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Kirk Randal J, et al. – ‘SC 13D/A’ on 8/29/00 re: Scios Inc

On:  Tuesday, 8/29/00, at 4:00pm ET   ·   Accession #:  916641-0-1259   ·   File #:  5-35293

Previous ‘SC 13D’:  ‘SC 13D/A’ on 6/9/00   ·   Next:  ‘SC 13D/A’ on 1/8/01   ·   Latest:  ‘SC 13D/A’ on 6/30/23

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/29/00  Kirk Randal J                     SC 13D/A               2:22K  Scios Inc                         Donnelly Financial/FA
          Kirk Randal J
          Kirkfield, L.L.C.
          R.J. Kirk Trust
          Randal J. Kirk
          RJK, L.L.C.
          The Kirk Family Investment Plan

Amendment to General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D/A    Amendment No. 7 to Schedule 13D                       11     43K 
 2: EX-7.1      Joint Filing Agreement                                 2      8K 


SC 13D/A   —   Amendment No. 7 to Schedule 13D
Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
8Item 1. Security and Issuer
"Item 2. Identity and Background
"Item 3. Source and Amount of Funds or Other Consideration
9Item 5. Interest in Securities of the Issuer
"Item 7. Material to be Filed as Exhibits
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) SCIOS INC. ---------- (Name of Issuer) Common Stock, $.001 par value per share --------------------------------------- (Title of Class of Securities) 808905103 --------- (CUSIP Number) Third Security, LLC The Governor Tyler 1902 Downey Street Radford, Virginia 24141 Attention: Marcus E. Smith, Esq. (540) 731-3344 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: John Owen Gwathmey, Esq. Hunton & Williams Riverfront Plaza, East Tower 951 East Byrd Street Richmond, Virginia 23219 August 22, 2000 --------------- (Date of Event Which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ].
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 2 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Randal J. Kirk ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS PF ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEM 2(d) or 2(e) ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 2,000,000 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 2,000,000 ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,000,000 ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.2% ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 3 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RJK, L.L.C. I.R.S. Identification No.: 54-1816015 ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS 00-Funds of members of limited liability company ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEM 2(d) or 2(e) ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 481,377 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 481,377 ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 481,377 ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.3% ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON 00-Limited liability company ------------------------------------------------------------------------------
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 4 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Kirkfield, L.L.C. I.R.S. Identification No.: 54-1725089 ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS 00-Funds of members of limited liability company ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEM 2(d) or 2(e) ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 276,907 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 276,907 ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 276,907 ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.7% ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON 00-Limited liability company ------------------------------------------------------------------------------
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 5 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) The Kirk Family Investment Plan I.R.S. Identification No.: 54-1912927 ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS Not applicable ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEM 2(d) or 2(e) ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 0 ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON 00-Joint account ------------------------------------------------------------------------------
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 6 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) R.J. Kirk Trust under Declaration of Trust dated March 29, 2000 I.R.S Identification No.:[_______________] ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [_] ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS Not applicable ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT [_] TO ITEM 2(d) or 2(e) ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,241,716 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 1,241,716 ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,241,716 ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.2% ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON ------------------------------------------------------------------------------
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-------------------------- ------------------------- CUSIP NO. 808905103 13D Page 7 of 13 Pages -------------------------- ------------------------- ------------------------------------------------------------------------------ 00-Revocable trust ------------------------------------------------------------------------------
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This Amendment No. 7 (this "Amendment") amends and supplements the Statement on Schedule 13D, dated July 20, 1999 and filed on July 29, 1999, as amended by Amendment No. 1, dated December 2, 1999 and filed on December 3, 1999, Amendment No. 2, dated December 9, 1999 and filed on December 14, 1999, Amendment No. 3, dated January 13, 2000 and filed on January 14, 2000, Amendment No. 4, dated and filed on January 18, 2000, Amendment No. 5, dated January 20, 2000 and filed on January 24, 2000, and Amendment No. 6, dated January 31, 2000 and filed on February 1, 2000 (the "Original Schedule 13D"), relating to the Common Stock, par value $.001 per share (the "Shares"), of Scios Inc., a Delaware corporation (the "Issuer"). Randal J. Kirk, a citizen of the United States ("Mr. Kirk"), and each of the following entities that Mr. Kirk directly controls: RJK, L.L.C., a Virginia limited liability company ("RJK"), Kirkfield, L.L.C., a Virginia limited liability company ("Kirkfield"), The Kirk Family Investment Plan, a joint account ("KFIP"), and R.J. Kirk Trust under Declaration of Trust dated March 29, 2000, a revocable trust of which Mr. Kirk is the sole trustee ("Kirk Trust" and, collectively with Mr. Kirk, RJK, Kirkfield and Kirk Trust, the "Reporting Persons"), are filing this Amendment to update the information with respect to the beneficial ownership of the Shares by the Reporting Persons. Item 1. Security and Issuer. -------------------- The last sentence of Item 1 of the Original Schedule 13D is hereby amended to read in its entirety as follows: "The principal executive offices of the Issuer are located at 820 W. Maude Avenue, Sunnyvale, California 94086." Item 2. Identity and Background. ------------------------ The first paragraph of Item 2 of the Original Schedule 13D is hereby amended to read in its entirety as follows: "This statement is being filed on behalf of Randal J. Kirk, a citizen of the United States ("Mr. Kirk"), and each of the following entities that Mr. Kirk directly controls: RJK, L.L.C., a Virginia limited liability company ("RJK"), Kirkfield, L.L.C., a Virginia limited liability company ("Kirkfield"), The Kirk Family Investment Plan, a joint account ("KFIP"), and R.J. Kirk Trust under Declaration of Trust dated March 29, 2000, a revocable trust of which Mr. Kirk is the trustee ("Kirk Trust" and, collectively with Mr. Kirk, RJK, Kirkfield and Kirk Trust, the "Reporting Persons")." Item 3. Source and Amount of Funds or Other Consideration. -------------------------------------------------- The first paragraph of Item 2 of the Original Schedule 13D is hereby amended to read in its entirety as follows: Page 8 of 13 Pages
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"The Reporting Persons used an aggregate of approximately $8,307,905 of funds to purchase the shares of Common Stock reported by them in Item 5(a) hereof." Item 5. Interest in Securities of the Issuer. ------------------------------------- Item 5(a) of the Original Schedule 13D is hereby amended to read in its entirety as follows: "The aggregate number and percentage of shares of Common Stock to which this statement relates is 2,000,000 shares, representing 5.2% of the 38,468,652 shares outstanding as reported by the Issuer on August 14, 2000 in the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 2000 (the most recent available filing by the Issuer with the Securities and Exchange Commission). RJK directly beneficially owns 481,377 of the shares to which this statement relates, Kirkfield directly beneficially owns 276,907 of the shares to which this statement relates and Kirk Trust directly beneficially owns 1,241,717 of the shares to which this statement relates. Mr. Kirk could be deemed to have indirect beneficial ownership of the shares directly beneficially owned by each of RJK, Kirkfield and Kirk Trust." Item 5(b) of the Original Schedule 13D is hereby amended to read in its entirety as follows: "Each of the Reporting Persons has, together with Mr. Kirk, the shared power to vote or direct the vote and the shared power to dispose or to direct the disposition of the shares of Common Stock reported for it in Item 5(a) hereof." Item 5(e) of the Original Schedule 13D is hereby amended to read in its entirety as follows: "KFIP ceased to be the beneficial owner of any outstanding shares of Common Stock on August 22, 2000." Item 7 Material to be Filed as Exhibits. --------------------------------- The following document is being filed as an exhibit to this Amendment and is incorporated herein by reference: Exhibit 7.1. Joint Filing Agreement. Exhibit S. Powers of Attorney to Randal J. Kirk from each of Donna P. Kirk, Julian P. Kirk, Martin G. Kirk and Kellie Leigh Banks.* * Incorporated by reference to the Statement on Schedule 13D dated July 20, 1999 and filed with the Securities and Exchange Commission on July 29, 1999. Page 9 of 13 Pages
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SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certify that the information set forth in this statement is true, complete and correct. Date: August 29, 2000 /s/ Randal J. Kirk ------------------------------- Randal J. Kirk Date: August 29, 2000 RJK, L.L.C. By: /s/ Randal J. Kirk ------------------------- Randal J. Kirk Manager Date: August 29, 2000 KIRKFIELD, L.L.C. By: /s/ Randal J. Kirk ------------------------- Randal J. Kirk Manager Date: August 29, 2000 THE KIRK FAMILY INVESTMENT PLAN By: /s/ Randal J. Kirk ------------------------- Randal J. Kirk, individually and as attorney-in-fact for each of Donna P. Kirk, Julian P.Kirk, Martin G. Kirk and Kellie Leigh Banks Date: August 29, 2000 R.J. KIRK TRUST UNDER DECLARATION OF TRUST DATED MARCH 29, 2000 By: /s/ Randal J. Kirk ------------------------- Randal J. Kirk Trustee Page 10 of 13 Pages
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EXHIBIT INDEX ------------- Exhibit Number Exhibit -------------- ------- Exhibit 7.1. Joint Filing Agreement. Exhibit S. Powers of Attorney to Randal J. Kirk from each of Donna P. Kirk, Julian P. Kirk, Martin G. Kirk and Kellie Leigh Banks.* * Incorporated by reference to the Statement on Schedule 13D dated July 20, 1999 and filed with the Securities and Exchange Commission on July 29, 1999. Page 11 of 13 Pages

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘SC 13D/A’ Filing    Date First  Last      Other Filings
Filed on:8/29/0010
8/22/0019
8/14/00910-Q
6/30/00910-Q
3/29/00610
2/1/0088-K,  DEFA14A,  SC 13D/A
1/31/008
1/24/0088-K,  DFAN14A,  SC 13D/A
1/20/008DEFA14A,  DEFC14A,  DFRN14A
1/18/008DFAN14A,  SC 13D/A
1/14/008DFAN14A,  SC 13D/A
1/13/008DEFA14A,  PRER14A
12/14/998SC 13D/A
12/9/998DFAN14A,  PREC14A
12/3/998SC 13D/A
12/2/998
7/29/99811SC 13D
7/20/99811
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Filing Submission 0000916641-00-001259   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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