<PAGE> 1
Page 1 of 23
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
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 4, 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-l(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 23 Pages
Exhibit Index on Page 20
<PAGE> 2
Page 2 of 23
<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 220,538
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
220,538
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
220,538
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.16%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 3
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<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 75,731
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
75,731
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
75,731
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.08%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 4
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<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 77,997
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
77,997
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
77,997
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.12%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 5
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<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 9,626
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
9,626
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,626
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.14%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 8,638
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
8,638
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,638
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.12%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
CUSIP No. 76256710-5
<S> <C> <C>
- -----------------------------------------------------------------------------------------------------------------------
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 8,158
OWNED BY EACH -----------------------------------------------------------------------------------
REPORTING PERSON 8. SHARED VOTING POWER
WITH
-0-
-----------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
8,158
-----------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
-0-
- -----------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,158
- -----------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
- -----------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.12%
- -----------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
- -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 8
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SCHEDULE 13D
This statement on Schedule 13D 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 statement on Schedule 13D
is filed on behalf of the Reporting Persons relative to transactions 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").
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 1. SECURITY AND ISSUER.
Security: Common Stock, $0.01 par value per share
(CUSIP No. 76256710-5)
Issuer: Ribozyme Pharmaceuticals, Inc.
2950 Wilderness Place
Boulder, Colorado 80301
ITEM 2. IDENTITY AND BACKGROUND.
The identity and background of the Reporting Persons are as follows:
(1) Thomas A. Mann is an individual and a citizen of the United States,
with a principal business address of 4920 Commerce Parkway, Warrensville
Heights, Ohio 44128. Mr. Mann is a consultant for TAM, Inc., with a principal
business address of 4920 Commerce Parkway, Warrensville Heights, Ohio 44128.
(2) Robert A. Mann is an individual and a citizen of the United States,
with a principal business address of 26300 Cedar Road, Beachwood, Ohio 44122.
Mr. Mann is the president of Mann, Inc., which operates a retail jewelry store
with a principal business address of 26300 Cedar Road, Beachwood, Ohio 44122.
(3) A.P. Venture I Corp. is a corporation organized under the laws of
the state of Delaware engaged in the business of making venture capital
investments. Its principal office and place of business is 919 Market Street,
Second Floor, Wilmington, DE 19801.
<PAGE> 9
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(4) Amherst College is a non-profit corporation organized under the
laws of the Commonwealth of Massachusetts which operates Amherst College. Its
principal business address is Amherst College, Treasurer's Office, Box 2203,
P.O. Box 5000, Amherst, Massachusetts, 01002-5000 and its principal office is
located at College Hall, Corner of Route 9 and Route 116, Amherst,
Massachusetts, 01002.
(5) Solway Investments Ltd. is a British Virgin Islands corporation
formed for the purpose of investing in securities. The address of its principal
business and principal office are Tropic Isle Building, P.O. Box 438 Road Town,
British Virgin Islands.
(6) Pine Street Partners II is a New Jersey partnership. The address of
the partnership's principal business and principal office are c/o Vicki S.
Abrams, 34 Devon Road, Essex Falls, NJ 07021.
* * * * *
APVI is a wholly owned subsidiary of Ampco-Pittsburgh Corp., a
Pennsylvania corporation ("AP"). The executive officers of APVI are: Louis
Berkman (Chairman); Robert A. Paul (President and Chief Executive Officer);
Ernest G. Siddons (Executive Vice President and Chief Operating Officer); Robert
J. Reilly (Treasurer and Controller); Robert F. Schultz (Vice
President-Industrial Relations and Senior Counsel); Rose Hoover (Secretary). The
directors of APVI are: Messrs. Berkman, Paul, Siddons and Reilly, Ms. Hoover,
Ingrid H. Schaut and Sandy McKenna. The executive officers of AP are: Louis
Berkman (Chairman); Robert A. Paul (President and Chief Executive Officer);
Ernest G. Siddons (Executive Vice President and Chief Operating Officer); Robert
J. Reilly (Treasurer and Controller); Robert F. Schultz (Vice President
Industrial Relations and Senior Counsel) and Rose Hoover (Secretary). The
directors of AP are: Messrs. Berkman, Paul and Siddons, William D. Eberle, Alvin
G. Keller, Carl H. Pforzheimer, III and Leonard M. Carroll.
The executive officers of Solway are Bob Bernard, Andre Wilwert and
Andre de Pfyffer and its directors are F.M.C. Limited and S.C.S. Limited.
The General Partners of the Partnership are: William D. Berghold,
Joanne M. Berghold, Vicki S. Abrams and Lab Partners, a Connecticut general
partnership whose general partners are Judith Evans, Ralph Evans, Andrew Evans
and Lauren Evans.
The Trustees of Amherst College (the "Trustees") are: Karl F. Austen,
Kenneth H. Bacon, Michele Y. Dietch, Rosanne M. Haggerty, Amos B. Hostetter,
Jr., Thai-Hi T. Lee, Charles A. Lewis, Mary P. McPherson, Peter A. Nadosy, Mark
J. Sandler, H. Axel Schupf, William L. Snyder, III, Richard R. Spies, Louis B.
Thalheimer, John I. Williams, Jr., Philip S. Winterer, David S. Wolff, Kimba M.
Wood and Jide J. Zeitlin. The executive officers of Amherst College are: Charles
R. Longsworth (Chairman), Tom Gerety (President of the College), Susan Pikor
(Secretary) and Sharon G. Siegel (Treasurer).
The executive officers and directors of APVI, AP and Solway, the
General Partners of the Partnership and the Trustees are sometimes collectively
referred to herein as the "Related Parties."
<PAGE> 10
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* * * * *
During the last five years, none of the persons and entities identified
in this Item 2 have been either (i) convicted in a criminal proceeding
(excluding traffic violations or similar misdemeanors) or (ii) a party to a
civil proceeding of a judicial or administrative body of competent jurisdiction
that either resulted in a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, Federal or
State securities laws or finding any violation with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
None of the Reporting Persons has acquired any securities of the Issuer
in connection with this filing. Each of the Reporting Persons (or their
predecessors in interest) was a shareholder in Bio Holdings, Inc., an Ohio
corporation ("BHI") which was formed for the purpose of holding shares in the
Issuer upon its incorporation in 1992. Immediately prior to the closing of the
Issuer's initial public offering of the Common Stock, pursuant to certain rights
granted in the Stockholders' Agreement dated February 7, 1992 between the
Issuer, BHI and certain investors (including each of the Reporting Persons,
except for Solway which acquired shares from Holcan, Ltd. by merger and Amherst
College, which acquired its shares by gift from a former BHI shareholder), the
shareholders of BHI received 778,002 shares in exchange of their shares of BHI
stock. No additional consideration was paid by the BHI shareholders to effect
this exchange.
Except as otherwise indicated in this Schedule 13D, none of the Related
Parties, considered individually, owns beneficially any shares of Common Stock.
However, the Related Parties may, by virtue of their respective positions with
the Reporting Persons, be deemed to own beneficially (as that term is defined
in Rule 13d-3 of the Securities Exchange Act of 1934, as amended) the shares of
Common Stock reported as owned beneficially by the Reporting Person to which
such Related Party is related.
ITEM 4. PURPOSE OF TRANSACTION.
The original purpose of the acquisition of the securities of the Issuer
by the Reporting Persons was for investment. The shares of Common Stock held by
the Reporting Persons were subject to an Agreement Not to Sell Shares dated
April 9, 1996 with Montgomery Securities, Inc., which expired October 9, 1996.
The purpose of this filing is to permit the Reporting Persons to coordinate
possible sales of all or some portion of their shares of the Common Stock.
* * * * *
Except as described in this Item 4, none of the Reporting Persons
presently have any plans or proposals which relate to or would result in either
(a) the acquisition by any person of additional securities of the Issuer or the
disposition of securities of the Issuer; (b) an extraordinary corporate
transaction, (such as a merger, reorganization or liquidation), involving the
Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount
of the assets of the Issuer or any of its subsidiaries; (d) any change in the
present board of directors or management of the Issuer (including any plans or
proposals to change the number or term of directors or to fill any existing
vacancies in the board of the Issuer); (e)
<PAGE> 11
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any material change in the present capitalization or dividend policy of the
Issuer; (f) any material change in the business or corporate structure of the
Issuer; (g) any changes in the charter or bylaws (or instruments corresponding
thereto) of the Issuer or other actions which may impede the acquisition of
control of the Issuer by any person; (h) causing a class of securities of the
Issuer to be delisted from a national securities exchange or to cease to be
authorized to be quoted in an inter-dealer quotation system of a registered
national securities association; (i) a class of equity securities of the Issuer
becoming eligible for termination of registration pursuant to Section 12(g)(4)
of the Act; or (j) any action similar to any of those enumerated in this
paragraph.
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 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 220,538 shares
of Common Stock, which constitute 3.16% of the 6,981,053 shares of Common Stock
issued and outstanding as of June 13, 1997.
(ii) Robert A. Mann is the beneficial owner of 75,731 shares
of Common Stock, which constitute 1.08% of the 6,981,053 shares of Common Stock
issued and outstanding as of June 13, 1997.
(iii) APVI is the beneficial owner of 77,997 shares of Common
Stock, which constitute 1.12% of the 6,981,053 shares of Common Stock issued and
outstanding as of June 13, 1997.
(iv) Amherst College is the beneficial owner of 9,626 shares
of Common Stock, which constitute .14% of the 6,981,053 shares of Common Stock
issued and outstanding as of June 13, 1997.
(v) Solway is the beneficial owner of 8,638 shares of Common
Stock, which constitute .12% of the 6,981,053 shares of Common Stock issued and
outstanding as of June 13, 1997.
(vi) The Partnership is the beneficial owner of 8,158 shares
of Common Stock, which constitute .12% of the 6,981,053 shares of Common Stock
issued and outstanding as of June 13, 1997.
None of the Related Parties, considered individually, owns beneficially
any shares of Common Stock. However, the Related Parties may, by virtue of
their respective positions with the Reporting Persons, be deemed to own
beneficially (as that term is defined in Rule 13d-3 of the Securities Exchange
Act of 1934, as amended) the shares of Common Stock reported as owned
beneficially by the Reporting Person to which such Related Party is related.
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* * * *
(b) Each of the Reporting Persons has the sole power to vote or to
direct the voting of, all of the shares of Common Stock reported as owned
beneficially by them, respectively, in response to subsection (a) of this Item
5. Each of the Reporting Persons has the sole power to dispose of, or to direct
the disposition of, all of the shares of Common Stock reported as owned
beneficially by them, respectively, in response to subsection (a) of this Item
5.
None of the Related Parties, considered individually, has the sole
power to vote or to direct the voting of, or the sole power to dispose of or to
direct the disposition of, any shares of Common Stock. However, such Related
Parties (jointly and severally in the case of the General Partners), by virtue
of their respective positions with the Reporting Persons, have the power to vote
or to direct the voting of, or the power to dispose of or to direct the
disposition of, the shares of Common Stock reported as owned beneficially by the
Reporting Person to which such Related Party is related.
* * * *
(c) On June 2, 1997, Robert A. Mann, in a separate transaction that is
not a part of the joint sales transaction that is the subject of this filing,
personally sold 2,500 shares of Common Stock. Other than this transaction, it is
believed that none of the Reporting Persons, the General Partners or the Trustee
have personally effected any transactions in the Common Stock in the last 60
days.
* * * *
(d) Each of the Reporting Persons has the right to receive or the power
to direct the receipt of dividends from, and the proceeds from the sale of, all
of the shares of Common Stock reported as owned beneficially by it,
respectively, in response to subsection (a) of this Item 5.
None of the Related Parties, considered individually, has the
right to receive or the power to direct the receipt of dividends from, or the
proceeds from the sale of, any shares of Common Stock. However, the Related
Parties (jointly and severally in the case of the General Partners), by virtue
of their respective positions with the Reporting Persons, have the right to
receive or the power to direct the receipt of dividends from, and proceeds from
the sale of, the shares of Common Stock reported as owned beneficially by the
Reporting Person to which such Related Party is related.
* * * *
(e) Not applicable.
<PAGE> 13
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ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Except for the contracts, arrangements, understandings and
relationships described in this Item 6, to the knowledge of the Reporting
Persons, there are no contracts, arrangements, understandings or relationships
(legal or otherwise), either (a) among the persons and entities identified in
Item 2 or (b) between any of the persons and entities identified in Item 2 or
any other persons or entities with respect to any securities of the Issuer
(including but not limited to, transfer or voting of any of the securities,
finders fees, joint ventures, loan or option arrangements, puts or calls,
guarantees of profits, divisions of profit or loss, or the giving or withholding
of proxies).
There is no contract among the Reporting Persons requiring them to sell
shares in the Issuer. The Reporting Persons are bound by the terms of the Master
Shareholder Agreement which provides that none of the Reporting Persons may
transfer more than 25% of their shares without the prior written consent of
Thomas A. Mann. Additionally, pursuant to the terms of that certain Stock
Purchase Agreement dated as of February 7, 1992 among the Issuer, BHI and
certain investors (including each of the Reporting Persons except for Solway and
Amherst College as noted in response to Item 3 of this Schedule 13D) and that
certain Stock Purchase Agreement dated June 28, 1995 among the Issuer and
certain investors (including each of the Reporting Persons except Solway and
Amherst College as noted in response to Item 3 of this Schedule 13D), Issuer has
granted demand and piggyback registration rights to each of the Reporting
Persons.
ITEM 7. MATERIAL FILED AS EXHIBITS.
Exhibit 1. Joint Filing Agreement among the Reporting
Persons, dated as of June 12, 1997.
Exhibit 2. Joint Filing Agreement among the Reporting
Persons, dated as of October 16, 1996 (Exhibit 1 to
Schedule 13D filed 10/17/96, incorporated herein by
reference).
Exhibit 3. Master Shareholder Agreement dated February 7,
1992 among Thomas A. Mann, A.P. Venture I Corp., H.
Axel Schupf, Holcan, Ltd. and Pine Street Partners II
(Exhibit 2 to Schedule 13D filed 10/17/96,
incorporated herein by reference).
Exhibit 4. Stock Purchase Agreement dated as of February 7,
1992 among the Issuer, BHI and certain investors.
(Exhibit 10.9 to Registration Statement on Form SB-2,
File No.333-1908-D (the "Registration Statement"),
incorporated herein by reference).
Exhibit 5. Stock Purchase Agreement dated as of June 28, 1995
among the Issuer and certain investors (Exhibit 10.16
to the Registration Statement, incorporated herein by
reference).
<PAGE> 14
Page 14 of 23
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: June 12, 1997 /s/ Thomas A. Mann
--------------------------------
Thomas A. Mann, individually
<PAGE> 15
Page 15 of 23
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: June 12, 1997 /s/ Robert A. Mann
--------------------------------
Robert A. Mann, individually
<PAGE> 16
Page 16 of 23
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: June 12, 1997 A.P. VENTURE I CORP.
By: /s/ Robert Paul
---------------------------
Robert Paul, President
<PAGE> 17
Page 17 of 23
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: June 12, 1997 TRUSTEES OF AMHERST COLLEGE
By: /s/ Sharon G. Siegel
--------------------------------
Sharon G. Siegel, Treasurer
<PAGE> 18
Page 18 of 23
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: June 12, 1997 SOLWAY INVESTMENTS LIMITED
By: /s/ Bob Bernard
-------------------------------
Bob Bernard, Agent
<PAGE> 19
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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: June 12, 1997 PINE STREET PARTNERS II
By:
By: /s/ William D. Berghold
-------------------------------
William D. Berghold, general
partner
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EXHIBIT INDEX
-------------
<TABLE>
<CAPTION>
Exhibit Description Page
- ------- ----------- ----
<S> <C> <C>
Exhibit 1. Joint Filing Agreement among the Reporting Persons, 21
dated as of June 12, 1997.
Exhibit 2. Joint Filing Agreement among the Reporting Persons, dated *
as of October 16, 1996 (Exhibit 1 to Schedule 13D filed
10/17/96, incorporated herein by reference).
Exhibit 3. Master Shareholder Agreement dated February 7, 1992 among *
Thomas A. Mann, A.P. Venture I Corp., H. Axel Schupf,
Holcan, Ltd. and Pine Street Partners II (Exhibit 2 to
Schedule 13D filed 10/17/96, incorporated herein by reference).
Exhibit 4. Stock Purchase Agreement dated February 7, 1992 among *
the Issuer, BHI and certain investors. (Exhibit 10.9 to
Registration Statement on Form SB-2, File No. 333-1908-D, the
"Registration Statement"), incorporated herein by reference).
Exhibit 5. Stock Purchase Agreement dated as of June 28, 1995 among *
the Issuer and certain investors. (Exhibit 10.16 to the
Registration Statement, incorporated herein by reference).
<FN>
* Incorporated by reference as noted herein
</TABLE>
<PAGE> 1
Page 21 of 23
EXHIBIT 1
<PAGE> 2
Page 22 of 23
CONFORMED COPY
SCHEDULE 13D
JOINT FILING AGREEMENT
THIS JOINT FILING AGREEMENT (the "Agreement") made as of the 12th day
of June, 1997, by and among Thomas A. Mann, Robert A. Mann, AP Venture I Corp.,
Trustees of Amherst College, Solway Investments Limited and Pine Street Partners
II.
W I T N E S S E T H:
For good and valuable consideration, the receipt and sufficiency of
which is hereby acknowledged, the undersigned hereby agree (i) that the
statement on Schedule 13D dated June 12, 1997 (the "Statement"), pertaining to
the common stock, $0.01 par value per share, of Ribozyme Pharmaceuticals, Inc.
(the "Common Stock") was filed on behalf of each and all of the undersigned (ii)
that until further notice, all subsequent amendments to the Statement are filed
on behalf of each and all of the undersigned; (iii) that each of the undersigned
will provide written notice to Thomas A. Mann of any sales of the Common Stock;
(iv) that any party to this Agreement may terminate its participation in the
matters contemplated herein by delivery of written notice to Thomas A. Mann; (v)
that Thomas A. Mann shall be the person authorized to receive any notices and
communications with respect to such Schedule 13D and any amendments thereto;
(vi) that Thomas A. Mann shall have authority on behalf of the undersigned to
execute any amendments to such Schedule 13D; and (vii) that this Agreement may
be executed in any number of counterparts, each of which so executed shall be
deemed to be an original, but all such counterparts shall together constitute
but one and the same instrument.
<PAGE> 3
Page 23 of 23
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed
as of the date first above written.
/s/ Thomas A. Mann
---------------------------------
THOMAS A. MANN
/s/ Robert A. Mann
---------------------------------
ROBERT A. MANN
AP VENTURE I CORP.
By /s/ Robert A. Paul, President
---------------------------------
TRUSTEES OF AMHERST COLLEGE
By /s/ Sharon G. Siegel, Treasurer
----------------------------------
SOLWAY INVESTMENTS LIMITED
By /s/ Bob Bernard, Agent
---------------------------------
PINE STREET PARTNERS II
By /s/ William D. Berghold, general partner
-------------------------------------------
