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
December 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)
----- -----
1 of 6
<PAGE>
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
================================================================================
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date (Month/ ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Day/ Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 6,140,214 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 269,920 1 See (1)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/06/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/07/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/08/00 See Annex I
===================================================================================================================================
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person,
see Instruction 4(b)(v).
(Over)
2 of 6
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Aacquired Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
===============================================================================
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Explanation of Responses:
[FN]
(1) These securities are owned of record by Affymax Technologies, 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 Person 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.
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
AFFYMAX N.V. January 10, 2000
--------------------
Date
3 of 6
<PAGE>
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
By: /s/ V.A. Llewellyn
________________________________
Name: V.A. Llewellyn
Title: Company Scretary
Potential persons who are to respond to the collection of information
contained in this form are not requred to respond unless the form dislays
a currently valid OMB Number.
** Signature of Reporting Person
4 of 6
<PAGE>
<ANNEX I>
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Dispositions Consummated 12/06
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.00 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 85,000 D 68.1250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 68.18750 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 60,000 D 66.250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 68.3750 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 35,000 D 68.50 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.56250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.750 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 70.1250 D
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/07
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 67,000 D 65.00 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 65.50 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 20,000 D 66.250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 66.56250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 66.6250 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 D
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/08
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 66.50 D
5 of 6
<PAGE>
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.00 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.50 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 D
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 D
===================================================================================================================================
6 of 6
<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. IRS Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
December 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 - See (1)
----- -----
Officer (give title below) Other (specify below)
----- -----
1 of 6
<PAGE>
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
===============================================================================
</TABLE>
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 6,410,134 I See (2)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/06/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/07/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/08/00 See Annex I
===================================================================================================================================
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person,
see Instruction 4(b)(v).
2 of 6
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
===============================================================================
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
===================================================================================================================================
</TABLE>
Explanation of Responses:
[FN]
(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.
(2) 6,140,214 shares are owned of record by Affymax N.V., which is a wholly
owned subsidiary of the Reporting Person. 269,920 shares are owned of
record by Affymax Technologies N.V., which s wholly-owned subsidiary
of Affymax N.V.
3 of 6
<PAGE>
(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 Person 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.
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
GLAXO VENTURE LIMITED January 10, 2000
------------------
Date
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
By: /s/ S. J. Cowden
_______________________
Name: S.J. Cowden
Title: Secretary
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.
** Signature of Reporting Person
4 of 6
<PAGE>
ANNEX I
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Dispositions Consummated 12/06
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 85,000 D 68.1250 I
----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 68.18750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 60,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 68.3750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 35,000 D 68.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 70.1250 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/07
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 67,000 D 65.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 65.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 20,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 66.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 66.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/08
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 66.50 I
5 of 6
<PAGE>
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 I
===================================================================================================================================
6 of 6
<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. IRS Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
December 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 - See (1)
----- -----
Officer (give title below) Other (specify below)
----- -----
1 of 6
<PAGE>
7. Individual or Joint/Group Filing (Check applicable line)
X
-------- Form filed by one Reporting Person
-------- Form filed by more than one Reporting Person
<PAGE>
===============================================================================
Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
===============================================================================
</TABLE>
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 6,140,214 I See (2)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 2,514,458 I See (3)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/06/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/07/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/08/00 See Annex I
===================================================================================================================================
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person,
see Instruction 4(b)(v).
(Over)
2 of 6
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
===============================================================================
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------------------------------
===================================================================================================================================
</TABLE>
Explanation of Responses:
[FN]
(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 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 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.
(2) 6,140,214 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 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 Internationals,
which is a wholly-owned subsidiary of Glaxo Wellcome Investments B.V.,
which is wholly-owned subsidiary of Glaxo Wellcome International B.V.,
3 of 6
<PAGE>
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 state 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.
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
GLAXO GROUP LIMITED January 10, 2000
------------------
Date
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
By: /s/ S. J. Cowden
_______________________
Name: S.J. Cowden
Title: Secretary
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.
** Signature of Reporting Person
4 of 6
<PAGE>
ANNEX I
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Dispositions Consummated 12/06
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 85,000 D 68.1250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 68.18750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 60,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 68.3750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 35,000 D 68.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 70.1250 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/07
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 67,000 D 65.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 65.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 20,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 66.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 66.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/08
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 66.50 I
5 of 6
<PAGE>
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 i
===================================================================================================================================
6 of 6
<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. IRS Identification Number of Reporting Person, if an entity
(Voluntary)
N/A
4. Statement for Month/Year
December 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 - See (1)
----- -----
Officer (give title below) Other (specify below)
----- -----
1 of 6
<PAGE>
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
===============================================================================
</TABLE>
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 6,410,134 I See (2)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 2,514,458 I See (3)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 79,966 I See (4)
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/06/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/07/00 See Annex I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock 12/08/00 See Annex I
===================================================================================================================================
</TABLE>
[FN]
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person,
see Instruction 4(b)(v).
(Over)
2 of 6
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed Of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
===============================================================================
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Option (right $.3375 See (7) 1/16/01 Common 53,333 1 I See (6)
to buy) Stock
-----------------------------------------------------------------------------------------------------------------------------------
Option (right $.3375 See (8) 1/16/01 Common 53,333 1 I See (6)
to buy) Stock
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===================================================================================================================================
</TABLE>
Explanation of Responses:
[FN]
(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) 6,140,214 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 s wholly-owned subsidiary of Affymax N.V.
3 of 6
<PAGE>
(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
Glaxo Group Limited owns 16.7% and Wellcome Limited owns 83.33%.
The Reporting Person is the direct parent company of both Glaxo Group
Limited and Wellcome Limited.
(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.
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.
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
GLAXO WELLCOME LIMITED January 10, 2000
------------------
Date
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
By: /s/ S. J. Cowden
_______________________
Name: S.J. Cowden
Title: Secretary
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.
** Signature of Reporting Person
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<PAGE>
ANNEX I
<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
Transaction Code ------------------------------- Owned at End (D) or Indirect
1. Date (Instr. 8) (A) of Month Indirect Beneficial
Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) Year) Code V (D) and 4) (Instr.4) (Instr. 4)
-----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Dispositions Consummated 12/06
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 85,000 D 68.1250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 68.18750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 60,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 68.3750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 35,000 D 68.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 68.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.750 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 25,000 D 70.1250 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/07
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 67,000 D 65.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 30,000 D 65.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 20,000 D 66.250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 66.56250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 40,000 D 66.6250 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Dispositions Consummated 12/08
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 66.50 I
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<PAGE>
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 67.50 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 5,000 D 68.00 I
-----------------------------------------------------------------------------------------------------------------------------------
Common Stock S 10,000 D 68.6250 I
===================================================================================================================================
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</TABLE>
