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Page 1 of 15
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)
RIBOZYME PHARMACEUTICALS, INC.
(Name of Issuer)
COMMON STOCK, $0.01 PAR VALUE PER SHARE
(Title of Class of Securities)
76256710-5
(CUSIP Number of Class of Securities)
Thomas A. Mann
4920 Commerce Parkway
Warrensville Heights, OH 44128
with a copy to:
Warren Goldenberg, Esq.
3300 BP America Bldg.
200 Public Square
Cleveland, Ohio 44114
(216) 621-0150
(Name, address and telephone number of persons
authorized to receive notices and communications
on behalf of person(s) filing statement)
JUNE 25, 1997
(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 which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ].
Note: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copies are to be
sent.
*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 page(s))
Page 1 of 15 Pages
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Page 2 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
THOMAS A. MANN -- SSN####-##-####
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 144,876
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
144,876
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
144,876
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.07%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
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Page 3 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
ROBERT A. MANN -- SSN# ###-##-####
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 68,274
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
68,274
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
68,274
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.98%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
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Page 4 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
A.P. VENTURE I CORP. -- EIN# 25-1540691
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 48,472
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
48,472
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,472
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.69%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
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Page 5 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
AMHERST COLLEGE -- TAX ID# 04-2103542
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
MASSACHUSETTS
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 3,756
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
3,756
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,756
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.05%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
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Page 6 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
SOLWAY INVESTMENTS LIMITED -- TAX ID#: N/A
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
BRITISH VIRGIN ISLANDS
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 3,045
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
3,045
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,045
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.04%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
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Page 7 of 15
CUSIP No. 76256710-5
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF REPORTING PERSON
PINE STREET PARTNERS II -- TAX ID# 22-3085234
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(A) [ X]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
NEW JERSEY
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF SHARES
BENEFICIALLY 3,165
OWNED BY EACH --------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
--------------------------------------------
9. SOLE DISPOSITIVE POWER
3,165
--------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,165
THE GROUP'S OWNERSHIP IS BELOW 5% OF THE SHARES
ISSUED AND OUTSTANDING AND THEREFORE THE 13D FILING
OBLIGATION IS TERMINATED.
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.04%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 8
Page 8 of 15
SCHEDULE 13D
This Amendment No. 1 to Schedule 13D, filed on June 16, 1997, is filed
on behalf of Thomas A. Mann, Robert A. Mann, AP Venture I Corp., a Delaware
corporation ("APVI"), the Trustees of Amherst College, a Massachusetts
non-profit corporation ("Amherst College"), Solway Investments Limited, a
British Virgin Islands corporation ("Solway") and Pine Street Partners II, a New
Jersey general partnership (the "Partnership") (all of the foregoing persons and
entities are hereinafter referred to jointly as the "Reporting Persons"). This
Amendment to Schedule 13D is filed on behalf of the Reporting Persons relative
to transactions, since the statement on Schedule 13D filed on June 16, 1997, in
certain common stock, $0.01 par value per share (the "Common Stock"), issued by
Ribozyme Pharmaceuticals, Inc., a corporation organized under the laws of the
State of Delaware (the "Issuer"). As of June 25, 1997, the share ownership of
the reporting persons fell below five percent (5%) of the Issuer's shares
issued and outstanding and therefore the 13D filing obligation is terminated.
Pursuant to General Instruction C of Schedule 13D, the information
called for by Items 2-6, inclusive, of Schedule 13D has been given with respect
to each partner of the Partnership and each person controlling such partner and
with respect to APVI and Solway, each (i) executive officer and director of such
corporation, (ii) person controlling such corporation, and (iii) each executive
officer and director of any corporation or other person ultimately in control of
such corporation.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(The number of issued and outstanding shares of Common Stock upon which
the various percentages set forth in this amended statement on Schedule 13D are
based does not include any outstanding securities convertible into Common Stock
or any shares of Common Stock subject to any outstanding options.)
(a) (i) Thomas A. Mann is the beneficial owner of 144,876 shares of
Common Stock, which constitute 2.07% of the 6,981,053 shares of Common Stock
issued and outstanding as of July 16, 1997.
(ii) Robert A. Mann is the beneficial owner of 68,274 shares of
Common Stock, which constitute .98% of the 6,981,053 shares of Common Stock
issued and outstanding as of July 16, 1997.
(iii) APVI is the beneficial owner of 48,472 shares of Common
Stock, which constitute .69% of the 6,981,053 shares of Common Stock issued and
outstanding as of July 16, 1997.
(iv) Amherst College is the beneficial owner of 3,756 shares of
Common Stock, which constitute .05% of the 6,981,053 shares of Common Stock
issued and outstanding as of July 16, 1997.
(v) Solway is the beneficial owner of 3,045 shares of Common Stock,
which constitute .04% of the 6,981,053 shares of Common Stock issued and
outstanding as of July 16, 1997.
<PAGE> 9
Page 9 of 15
(vi) The Partnership is the beneficial owner of 3,165 shares of
Common Stock, which constitute .04% of the 6,981,053 shares of Common Stock
issued and outstanding as of July 16, 1997.
<PAGE> 10
Page 10 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 /s/ Thomas A. Mann
-------------------------------------
Thomas A. Mann, individually
<PAGE> 11
Page 11 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 /s/ Robert A. Mann
-------------------------------------
Robert A. Mann, individually
<PAGE> 12
Page 12 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 A.P. VENTURE I CORP.
By: /s/ Robert Paul
-----------------------------
Robert Paul, President
<PAGE> 13
Page 13 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 TRUSTEES OF AMHERST COLLEGE
By: /s/ Sharon G. Siegel
-----------------------------
Sharon G. Siegel, Treasurer
<PAGE> 14
Page 14 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 SOLWAY INVESTMENTS LIMITED
By: /s/ Bob Bernard
-----------------------------
Bob Bernard, Agent
<PAGE> 15
Page 15 of 15
SCHEDULE 13D
SIGNATURE PAGE
After reasonable inquiry and to the best of his knowledge and belief,
the undersigned certifies that the information set forth in this statement is
true, complete and correct.
DATED: July 17, 1997 PINE STREET PARTNERS II
By: WILLIAM D. BERGHOLD, general partner
By: /s/ William D. Berghold
-----------------------------
William D. Berghold, general partner
