View:
OMB APPROVAL
OMB Number: 3235-0145
Expires: October 31, 2002
Estimated average burden
hours per response.......14.90
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Exelixis, Inc.
(Name of Issuer)
Common Stock, Par Value $0.001 Per Share
(Title of Class of Securities)
30161Q 10 4
(CUSIP Number)
July 12, 2000
Date of Event Which Requires Filing of this Statement
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
| | Rule 13d-1(b)
|X| Rule 13d-1(c)
| | 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
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
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 control number.
SCHEDULE 13G
- --------------------- ---------------------
CUSIP NO. 30161Q 10 4 PAGE 2 OF 9 PAGES
- --------------------- ---------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pharmacia & Upjohn AB
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Sweden
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER
NUMBER OF 2,355,769
SHARES -----------------------------------------------------
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY -0-
EACH -----------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON 2,355,769
WITH -----------------------------------------------------
8. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,355,769
- --------------------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.2%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
- --------------------------------------------------------------------------------
SCHEDULE 13G
- --------------------- ---------------------
CUSIP NO. 30161Q 10 4 PAGE 3 OF 9 PAGES
- --------------------- ---------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pharmacia & Upjohn Holdings B.V.
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Netherlands
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER
NUMBER OF 2,355,769
SHARES -----------------------------------------------------
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY -0-
EACH -----------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON 2,355,769
WITH -----------------------------------------------------
8. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,355,769
- --------------------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.2%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
- --------------------------------------------------------------------------------
SCHEDULE 13G
- --------------------- ---------------------
CUSIP NO. 30161Q 10 4 PAGE 4 OF 9 PAGES
- --------------------- ---------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pharmacia & Upjohn, Inc.
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER
NUMBER OF 2,355,769
SHARES -----------------------------------------------------
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY -0-
EACH -----------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON 2,355,769
WITH -----------------------------------------------------
8. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,355,769
- --------------------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.2%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
- --------------------------------------------------------------------------------
SCHEDULE 13G
- --------------------- ---------------------
CUSIP NO. 30161Q 10 4 PAGE 5 OF 9 PAGES
- --------------------- ---------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Pharmacia Corporation
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
5. SOLE VOTING POWER
NUMBER OF 2,355,769
SHARES -----------------------------------------------------
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY -0-
EACH -----------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON 2,355,769
WITH -----------------------------------------------------
8. SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,355,769
- --------------------------------------------------------------------------------
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.2%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO, HC
- --------------------------------------------------------------------------------
CUSIP Number: 30161Q 10 4 Page 6 of 9
ITEM 1
(a). Name of Issuer: Exelixis, Inc., a Delaware
corporation ("Exelixis")
(b). Address of Issuer's Principal Executive Offices:
170 Harbor Way, P.O. Box 511, South San Francisco,
California 94083.
ITEM 2.
(a). Name of Person Filing: Pharmacia & Upjohn AB, a Swedish
corporation ("P&U AB"), Pharmacia & Upjohn Holdings B.V., a "check the box"
entity incorporated in the Netherlands ("P&U BV"), Pharmacia & Upjohn, Inc., a
Delaware corporation ("P&U Inc."), and Pharmacia Corporation, a Delaware
corporation ("PHA" , and together with P&U AB, P&U BV and P&U Inc., the
"Reporting Persons").
(b). Address of Principal Business Office: The principal business
address of P&U AB is Pharmacia & Upjohn AB, S-171 97 Stockholm, Sweden. The
principal business address of P&U BV is Pharmacia & Upjohn Holdings B.V.,
Houttuinlaan 4, NL - 3447 GM Woerden, the Netherlands. The principal business
address of each of P&U Inc. and PHA is 100 Route 206, Peapack, New Jersey 07977.
(c). Citizenship: P&U AB, is a Swedish corporation, P&U BV is a "check
the box" entity incorporated in the Netherlands, P&U Inc. and PHA are Delaware
corporations.
(d). Title of Class of Securities: Common stock, par value $0.001 per
share (the "Shares").
(e). CUSIP Number: 30161Q 10 4
ITEM 3. If This Statement is Filed Pursuant to Rule 13d- 1(b) or 13d-2(b) or
(c), Check Whether the Person Filing is a:
(a). [ ] Broker or dealer registered under Section 15
of the Exchange Act;
(b). [ ] Bank as defined in Section 3(a)(6) of the
Exchange Act;
(c). [ ] Insurance company as defined in Section
3(a)(19) of the Exchange Act;
CUSIP Number: 30161Q 10 4 Page 7 of 9
(d). [ ] Investment company registered under Section 8
of the Investment Company Act;
(e). [ ] An investment advisor in accordance with Rule
13d-1(b)(1)(ii)(E);
(f). [ ] An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)(1)(ii)(F);
(g). [ ] A parent holding company or control person in
accordance with Rule 13d-1(b)(1)(ii)(G);
(h). [ ] A savings association as defined in Section
3(b) of the Federal Deposit Insurance Act;
(i). [ ] A church plan that is excluded from the
definition of an investment company under
Section 3(c)(14) of the Investment Company
Act;
(j). [ ] Group in accordance with Rule 13d-
1(b)(1)(ii)(j).
If this statement is filed pursuant to Rule 13d-1(c), check this box.
[x]
ITEM 4. Ownership.
(a). P&U AB beneficially owns 2,355,769 Shares of Exelixis. P&U BV,
P&U Inc. and PHA may be each deemed to beneficially own 2,355,769
Shares of Exelixis.
(b). The percentage interest held by each Reporting Person presented
below is based on the number of Shares reported to be outstanding as
of July 31, 2000 in Exelixis' Quarterly Report on Form 10-Q, for the
quarter ended June 30, 2000, filed on August 14, 2000 (the
"Outstanding Shares").
P&U AB beneficially owns approximately 5.2% of the Outstanding
Shares. P&U BV, P&U Inc. and PHA may be each deemed to beneficially
own approximately 5.2% of the Outstanding Shares.
(c). Each Reporting Person has the power to vote or direct the vote
and dispose or direct the disposition of the Shares beneficially owned
by such Reporting Persons as indicated in pages 2 through 5 above.
CUSIP Number: 30161Q 10 4 Page 8 of 9
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 [ ].
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported by the Parent Holding Company.
See Exhibit 99.2.
ITEM 8. Identification and Classification of the Members of the Group.
Not Applicable.
ITEM 9. Notice of Dissolution of Group.
Not Applicable.
ITEM 10. Certification.
By signing below we certify that, to the best of our knowledge and
belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that
purpose or effect.
CUSIP Number: 30161Q 10 4 Page 9 of 9
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true, complete
and correct.
Dated: October 6, 2000
PHARMACIA & UPJOHN AB
By: /s/ Hakan Astrom
Name: Hakan Astrom
Title: Managing Director
PHARMACIA & UPJOHN HOLDINGS B.V.
By: /s/ Wim Kuiper
Name: Wim Kuiper
Title: Director
PHARMACIA & UPJOHN, INC.
By: /s/ Don W. Schmitz
Name: Don W. Schmitz
Title: Corporate Secretary
PHARMACIA CORPORATION
By: /s/ Don W. Schmitz
Name: Don W. Schmitz
Title: Corporate Secretary
INDEX TO EXHIBITS
Exhibit No. Exhibit
99.1 Joint Filing Statement, dated October 6,
2000, between Pharmacia & Upjohn AB,
Pharmacia & Upjohn Holdings B.V.,
Pharmacia & Upjohn, Inc. and Pharmacia
Corporation
99.2 Item 7 Information
EXHIBIT 99.1
JOINT FILING STATEMENT
In accordance with Rule 13d-1(k)(1) promulgated under the Securities
Exchange Act of 1934, the undersigned agree to the joint filing of a Statement
on Schedule 13G (including any and all amendments thereto) with respect to the
Common Stock, $0.001 par value, of Exelixis, Inc., and further agree to the
filing of this agreement as an Exhibit thereto. In addition, each party to this
Agreement expressly authorizes each other party to this Agreement to file on its
behalf any and all amendments to such Statement on Schedule 13G.
Dated: October 6, 2000
PHARMACIA & UPJOHN AB
By: /s/ Hakan Astrom
Name: Hakan Astrom
Title: Managing Director
PHARMACIA & UPJOHN HOLDINGS B.V.
By: /s/ Wim Kuiper
Name: Wim Kuiper
Title: Director
PHARMACIA & UPJOHN, INC.
By: /s/ Don W. Schmitz
Name: Don W. Schmitz
Title: Corporate Secretary
PHARMACIA CORPORATION
By: /s/ Don W. Schmitz
Name: Don W. Schmitz
Title: Corporate Secretary
EXHIBIT 99.2
ITEM 7 INFORMATION
The securities being reported on by Pharmacia Corporation, as a parent holding
company, are all owned by Pharmacia & Upjohn AB, a Swedish corporation, which is
a wholly owned subsidiary of Pharmacia & Upjohn Holdings B.V., a "check the box"
entity incorporated in the Netherlands. Pharmacia & Upjohn Holdings B.V. is a
wholly owned subsidiary of Pharmacia & Upjohn Inc., a Delaware corporation,
which is a wholly owned subsidiary of Pharmacia Corporation, a Delaware
corporation.