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As Of Filer Filing For·On·As Docs:Size Issuer Agent 2/12/09 Vector Later Stage Equity … II LP SC 13G/A 2:314K Pozen Inc/NC Merrill Corp-MD/FA Barclay A. Phillips D. Theodore Berghorst Deborah Berghorst Ttee fbo Berghorst 1998 Dynastic Trust Douglas B. Reed Kathleen M. Stanley Thomas C. Dorn Vector Fund Management II, L.L.C. Vector Later-Stage Equity Fund II (QP) L.P. |
Document/Exhibit Description Pages Size 1: SC 13G/A Amendment to Statement of Beneficial Ownership HTML 181K 2: EX-99.A Miscellaneous Exhibit HTML 28K
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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
Under
the Securities Exchange Act of 1934
(Amendment No. 6)*
Pozen, Inc.
(Name of Issuer)
Common Stock, $0.001 Par Value
(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
o |
Rule 13d-1(c) |
x |
Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons FBO Berghorst 1998 Dynastic Trust S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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7
CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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8
CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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9
CUSIP No. 73941U102 |
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1. |
Names of Reporting Persons S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
x |
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(b) |
o |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive Power |
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9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o |
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11. |
Percent of Class
Represented by Amount in Row (9) |
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12. |
Type of Reporting Person
(See Instructions) |
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10
Item 1. |
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(a) |
Name
of Issuer |
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(b) |
Address
of Issuer’s Principal Executive Offices |
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Item 2. |
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(a) |
Name
of Person Filing
The Reporting Persons may be deemed to constitute a “group” for purposes of Section 13(d)(3) of the Act. The Reporting Persons expressly disclaim that they have agreed to act as a group other than as described in this Schedule 13G. |
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(b) |
Address
of Principal Business Office or, if none, Residence |
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(c) |
Citizenship |
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(d) |
Title
of Class of Securities |
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(e) |
CUSIP
Number |
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Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
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(a) |
o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
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(b) |
o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) |
o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
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(d) |
o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
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(e) |
o |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
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(f) |
o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
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(g) |
o |
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
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(h) |
o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) |
o |
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
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(j) |
o |
Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
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This Schedule is not being filed pursuant to Rule 13d-1(b) or Rule 13d-2(b) or (c) and therefore, none of the above are applicable. |
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Item 4. |
Ownership |
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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. |
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Pursuant to Rule 13d-4 of the Act, the Reporting Persons expressly declare that the filing of this statement shall not be construed as an admission that any such person is, for the purposes of Section 13(d) and/or Section 13(g) of the Act, the beneficial owner of any securities covered by this statement. All ownership percentages of the securities reported herein are based upon 29,778,310 shares of Common Stock outstanding as of October 17, 2008, as disclosed in the Company's Quarterly Report filed on Form 10-Q with the Securities and Exchange Commission on November 4, 2008, for the fiscal quarter ended September 30, 2008. |
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VLSEF |
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(a) |
Amount beneficially owned: VLSEF is the direct owner of 446,351 shares of the Common Stock of the Company. |
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(b) |
Percent of class: 1.5% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 0 |
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(ii) |
Shared power to vote or to direct the vote 446,351 |
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(iii) |
Sole power to dispose or to direct the disposition of 0 |
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(iv) |
Shared power to dispose or to direct the disposition of 446,351 |
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VLSEF QP |
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(a) |
Amount beneficially owned: VLSEF is the direct owner of 1,339,054 shares of the Common Stock of the Company. |
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(b) |
Percent of class: 4.5% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 0 |
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(ii) |
Shared power to vote or to direct the vote 1,339,054 |
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(iii) |
Sole power to dispose or to direct the disposition of 0 |
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(iv) |
Shared power to dispose or to direct the disposition of 1,339,054 |
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VEM |
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(a) |
Amount beneficially owned: Dispositive and voting power of securities over which VLSEF and VLSEF QP have voting and dispositive power is shared by VFM, the general partner of VLSEF and VLSEF QP, by a committee of limited partners of VLSEF and VLSEF QP. For purposes of Rule 13d-3 of the Act, VFM may be deemed to have shared voting and dispositive power with respect to the 1,785,405 shares of Common Stock over which VLSEF and VLSEF QP have voting and dispositive power. |
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(b) |
Percent of class: 6.0% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 0 |
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(ii) |
Shared power to vote or to direct the vote 1,785,405 |
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(iii) |
Sole power to dispose or to direct the disposition of 0 |
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(iv) |
Shared power to dispose or to direct the disposition of 1,785,405 |
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D. THEODORE BERGHORST |
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(a) |
Amount beneficially owned: D. Theordore Berghorst is a direct beneficial owner of and has sole dispositive and voting power over 832,174 shares of Common Stock. Also, by virtue of D. Theordore Berghorst being an officer and director of VFM (the general parent of VLSEF and VLSEF QP) for purposes of Rule 13d-3 of the Act, he may be deemed to be a beneficial owner of the 1,785,405 shares of Common Stock beneficially owned by VLSEF, VLSEF QP and VFM. As financial advisor for the Berghorst 1998 Dynastic Trust (“the Trust”), for purposes of Rule 13d-3 of the Act, he may also be deemed to be a beneficial owner of the 125,000 shares of common stock owned by the Trust. D. Theodore Berghorst disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 9.5% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 932,174 |
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(ii) |
Shared power to vote or to direct the vote 2,717,579 |
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(iii) |
Sole power to dispose or to direct the disposition of 932,174 |
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(iv) |
Shared power to dispose or to direct the disposition of 2,717,579 |
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DEBORAH
BERGHORST TTEE |
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(a) |
Amount beneficially owned: The Trust is a direct beneficial owner of and has sole dispositive and voting power over 125,000 shares of Common Stock. The Trust disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 0.4% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 125,000 |
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(ii) |
Shared power to vote or to direct the vote 0 |
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(iii) |
Sole power to dispose or to direct the disposition of 125,000 |
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(iv) |
Shared power to dispose or to direct the disposition of 0 |
13
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BARCLAY A. PHILLIPS |
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(a) |
Amount beneficially owned: Barclay A. Phillips is a direct beneficial owner of and has sole dispositive and voting power over 6,950 shares of Common Stock. Barclay A. Phillips being a director of VFM (the general partner of VLSEF and VLSEF QP), for purposes of Rule 13d-3 of the Act, he may be a beneficial owner ofthe 1,785,405 shares of Common Stock beneficially owned by VLSEF, VLSEF QP and VFM. Barclay A. Phillips disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 6.0% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 6,950 |
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(ii) |
Shared power to vote or to direct the vote 1,792,355 |
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(iii) |
Sole power to dispose or to direct the disposition of 6,950 |
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(iv) |
Shared power to dispose or to direct the disposition of 1,792,355 |
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DOUGLAS REED |
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(a) |
Amount beneficially owned: Douglas Reed is a direct beneficial owner of and has sole dispositive and voting power over 24,500 shares of Common Stock. Also, by virtue of Douglas Reed being a director of VFM (the general partner of VLSEF and VLSEF QP), for purposes of Rule 13d-3 of the Act, he may be a beneficial owner of the 1,785,405 shares of Common Stock beneficially owned by VLSEF, VLSEF QP and VFM. Douglas Reed disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 6.1% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 24,500 |
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(ii) |
Shared power to vote or to direct the vote 1,809,905 |
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(iii) |
Sole power to dispose or to direct the disposition of 24,500 |
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(iv) |
Shared power to dispose or to direct the disposition of 1,809,905 |
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THOMAS C. DORN |
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(a) |
Amount beneficially owned: Thomas C. Dorn is a direct beneficial owner and has sole disposition and voting power over 19,000 shares of common stock. Thomas C. Dorn disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 0.0% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 19,000 |
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(ii) |
Shared power to vote or to direct the vote 0 |
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(iii) |
Sole power to dispose or to direct the disposition of 19,000 |
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(iv) |
Shared power to dispose or to direct the disposition of 0 |
14
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KATHLEEN M. STANLEY |
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(a) |
Amount beneficially owned: Kathleen M. Stanley is a direct beneficial owner and has sole disposition and voting power over 3,000 shares of common stock. Kathleen M. Stanley disclaims beneficial ownership of any other securities covered by this statement. |
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(b) |
Percent of class: 0.0% |
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(c) |
Number of shares as to which the person has: |
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(i) |
Sole power to vote or to direct the vote 3,000 |
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(ii) |
Shared power to vote or to direct the vote 0 |
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(iii) |
Sole power to dispose or to direct the disposition of 3,000 |
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(iv) |
Shared power to dispose or to direct the disposition of 0 |
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Item 5. |
Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o. |
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person |
See response to Item 4. |
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
Not applicable. |
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Item 8. |
Identification and Classification of Members of the Group |
Not applicable. |
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Item 9. |
Notice of Dissolution of Group |
Not applicable. |
Item 10. |
Certification |
Not applicable. |
15
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 12, 2008
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VECTOR LATER-STAGE EQUITY FUND II, L.P. |
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By: |
Vector Fund Management II, L.L.C. |
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Its: |
General Partner |
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By: |
Vector Asset Management, Inc. |
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Its: |
Managing Member |
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By: |
/s/ Thomas C. Dorn |
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Thomas C. Dorn, Chief Financial Officer |
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VECTOR LATER-STAGE EQUITY FUND II (QP), L.P. |
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By: |
Vector Fund Management II, L.L.C. |
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Its: |
General Partner |
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By: |
Vector Asset Management, Inc. |
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Its: |
Managing Member |
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By: |
/s/ Thomas C. Dorn |
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Thomas C. Dorn, Chief Financial Officer |
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VECTOR FUND MANAGEMENT II, L.L.C. |
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By: |
Vector Asset Management, Inc. |
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Its: |
Managing Member |
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||
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By: |
/s/ Thomas C. Dorn |
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Thomas C. Dorn, Chief Financial Officer |
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/s/ |
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Deborah Berghorst TTEE |
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FBO Berghorst 1998 Dynastic Trust |
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By: |
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D. Theodore Berghorst, Financial Advisor |
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/s/ |
Barclay A. Phillips |
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Barclay A. Phillips |
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/s/ |
Douglas B. Reed |
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Douglas B. Reed |
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/s/ |
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/s/ |
Kathleen M. Stanley |
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Kathleen M. Stanley |
16
This ‘SC 13G/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/12/09 | SC 13G/A | ||
12/31/08 | 10-K | |||
11/4/08 | 10-Q | |||
10/17/08 | ||||
9/30/08 | 10-Q | |||
2/12/08 | ||||
List all Filings |