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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1 )
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GENAISSANCE PHARMACEUTICALS, INC.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
368 67W 105
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(CUSIP Number)
GINETTE DEPELTEAU, SOFINOV SOCIETE FINANCIERE D'INNOVATION INC.
1981 MCGILL COLLEGE AVENUE, MONTREAL (QUEBEC), H3A 3C7 TEL.: (514) 847-5901
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
SEPTEMBER 13, 2000
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(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 / /.
Check the following box if a fee is being paid with the statement / /. (A fee
is not required only if the reporting person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such
class.) (See Rule 13d-7.)
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 filed 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 7 Pages
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CUSIP No. 221 005 101 13D
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
SOFINOV SOCIETE FINANCIERE D'INNOVATION INC.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) / /
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
MONTREAL (QUEBEC) CANADA
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7 SOLE VOTING POWER
NUMBER OF
SHARES 1,204,090 COMMON SHARES
BENEFICIALLY --------------------------------------------------
OWNED BY 8 SHARES VOTING POWER
EACH --------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 1,204,090 COMMON SHARES
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10 SHARES DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,204,090 COMMON SHARES
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5,33%
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14 TYPE OF REPORTING PERSON*
CO
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 7 Pages
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This statement constitutes an initial filing on Schedule 13D by the
SOFINOV Societe financiere d'innovation inc.
ITEM 1 - SECURITY AND ISSUER
This statement is made with respect to the Commons Shares (the "Shares")
of Genaissance Pharmaceuticals, Inc. ("Genaissance"), a Connecticut
corporation, the address of the principal executive offices of which is Five
Science Park, New Haven, Connecticut, 06511.
ITEM 2 - IDENTITY AND BACKGROUND
This statement is being filed by SOFINOV Societe financiere d'innovation
inc. ("Sofinov"), a legal entity duly incorporated under part 1A of the
Companies ACT (Quebec). Sofinov is a parapublic initiative of the Quebec
Government which is acting as a venture capital fund.
The address of Sofinov's principal business and principal office is
1981, avenue McGill College, Suite 1330, Montreal, Quebec, H3A 3C7, Canada.
The names of the directors and executive officers of Sofinov, their business
addresses, their present principal occupation or employment, and the name,
principal business and address of any corporation or other organization in
which such employment is conducted other than Sofinov are set forth in
Exhibit A, attached hereto.
Each of the directors and executive officers named in Exhibit A is a
Canadian citizen.
To the best knowledge of Sofinov, none of the persons listed on Exhibit
A has, during the last five years, (i) been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (ii)
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or is subject
to a judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, United States federal or
state securities laws or finding any violation with respect to such laws.
Page 3 of 7 Pages
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ITEM 3 - SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
The net Can $15,366,525 paid for the 1,204,090 Shares now beneficially
owned by Sofinov were obtain from the funds on deposit at Sofinov.
ITEM 4 - PURPOSE OF TRANSACTION
The Shares reported on herein were acquired for purposes of investment.
Sofinov intends to review its investment in Genaissance periodically, and
may, depending on relevant economic and financial market conditions and
matters relating to Genaissance, either acquire additional Shares or sell
Shares. Any subsequent acquisition of such shares by Sofinov may be made by
way of market purchases, private placements or otherwise.
ITEM 5 - INTEREST IN SECURITIES OF ISSUER
a) With recent transactions Sofinov now beneficially owns 1,204,090
Shares, representing 5,33% of the Shares outstanding pursuant to most
recently available filing with the Commission. The beneficial ownership of
Genaissance by the individuals named in item 2 is set forth to the best of
Sofinov's knowledge in Exhibit C attached, when applicable.
b) Sofinov has the power to vote and to dispose of the Shares it owns.
c) The dates and amounts of all transactions in the Shares that were
effected by the Sofinov during the past sixty days are set forth in Exhibit B
attached hereto.
d) No other person is known to have the right to receive or the power to
direct the receipt of dividends from, or the proceeds from the sale of, the
Shares of Genaissance listed in response to this item.
ITEM 6 - CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Page 4 of 7 Pages
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Sofinov and, to the best of its knowledge, the individuals named in Item
2, have no contracts, arrangements, understanding or relationship with
respect to any securities of Genaissance.
ITEM 7 - MATERIAL TO BE FILED AS EXHIBITS
Exhibit A: List of Executive Officers and Directors of Sofinov
Exhibit B: Table of Dates, Number of Shares purchased and price per
Share of purchases
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.
Date: September 13, 2000
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Signature
Ginette Depelteau
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Corporate Secretary - Director
Name / Title
Page 5 of 7 Pages
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EXHIBIT A
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF SOFINOV
<TABLE>
<CAPTION>
OFFICERS BUSINESS ADDRESS PRINCIPAL OCCUPATION
<S> <C> <C>
Jean-Claude Scraire Caisse de depot et placement du Quebec Chairman
1981, Avenue McGill College
Montreal (Quebec) H3A 3C7
Denis Dionne SOFINOV, Societe financiere d'innovation, inc. President
1981, Avenue McGill College
Montreal (Quebec) H3A 3C7
Pierre Pharand SOFINOV, Societe financiere d'innovation, inc. Vice-President
1981, Avenue McGill College
Montreal (Quebec) H3A 3C7
Bertrand Lauzon Caisse de depot et placement du Quebec Vice-President,
1981, Avenue McGill College Finance and Control
Montreal (Quebec) H3A 3C7
Ginette Depelteau Caisse de depot et placement du Quebec Secretary
1981, Avenue McGill College
Montreal (Quebec) H3A 3C7
</TABLE>
Page 6 of 7 Pages
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EXHIBIT B
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TABLE OF SALES AND PURCHASES OF
CUBIST PHARMACEUTICALS, INC.
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<TABLE>
<CAPTION>
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PURCHASES SALES PRICE PER SHARE
DATE NUMBER OF SHARES NUMBER OF SHARES IN CANADIAN DOLLARS
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<S> <C> <C> <C>
August 2000
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1 909,090 8.18
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24 85,000 20.18
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25 120,000 25.57
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29 90,000 28.35
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29 25,000 28.35
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29 25,000 28.35
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</TABLE>
Page 7 of 7 Pages
