SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
------------
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Alexion Pharmaceuticals, Inc.
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(Name of Issuer)
Common Stock Par Vaue $.0001
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(Title of Class of Securities)
015351109
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(CUSIP Number)
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
|_| Rule 13d-1 (b)
|_| Rule 13d-1 (c)
|X| Rule 13d-1 (d)
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* 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).
<PAGE>
CUSIP No. 015351109 13G Page 2 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Oak Management Corporation
06-0990851
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
Delaware
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
CO
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<PAGE>
CUSIP No. 015351109 13G Page 3 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Oak Investment Partners V, Limited Partnership
06-1332464
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
Delaware
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
515,099 shares of commom stock
(6) Shared voting power:
Not Applicable
(7) Sole dispositive power:
515,099 shares of commom stock
(8) Shared dispositive power:
Not Applicable
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(9) Aggregate amount beneficially owned by each reporting person.
515,099 shares of commom stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.6%
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(12) Type of reporting person (see instructions).
PN
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<PAGE>
CUSIP No. 015351109 13G Page 4 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Oak Associates V, LLC
06-1332465
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
Delaware
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
515,099 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
515,099 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
515,099 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.6%
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(12) Type of reporting person (see instructions).
OO-LLC
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<PAGE>
CUSIP No. 015351109 13G Page 5 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Oak V Affiliates Fund, Limited Partnership
06-1334685
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
Delaware
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
11,585 shares of common stock
(6) Shared voting power:
Not applicable
(7) Sole dispositive power:
11,585 shares of common stock
(8) Shared dispositive power:
Not applicable
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(9) Aggregate amount beneficially owned by each reporting person.
11,585 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
.10%
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(12) Type of reporting person (see instructions).
PN
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<PAGE>
CUSIP No. 015351109 13G Page 6 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Oak V Affiliates
06-1334686
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
Connecticut
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
11,585 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
11,585 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
11,585 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
.10%
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(12) Type of reporting person (see instructions).
PN
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<PAGE>
CUSIP No. 015351109 13G Page 7 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Bandel L. Carano
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
CUSIP No. 015351109 13G Page 8 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Gerald R. Gallagher
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
CUSIP No. 015351109 13G Page 9 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Edward F. Glassmeyer
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
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(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
CUSIP No. 015351109 13G Page 10 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Fredric W. Harman
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
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(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
- --------------------------------------------------------------------------------
(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
CUSIP No. 015351109 13G Page 11 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Ann H. Lamont
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
- --------------------------------------------------------------------------------
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
- --------------------------------------------------------------------------------
(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
CUSIP No. 015351109 13G Page 12 of 19 Pages
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(1) Name of Reporting Persons
I.R.S. Identification Nos. of above persons. (entities only)
Eileen M. More
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Citizenship or place of organization.
United States
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Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
Not applicable
(6) Shared voting power:
526,684 shares of common stock
(7) Sole dispositive power:
Not applicable
(8) Shared dispositive power:
526,684 shares of common stock
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(9) Aggregate amount beneficially owned by each reporting person.
526,684 shares of common stock
- --------------------------------------------------------------------------------
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
- --------------------------------------------------------------------------------
(11) Percent of class represented by amount in Row 9.
4.7%
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(12) Type of reporting person (see instructions).
IN
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<PAGE>
Page 13 of 19 Pages
Schedule 13G
Amendment No. 2
Common Stock, Par Value $.0001
CUSIP No. 015351109
Item 1(a) Name of Issuer:
Alexion Pharmaceuticals, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
25 Science Park, Suite 360
New Haven, CT 06511
Item 2(a) Name of Person filing:
Oak Investment Partners V, Limited Partnership
Oak Associates V, LLC
Oak V Affiliates Fund, Limited Partnership
Oak V Affiliates
Oak Management Corporation
Bandel L. Carano
Gerald R. Gallagher
Edward F. Glassmeyer
Fredric W. Harman
Ann H. Lamont
Eileen M. More
Item 2(b) Address of Principal Business Office or, if none, Residence:
c/o Oak Management Corporation
One Gorham Island
Westport, CT 06880
Item 2(c) Citizenship:
Please refer to Item 4 on each cover sheet for each filing person
Item 2(d) Title of Class of Securities:
Common stock, $.0001 par value
Item 2(e) CUSIP Number: 015351109
Item 3 Not Applicable.
Item 4 Ownership.
<PAGE>
The approximate percentages of shares of Common Stock reported as
beneficially owned by the Reporting Entities is based upon 11,281,324 shares
outstanding as of December 12, 1998, as reported in the Issuer's Quarterly
Report on Form 10-Q for the fiscal quarter ended October 31, 1998, plus the
shares issuable upon exercise of the options described in the following
sentence. Amounts shown as beneficially owned include currently exercisable
options to purchase 30,122 shares of Common Stock and 678 shares of Common Stock
which may be deemed to be held by Eileen M. More on behalf of Oak Investment
Partners V, Limited Partnership, and Oak V Affiliates Fund, Limited Partnership,
respectively.
Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing
entity.
Item 5 Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following: |X|
Item 6 Ownership of More than Five Percent on Behalf of Another
Person.
Not applicable
Item 7 Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding
Company.
Not applicable
Item 8 Identification and Classification of Members of the Group.
Not applicable
Item 9 Notice of Dissolution of Group.
Not applicable
Item 10 Certification.
Not applicable
<PAGE>
Signature
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.
Dated February 16, 1999
Oak Investment Partners V,
Limited Partnership
By: Oak Associates V, LLC,
As General Partner
By: /s/ Eileen M. More
----------------------------------------
Managing Member
Oak Associates V, LLC
By: /s/ Eileen M. More
----------------------------------------
Managing Member
Oak V Affiliates Fund, Limited Partnership
By: Oak V Affiliates,
As General Partner
By: /s/ Eileen M. More
----------------------------------------
General Partner
Oak V Affiliates
By: /s/ Eileen M. More
----------------------------------------
General Partner
<PAGE>
OAK MANAGEMENT CORPORATION
By: /s/ Edward F. Glassmeyer
----------------------------------------
Name: Edward F. Glassmeyer
Title: President
/s/ Bandel L. Carano
----------------------------------------
Bandel L. Carano
/s/ Fredric W. Harman
----------------------------------------
Fredric W. Harman
/s/ Gerald R. Gallagher
----------------------------------------
Gerald R. Gallagher
/s/ Edward F. Glassmeyer
----------------------------------------
Edward F. Glassmeyer
/s/ Ann H. Lamont
----------------------------------------
Ann H. Lamont
/s/ Eileen M. More
----------------------------------------
Eileen M. More
<PAGE>
INDEX TO EXHIBITS
Page
----
EXHIBIT A Agreement of Reporting Persons 18
<PAGE>
Exhibit A
Each of the undersigned hereby agrees that Amendment No. 2 to the Schedule
13G filed on the date hereof with respect to the shares of Common Stock of
Alexion Pharmaceuticals, Inc. has been filed on behalf of the undersigned.
Signature:
Dated February 16, 1999
Oak Investment Partners V,
Limited Partnership
By: Oak Associates V, LLC,
As General Partner
By: /s/ Eileen M. More
----------------------------------------
Managing Member
Oak Associates V, LLC
By: /s/ Eileen M. More
----------------------------------------
Managing Member
Oak V Affiliates Fund, Limited Partnership
By: Oak V Affiliates,
As General Partner
By: /s/ Eileen M. More
----------------------------------------
General Partner
<PAGE>
Oak V Affiliates
By: /s/ Eileen M. More
----------------------------------------
General Partner
OAK MANAGEMENT CORPORATION
By: /s/ Edward F. Glassmeyer
----------------------------------------
Name: Edward F. Glassmeyer
Title: President
/s/ Bandel L. Carano
----------------------------------------
Bandel L. Carano
/s/ Fredric W. Harman
----------------------------------------
Fredric W. Harman
/s/ Gerald R. Gallagher
----------------------------------------
Gerald R. Gallagher
/s/ Edward F. Glassmeyer
----------------------------------------
Edward F. Glassmeyer
/s/ Ann H, Lamont
----------------------------------------
Ann H. Lamont
/s/ Eileen M. More
----------------------------------------
Eileen M. More
