<PAGE>
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
GENAISSANCE PHARMACEUTICALS, INC.
(Name of Issuer)
368 67W 105
(CUSIP Number)
GINETTE DEPELTEAU
SOFINOV,
SOCIETE FINANCIERE D'INNOVATION, INC.
1981 MCGILL COLLEGE AVENUE
MONTREAL, QUEBEC HCA 3C7
(514) 847-5901
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
[OCTOBER 12, 2000]
(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 Rules 13d-1 (e), 13d-1(f) or 13d-1(g), check the following
box / /.
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties
to whom copies are to be sent.
(Continued on following pages)
-----------------
*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 disclosure
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).
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<TABLE>
<S> <C> <C>
CUSIP No. 368 67W 105
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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) / / 1
(b) / / 2
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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) / / 3
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6. CITIZENSHIP OR PLACE OF ORGANIZATION
MONTREAL, QUEBEC, CANADA
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NUMBER OF SHARES BENEFICIALLY 7. SOLE VOTING POWER:
OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES
WITH
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8. SHARED VOTING POWER:
-
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9. SOLE DISPOSITIVE POWER:
1,204,090 COMMON SHARES
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10. SHARED 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 / / 4
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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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</TABLE>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
2
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<TABLE>
<S> <C> <C>
CUSIP No. 368 67W 105
----------------------------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC.
----------------------------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) / / 5
(b) / / 6
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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) / / 7
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6. CITIZENSHIP OR PLACE OF ORGANIZATION
MONTREAL, QUEBEC, CANADA
----------------------------------------------------------------------------------------------------
NUMBER OF SHARES BENEFICIALLY 7. SOLE VOTING POWER:
OWNED BY EACH REPORTING PERSON 1,204,090 COMMON SHARES
WITH
------------------------------------------------------------------
8. SHARED VOTING POWER:
-
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER:
1,204,090 COMMON SHARES
------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
-
----------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,204,090 COMMON SHARES
----------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / / 8
----------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
5,33%
----------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: CO
----------------------------------------------------------------------------------------------------
</TABLE>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
3
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This Amendment No. 2, dated October 12, 2000 is being filed jointly on
behalf of Caisse de depot et placement du Quebec ("CDPQ") and by its
wholly-owned subsidiary, SOFINOV, Societe financiere d'innovation, inc.
("Sofinov") pursuant to Rule 13d-2(a) under the Securities Exchange Act of 1934,
as amended (the "Exchange Act") pursuant to a Joint Filing Agreement dated
October 12, 2000, between CDPQ and Sofinov, a copy of which is attached hereto
as Exhibit 1.
ITEM 1. SECURITY AND ISSUER.
This Schedule 13D relates to the Common Stock of Genaissance
Pharmaceuticals, Inc., a Connecticut corporation (the "Company").
The address of the principal executive offices of the Company is
5 Science Park, New Haven, Connecticut 06511.
ITEM 2. IDENTITY AND BACKGROUND
This Schedule 13D is filed jointly on behalf of CDPQ, a
corporation without share capital and an agent of the Crown in
right of the Province de Quebec, created by a special act of the
Legislature of the Province de Quebec, and Sofinov, a legal entity
duly incorporated under part 1A of the Companies ACT (Quebec) and
a wholly-owned subsidiary of CDPQ, pursuant to Rule 13d-1(f)(1)
under the Exchange Act.
The principal business address and the principal office address of
each of CDPQ and Sofinov is 1981, Avenue McGill College, Suite
1330, Montreal, Quebec, H3A 3C7, Canada. The name, business
address, citizenship and present principal occupation of each
director and executive officer of CDPQ and Sofinov are set forth
on Schedule I.
To the best knowledge of CDPQ and Sofinov, none of the persons
listed on Schedule I 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.
4
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ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
All the funds required to purchase the Initial Shares (as defined
below) were obtained from the working capital of Sofinov.
ITEM 4. PURPOSE OF TRANSACTION
Pursuant to a recent transaction, dated September 13, 2000,
Sofinov acquired beneficial ownership of 1,204,090 shares of
Common Stock of Genaissance.
Except as specifically set forth in this Item 4, neither CDPQ nor
Sofinov has any plans or proposals which relate to or would result
in any of the actions or effects set forth in items (a) through
(e) of Item 5 of Schedule 13D, although either of them may develop
such plans or proposals.
CDPQ and Sofinov intend to review on a continuing basis their
investment in the Company. As of the date of this Schedule 13D, no
determination has been made by CDPQ or Sofinov to acquire
additional shares of Common Stock or dispose of any shares of
Common Stock now held by them, although either of them may decide
to so acquire or dispose of shares of Common Stock. Any such
determination will depend on market conditions prevailing from
time to time and on other conditions which may be applicable
depending on the nature of the transaction or transactions
involved.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) With recent transactions, Sofinov is the direct beneficial owner
of 1,204,090 shares of Common Stock (the "Sofinov Shares"). CDPQ
may be deemed to be the indirect, beneficial owner of the Sofinov
Shares. The Sofinov Shares represent approximately 5,33% of the
22,608,476 shares of Common Stock of the Company outstanding on
the date hereof, based upon information provided by the company.
(b) CDPQ has the power to vote and dispose of the Sofinov Shares.
(c) Except as set forth in this Schedule 13D, none of CDPQ, Sofinov
or, to the best knowledge of CDPQ or Sofinov, any person named on
Schedule I hereto, owns any shares of the Company's Common Stock,
and none has purchased or sold any shares of the Company's Common
Stock during the past 60 days.
5
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(d) Except as set forth in this Schedule 13D, no person is known by
CDPQ or Sofinov 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 Common Stock of the Company beneficially
owned by CDPQ and Sofinov.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
Except as set forth in this Schedule 13D, there are no contracts,
arrangements, understandings or relationships (legal or otherwise)
among the persons referred to in Item 2 of this Schedule 13D or
between such persons and any other person with respect to any of
the securities of the Company, including, but not limited to, any
relating to the transfer or voting of any of such securities,
finder's fees, joint ventures, loan or option arrangements, puts
or calls, guarantees of profits, division of profits or loss or
the giving or withholding of proxies.
ITEM 7. MATERIALS TO BE FILED AS EXHIBITS
1. Joint Filing Agreement dated October 12, 2000 by and between
Sofinov and CDPQ.
2. Joint Filing Table of Dates, Number of Shares sold and price
per Share of Sales.
6
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SIGNATURES
After reasonable inquiry and to the best knowledge and belief of the
undersigned, the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Date: October 12, 2000
SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC.
By:
--------------------------------------------
Name: Ginette Depelteau
Title: Corporate Secretary
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC.
By:
--------------------------------------------
Name: Ginette Depelteau
Title: General Secretary - Director
7
<PAGE>
SCHEDULE I
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF SOFINOV
<TABLE>
<CAPTION>
DIRECTORS 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
Line Boisvert Caisse de depot et placement du Quebec Director and
1981, Avenue McGill College Portfolio Manager
Montreal (Quebec) H3A 3C7
Jacques M. Brault Levesque Beaubien Geoffrion Inc. Senior
1155, Metcalfe, 5e etage Vice-President
Montreal (Quebec) H3B 4S9
Denis Dionne SOFINOV, Societe financiere d'innovation, inc. President
1981, Avenue McGill College
Montreal (Quebec) H3A 3C7
Claude Lajeunesse Ryerson Polytechnic University President and Vice
350, Victoria Street Chancellor
Toronto (Ontario) H2M 2V1
Serge Martin Martin International President
500, Place d'Armes, Suite 2910
Montreal (Quebec) H2Y 2W2
Guy Morneau Regie des rentes du Quebec Chairman of the
2600 boul. Laurier, bureau 546 Board and President
Quebec (Quebec) G1V 4T3
Normand Provost Caisse de depot et placement du Quebec Vice-President
1981, Avenue McGill College Coordinator
Montreal (Quebec) H3A 3C7
</TABLE>
8
<PAGE>
SCHEDULE I
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF SOFINOV
<TABLE>
<CAPTION>
DIRECTORS 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>
9
<PAGE>
SCHEDULE 1
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
<TABLE>
<CAPTION>
DIRECTORS 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
Guy Morneau Regie des rentes du Quebec Chairman of the Board
2600, boul. Laurier, bureau 546 and President
Quebec (Quebec) G1V 4T3
Jean-Claude Bachand Fraser Milner Casgrain Lawyer
1, Place Ville-Marie
Bureau 3900
Montreal (Quebec) H3B 4M7
Alban D'Amours La Confederation des Caisses populaires et President
d'economie Desjardins du Quebec
100, avenue des Commandeurs
Levis (Quebec) G6V 7N5
Luc Bessette Commission administrative des regimes President
de retraite et d'assurances
475, rue Saint-Amable
Quebec (Quebec) G1R 5X3
Rodrigue Biron Rodrigue Biron & Associes
305, chemin de la Place St-Laurent
St-Augustin-de-Desmaures
Cap-Rouge (Quebec) G1Y 3G9
Yves Filion Hydro-Quebec Deputy Chief
75, boul. Rene-Levesque Ouest Executive Officer
Montreal (Quebec) H2Z 1A4 and Chief Financial
Officer
Jean-Yves Gagnon Societe de l'assurance automobile du Quebec General Manager
333, boul. Jean-Lesage
Quebec (Quebec) G1K 8J6
Henri Masse Federation des travailleurs et travailleuses President
du Quebec
545, boul. Cremazie Est, 17e etage
Montreal (Quebec) H2M 2V1
</TABLE>
10
<PAGE>
SCHEDULE 1
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
<TABLE>
<CAPTION>
DIRECTORS BUSINESS ADDRESS PRINCIPAL OCCUPATION
<S> <C> <C>
Gilles Godbout Ministere des Finances Deputy Minister
12, rue St-Louis
Quebec (Quebec) G1R 5L3
Thomas O. Hecht Technologies IBEX Inc. Chairman Emeritus
5485, rue Pare
Montreal (Quebec) H4P 1P7
Marc Laviolette Confederation des syndicats nationaux President
1601, rue Delorimier
Montreal (Quebec) H2K 4M5
Nicole Trudeau Commission municipale du Quebec Vice-President
3, Complexe Desjardins
Suite 2603, North Tower
Montreal (Quebec) H5B 1B2
</TABLE>
11
<PAGE>
SCHEDULE 1
LIST OF EXECUTIVE OFFICERS AND DIRECTORS OF CDPQ
<TABLE>
<CAPTION>
DIRECTORS 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
Fernand Perreault Same Senior Vice-president
Caisse Real Estate Group
and Mortgage Investments
Michel Nadeau Same Senior Vice-president
Investment Planning and
Strategic Affairs
Ginette Depelteau Same General Secretary -
Director
</TABLE>
12
<PAGE>
EXHIBIT INDEX
EXHIBIT
1. Joint Filing Agreement dated October 12, 2000 by and between Sofinov and
CDPQ.
2. Joint Filing Table of Dates, Number of Shares sold and price per Share of
Sales.
13
<PAGE>
EXHIBIT 1
AGREEMENT
The undersigned hereby agree that this statement on Schedule 13D with
respect to beneficial ownership of shares of common stock of Genaissance
Pharmaceuticals, Inc. is filed jointly, on behalf of each of them.
Dated: October 12, 2000
SOFINOV, SOCIETE FINANCIERE D'INNOVATION, INC.
By:
--------------------------------------------
Name: Denis Dionne
Title: President
By:
--------------------------------------------
Name: Ginette Depelteau
Title: Corporate Secretary
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC.
By:
--------------------------------------------
Name: Michel Nadeau
Title: Senior Vice-president
Investment Planning and
Strategic Affairs
By:
--------------------------------------------
Name: Ginette Depelteau
Title: General Secretary - Director
14
<PAGE>
EXHIBIT 2
TABLE OF SALES AND PURCHASES OF
GENAISSANCE PHARMACEUTICALS, INC.
<TABLE>
<CAPTION>
------------------------------------------------------------------------------------
PURCHASES SALES PRICE PER SHARE
DATE NUMBER OF SHARES NUMBER OF SHARES IN CANADIAN DOLLARS
------------------------------------------------------------------------------------
<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>
15
