engaged in the corporate and investment banking, trading (equity, fixed
income and foreign exchange), private equity investment and derivatives
businesses on a worldwide basis. The Bank and its subsidiaries engage in
other separately managed activities, most of which constitute the
independently operated Credit Suisse Asset Management business unit; the
Credit Suisse Asset Management business unit provides asset management and
investment advisory services to institutional investors worldwide.
Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation, owns
100% of the voting stock of CSFB-USA. The Bank owns a majority of the
voting stock, and all of the non-voting stock, of CSFBI. The ultimate
parent company of the Bank and CSFBI, and the direct owner of the remainder
of the voting stock of CSFBI, is Credit Suisse Group, a corporation formed
under the laws of Switzerland ("CSG").
The principal business of CSG is acting as a holding company for a global
financial services group with five distinct specialized business units that
are independently operated. In addition to the two business units referred
to above, CSG and its consolidated subsidiaries (other than the Bank and
its subsidiaries) are comprised of (a) the Credit Suisse Private Bank
business unit that engages in the global private banking business; (b) the
Credit Suisse business unit that engages in the Swiss domestic banking
business and (c) the Winterthur business unit that engages in the global
insurance business. CSG's business address is Paradeplatz 8, Postfach 1,
CH-8070, Zurich, Switzerland.
CSG, for purposes of federal securities laws, may be deemed ultimately to
control the Bank, and the CSFB business unit. CSG, its executive officers
and directors, and its direct and indirect subsidiaries (including all of
the business units except the CSFB business unit), may beneficially own
securities issued by the Issuer or derivative securities relating thereto,
and any such securities are not reported in this statement. Due to the
separate management and independent operation of its business units, CSG
disclaims beneficial ownership of any such securities beneficially owned by
its direct and indirect subsidiaries, including the Reporting Person. The
Reporting Person disclaims beneficial ownership of any such securities
beneficially owned by CSG and any of CSG's and the Bank's other business
units.
The Reporting Person disclaims beneficial ownership of securities held
directly by any entity described herein except with respect to the
Reporting Person's proportionate interest in or ownership of such entity.
The filing of this statement shall not be construed for purposes of Section
16 of the Securities Exchange Act of 1934, as amended, as an admission of
beneficial ownership of the securities reported on this statement.
(4) These securities are held directly by Sprout Capital VII, L.P. DLJCC is the
Managing General Partner of such partnership.
(5) These securities are held directly by Sprout Capital VI., L.P. DLJCC is the
Managing General Partner of such partnership.
(6) These securities are held directly by Sprout CEO Fund, L.P. DLJCC is the
General Partner of such partnership.
