OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2001
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
/ / Check box if no longer
subject to Section 16. Form 4
or Form 5 obligations may
continue. See Instruction 1(b)
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
1. Name and Address of Reporting Person*
AFFYMAX N.V.
(Last) (First) (Middle)
Glaxo Wellcome House, Berkeley Avenue
(Street)
Greenford, Middlesex, UB6 ONN, England
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Affymetrix, Inc. (AFFX)
3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
October 2000
5. If Amendment, Date of Original (Month/Year)
N/A
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
----- -----
Officer (give title below) Other (specify below)
----- -----
*If the Form is filled by more than one Reporting Person, see
Instruction 4(b)(v).
<PAGE>
FORM 4 (continued)
7. Individual or Joint/Group Filing (Check applicable line)
X
-------- Form filed by One Reporting Person
-------- Form filed by more than one Reporting Person
Table I Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6,692,214
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
269,920
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (1)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
<PAGE>
<PAGE>
Form 4 (Continued)
4. Transaction Code (Instr. 8)
Code V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
Date Exercisable
Expiration Date
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
Title
Amount or Number of Shares
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
10. Ownership Form of Derivative Security:
Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Explanation of Responses:
(1) These securities are owned of record by Affymax Technologies N.V., which
is a wholly-owned subsidiary of the Reporting Person.
<PAGE>
Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of
1934, as amended, the Reporting Persons herein states that this filing shall
not be deemed an admission that he or it is the beneficial owner of any of
the securities covered by this Statement.
AFFYMAX N.V November 9, 2000
--------------------
Date
By: /s/ V.A. Llewellyn
-------------------------
Name: V.A.Llewellyn
Title: Company Secretary
**Signature of Reporting Person
*** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB Number.
<PAGE>
<PAGE>
<PAGE>
ANNEX I
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
35000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
125000 D 62.6250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
150000 D 62.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
115000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 63.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 64.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 64.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
60000 D 65.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 66.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 66.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 67.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
75000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
30000 D 60.93750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
20000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 60.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.31250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
D
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2001
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
/ / Check box if no longer
subject to Section 16. Form 4
or Form 5 obligations may
continue. See Instruction 1(b)
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
1. Name and Address of Reporting Person*
GLAXO VENTURE LIMITED
(Last) (First) (Middle)
Glaxo Wellcome House, Berkeley Avenue
(Street)
Greenford, Middlesex, UB6 ONN, England
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AFFYMETRIX, INC. (AFFX)
3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
October 2000
5. If Amendment, Date of Original (Month/Year)
N/A
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
----- -----
Officer (give title below) Other (specify below)
----- -----
*If the Form is filled by more than one Reporting Person, see Instruction
4(b)(v).
<PAGE>
FORM 4 (continued)
7. Individual or Joint/Group Filing (Check applicable line)
X
-------- Form filed by One Reporting Person
-------- Form filed by more than one Reporting Person
Table I Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6,962,134
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (2)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
<PAGE>
<PAGE>
Form 4 (Continued)
4. Transaction Code (Instr. 8)
Code V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
Date Exercisable
Expiration Date
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
Title
Amount or Number of Shares
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
10. Ownership Form of Derivative Security:
Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Explanation of Responses:
(1) As the parent company of Affymax N.V., which is the parent company
of Affymax Technologies N.V., the Reporting Person may be deemed, for
purposes of Section 16 of the Securities Exchange Act of 1934, as amended
(the "Act"), to be the beneficial owner of Common Stock held of record
by Affymax N.V. and Affymax Technologies N.V. Accordingly, the
Reporting Person may be deemed to be a "10 percent beneficial owner"
for purposes of Section 16 of the Act.
<PAGE>
(2) 6,692,214 shares are owned of record by Affymax N.V., which is a
wholly-owend subsidiary of the Reporting Person. 269,920 shares are
owned of record by Affymax Technologies N.V., which is a wholly-owned
subsidiary of Affymax N.V.
(3) At the time of disposition, these shares were held of record by Affymax
N.V., which is a wholly-owned subsidiary of the Reporting Person.
Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of
1934, as amended, the Reporting Persons herein states that this filing shall
not be deemed an admission that he or it is the beneficial owner of any of
the securities covered by this Statement.
GLAXO VENTURE LIMITED November 9, 2000
--------------------
Date
By: /s/ S.J. Cowden
-------------------------
Name: S.J. Cowden
Title: Secretary
**Signature of Reporting Person
*** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB Number.
<PAGE>
<PAGE>
Annex I
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
35000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
125000 D 62.6250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
150000 D 62.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
115000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 63.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 64.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 64.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
60000 D 65.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 66.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 66.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 67.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
75000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
30000 D 60.93750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
20000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 60.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.31250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2001
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
/ / Check box if no longer
subject to Section 16. Form 4
or Form 5 obligations may
continue. See Instruction 1(b)
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
1. Name and Address of Reporting Person*
GLAXO GROUP LIMITED
(Last) (First) (Middle)
Glaxo Wellcome House, Berkeley Avenue
(Street)
Greenford, Middlesex, UB6 ONN, England
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AFFYMETRIX, INC. (AFFX)
3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
October 2000
5. If Amendment, Date of Original (Month/Year)
N/A
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
----- -----
Officer (give title below) Other (specify below)
----- -----
*If the Form is filled by more than one Reporting Person, see Instruction
4(b)(v).
<PAGE>
FORM 4 (continued)
7. Individual or Joint/Group Filing (Check applicable line)
X
-------- Form filed by One Reporting Person
-------- Form filed by more than one Reporting Person
Table I Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6,962,134
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (2)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
2,514,458
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
<PAGE>
<PAGE>
Form 4 (Continued)
4. Transaction Code (Instr. 8)
Code V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
Date Exercisable
Expiration Date
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
Title
Amount or Number of Shares
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
10. Ownership Form of Derivative Security:
Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Explanation of Responses:
(1) As the parent company of Glaxo Venture Limited, which is an indirect
16.66% owner of Glaxo Wellcome Americas Inc. and as the parent company of
Affymax N.V., which is the parent of Affymax Technologies N.V., the
Reporting Person may be deemed, for purposes of Section 16 of the
Securities Exchange Act of 1934, as amended (the "Act"), to be the
beneficial owner of Common Stock held of record by each of Affymax N.V.,
Affymax Technologies N.V. and Glaxo Wellcome Americas Inc. and, therefore,
may be deemed to be a "10 percent beneficial owner" for purposes of
Section 16 of the Act.
<PAGE>
(2) 6,692,214 shares are owned of record by Affimax N.V., which is a
wholly-owned subsidiary of Glaxo Venture Limited, which is a wholly-owned
subsidiary of the Reporting Person; 269,920 shares are owned of record
by Affymax Technologies N.V., which is a wholly-owned subsidiary of
Affymax N.V.
(3) These securities are owned of record by Glaxo Wellcome Americas, Inc.,
which is a wholly-owned subsidiary of Glaxo Wellcome International, which
is a wholly-owned subsidiary of Glaxo Wellcome Investments B.V., which
is a wholly-owned subsidiary of Glaxo Wellcome International B.V., which
is a wholly-owned subsidiary of Glaxo Wellcome Holdings Limited, of which
the Reporting Person is a 16.66% owner. The Reporting Person disclaims
beneficial ownership of the reported securities except to the extent of
such Reporting Person's pecuniary interest.
(4) At the time of disposition, these shares were held of record by
Affymax N.V. which is a wholly-owned subsidiary of Glaxo Venture Limited,
which is a wholly-owned subsidiary of the Reporting Person.
Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of
1934, as amended, the Reporting Persons herein states that this filing shall
not be deemed an admission that he or it is the beneficial owner of any of
the securities covered by this Statement.
GLAXO GROUP LIMITED November 9, 2000
--------------------
Date
By: /s/ S.J. Cowden
-------------------------
Name: S.J. Cowden
Title: Secretary
**Signature of Reporting Person
*** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB Number.
<PAGE>
<PAGE>
Annex I
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
35000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
I
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
125000 D 62.6250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
150000 D 62.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
115000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 63.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 64.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 64.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
60000 D 65.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 66.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 66.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 67.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
75000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
1. Title of Security (Instr. 3)
10/30
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
30000 D 60.93750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
20000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 60.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.31250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
<PAGE>
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2001
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
/ / Check box if no longer
subject to Section 16. Form 4
or Form 5 obligations may
continue. See Instruction 1(b)
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
1. Name and Address of Reporting Person*
GLAXO WELLCOME PLC
(Last) (First) (Middle)
Glaxo Wellcome House, Berkeley Avenue
(Street)
Greenford, Middlesex, UB6 ONN, England
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Affymetrix, Inc. (AFFX)
3. I.R.S. Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
October 2000
5. If Amendment, Date of Original (Month/Year)
N/A
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
----- -----
Officer (give title below) Other (specify below)
----- -----
*If the Form is filled by more than one Reporting Person, see
Instruction 4(b)(v).
<PAGE>
FORM 4 (continued)
7. Individual or Joint/Group Filing (Check applicable line)
X
-------- Form filed by One Reporting Person
-------- Form filed by more than one Reporting Person
Table I Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6,962,134
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (2)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
2,514,458
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (3)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
79,966
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30/00
3. Transaction Code (Instr. 8)
Code V
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31/00
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
See Annex I
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
7. Nature of Indirect Beneficial Ownership (Instr. 4)
<PAGE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security (Instr. 3)
Option (right to buy)
2. Conversion of Exercise Price of Derivative Securityr
$.3375
3. Transaction Date (Month/Day/Year)
<PAGE>
<PAGE>
Form 4 (Continued)
4. Transaction Code (Instr. 8)
Code V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
Date Exercisable
See (7)
Expiration Date
1/16/01
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
Title
Common Stock
Amount or Number of Shares
53,333
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
1
10. Ownership Form of Derivative Security:
Direct (D) or Indirect (I) (Instr. 4)
I
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
See (6)
<PAGE>
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security (Instr. 3)
Option (right to buy)
2. Conversion or Exercise Price of Derivative Security
$.3375
3. Transaction Date (Month/Day/Year)
<PAGE>
<PAGE>
Form 4 (Continued)
4. Transaction Code (Instr. 8)
Code V
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
Date Exercisable
See (8)
Expiration Date
1/16/01
7. Title Amount of Underlying Securities
(Instr. 3 and 4)
Title
Common Stock
Amount or Number of Shares
53,333
8. Price of Derivative Security (Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month
(Instr. 4)
1
10. Ownership Form of Derivative Security:
Direct (D) or Indirect (I) (Instr. 4)
I
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
See (6)
<PAGE>
<PAGE>
Explanation of Responses:
(1) As the ultimate parent company of Glaxo Wellcome Americas Inc. and as the
parent company of Glaxo Group Limited, which is the parent company of Glaxo
Venture Limited, which is the parent company of Affymax N.V., which is the
parent company of Affymax Technologies N.V., the Reporting Person may be
deemed, for purposes of Section 16 of the Securities Exchange Act of 1934,
as amended (the "Act"), to be the beneficial owner of Common Stock held of
record by Affymax N.V., Affymax Technologies N.V. and Glaxo Wellcome
Americas Inc. and, therefore, may be deemed to be a "10 percent beneficial
owner" for purposes of Section 16 of the Act.
(2) 6,692,214 shares are owned of record by Affymax N.V., which is a wholly-
owned subsidiary of Glaxo Venture Limited, which is a wholly-owned
subsidiary of Glaxo Group Limited, which is a wholly-owned subsidiary of
the Reporting Person. 269,920 shares are owned of record by Affymax
Technologies N.V., which is a wholly-owned subsidiary of Affymax N.V.
(3) These securities are owned of record by Glaxo Wellcome Americas, Inc.,
which is a wholly-owned subsidiary of Glaxo Wellcome Investments B.V.,
which is a wholly-owned subsidiary of Glaxo Wellcome International B.V.,
which is a wholly-owned subsidiary of Glaxo Wellcome Holdings Limited, of
which Glaxo Group Limited owns 16.67% and Wellcome Limited Incorporated
owns 83.33%. The Reporting Person is the direct parent company of both
Glaxo Group Limited and Wellcome Limited Incorporated.
(4) These securities are held by Mr. Douglas M. Hurt, formerly a director of
Affymetrix, Inc. designated by the Reporting Person, for the benefit of the
Reporting Person.
(5) At the time of disposition, these shares were held of record by Affymax
N.V., which is a wholly-owned subsidiary of Glaxo Venture Limited, which
is a wholly-owned subsidiary of Glaxo Group Limited, which is a wholly-
owned subsidiary of the Reporting Person.
(6) These securities are held by Dr. Barry C. Ross, formerly a director of
Affymetrix, Inc. designated by the Reporting Person, for the benefit of the
Reporting Person.
(7) One-quarter of these securities are exercisable on 11/30/96, 11/30/97,
11/30/98 and 11/30/99. Pursuant to the resignation of Dr. Barry C. Ross as
a director of Affymetrix, Inc. effective as of 10/18/00, the option lapsed
with respect to an additional 13,333 shares of Affymetrix Common Stock, in
respect of which the option had not vested.
(8) One-quarter of these securities are exercisable on 12/20/96, 12/20/97,
12/20/98 and 12/20/99. Pursuant to the resignation of Dr. Barry C. Ross
as a director of Affymetrix, Inc. effective as of 10/18/00, the option
lapsed with respect to an additional 13,333 shares of Affymetrix Common
Stock, in respect of which the option had not vested.
<PAGE>
Pursuant to Rule 16a-1(a)(4) promulgated under the Securities Exchange Act of
1934, as amended, the Reporting Persons herein states that this filing shall
not be deemed an admission that he or it is the beneficial owner of any of
the securities covered by this Statement.
GLAXO WELLCOME PLC November 9, 2000
--------------------
Date
By: /s/ S.J. Cowden
-------------------------
Name: S.J. Cowden
Title: Secretary
**Signature of Reporting Person
*** Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB Number.
<PAGE>
<PAGE>
ANNEX I
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
35000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
125000 D 62.6250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
150000 D 62.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
115000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 63.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.68750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 64.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 64.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
60000 D 65.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 66.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 66.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/26
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 67.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
75000 D 62.50
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 62.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/27
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
30000 D 60.93750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 61.750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 61.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
20000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/30
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 60.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 60.31250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.1250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
10000 D 62.250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
50000 D 62.8750
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.00
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
<PAGE>
1. Title of Security (Instr. 3)
Common Stock
2. Transaction Date (Month/Day/Year)
10/31
3. Transaction Code (Instr. 8)
Code V
S
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
Amount (A) or (D) Price
25000 D 63.06250
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
I
7. Nature of Indirect Beneficial Ownership (Instr. 4)
See (5)
