- Statement of Ownership (SC 13G)
2010年8月21日 - 6:05AM
Edgar (US Regulatory)
SCHEDULE
13G
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
DC 20549
Under the
Securities Exchange Act of 1934
(Amendment
No. )*
YM
Biosciences, Inc.
(Name
of Issuer)
Common
Stock, No Par Value
|
(Title
of Class of Securities)
|
|
984238105
|
|
|
August
12, 2010
|
|
|
(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)
x
Rule
13d-1(c)
o
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 (the “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.
984238105
|
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Felix J.
Baker
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
¨
(b)
¨
|
3
|
SEC
USE ONLY
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
-0-
|
6
|
SHARED
VOTING POWER
4,239,132
|
7
|
SOLE
DISPOSITIVE POWER
-0-
|
8
|
SHARED
DISPOSITIVE POWER
4,239,132
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,239,132
|
10
|
CHECK BOX 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)
IN
|
CUSIP
No.
984238105
|
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Julian C.
Baker
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See
Instructions)
(a)
¨
(b)
¨
|
3
|
SEC
USE ONLY
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE
VOTING POWER
-0-
|
6
|
SHARED
VOTING POWER
4,239,132
|
7
|
SOLE
DISPOSITIVE POWER
-0-
|
8
|
SHARED
DISPOSITIVE POWER
4,239,132
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,239,132
|
10
|
CHECK BOX 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)
IN
|
Item
1(a)
|
Name
of Issuer:
|
YM
Biosciences
Item
1(b)
|
Address
of Issuer’s Principal Executive
Offices:
|
5045
Orbiter
Drive
Building
11, Suite
400
Mississauga,
Ontario L4W 4Y4
Item
2(a)
|
Name
of Person Filing:
|
This
Schedule 13G is being filed jointly by Felix J. Baker and Julian C. Baker (the
“Reporting Persons”).
Item
2(b)
|
Address
of Principal Business Office or, if None,
Residence:
|
|
Name
|
|
Business
Address
|
|
Felix
J. Baker
|
|
667
Madison Avenue
New
York, NY 10065
|
|
|
|
|
|
Julian
C. Baker
|
|
667
Madison Avenue
New
York, NY 10065
|
Each of
the Reporting Persons is a United States citizen.
Item
2(d)
|
Title
of Class of Securities:
|
Common
Stock, no par value
984238105
Item3.
|
If
this statement is filed pursuant to §§240.13d-1(b) or (c), check whether
the person filing is
a: N/A
|
(a)
o
Broker or dealer
registered under Section 15 of the Exchange Act.
(b)
o
Bank as defined in
section 3(a)(6) of the Exchange Act.
(c)
o
Insurance company as
defined in section 3(a)(19) of the Exchange Act.
(d)
o
Investment company
registered under section 8 of the Investment Company Act of 1940.
(e)
o
An
investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
(f)
o
An employee benefit plan or endowment fund in accordance with Rule
13d-1(b)(1)(ii)(F).
(g)
o
A parent holding
company or control person in accordance with Rule
13d-1(b)(1)(ii)(G).
(h)
o
A savings association
as defined in Section 3(b) of the Federal Deposit Insurance Act.
z
(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.
(j)
o
Group, in accordance
with Rule 13d-1(b)(1)(ii)(J).
Set forth
in the table below is the aggregate number of shares of Common Stock
beneficially owned along with shares of Common Stock that may be acquired upon
the exercise of Warrants as of the date hereof by each of the following,
together with the percentage of outstanding shares of Common Stock that such
number represents based upon 80,389,663 shares outstanding, according to
information obtained from the Company on August 20, 2010. Such
percentage figures are calculated on the basis that the Warrants owned by the
Reporting Persons are deemed exercised for shares of Common Stock but other
outstanding Warrants are not deemed converted or exercised.
|
|
|
|
|
Percent
of Class
Outstanding
|
|
|
|
|
|
|
|
|
|
|
Baker
Bros. Investments II, L.P.
|
|
|
3,350
|
|
|
|
0.0
|
%
|
667,
L.P.
|
|
|
540,211
|
|
|
|
0.7
|
%
|
Baker
Brothers Life Sciences, L.P.
|
|
|
3,560,616
|
|
|
|
4.4
|
%
|
14159,
L.P.
|
|
|
101,236
|
|
|
|
0.1
|
%
|
Baker/Tisch
Investments, L.P.
|
|
|
33,719
|
|
|
|
0.0
|
%
|
|
|
|
|
|
|
|
|
|
Total
|
|
|
4,239,132
|
|
|
|
5.2
|
%
|
By virtue
of their ownership of entities that have the power to control the investment
decisions of the limited partnerships listed in the table above, Felix J. Baker
and Julian C. Baker may each be deemed to be beneficial owners of shares owned
by such entities and may be deemed to have shared power to vote or direct the
vote of and shared power to dispose or direct the disposition of such
securities.
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
. N/A
Item
6.
|
Ownership
of More than Five Percent on Behalf of Another
Person.
|
The
entities listed in Item 4 above are investment funds the investors in which have
the right to receive dividends, interest and the proceeds of sale of securities
owned by such funds.
Item
7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company or Control
Person.
|
N/A
Item
8.
|
Identification
and Classification of Members of the
Group.
|
N/A
Item
9.
|
Notice
of Dissolution of Group.
|
N/A
By
signing below I certify that, to the best of my 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.
SIGNATURE
After reasonable inquiry and to the
best of my knowledge and belief, I hereby certify that the information set forth
in this statement is true, complete and correct.
August
20, 2010
|
/s/
Felix J. Baker
|
|
|
Felix
J. Baker
|
|
|
|
|
|
|
|
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/s/
Julian C. Baker
|
|
|
Julian
C. Baker
|
|
|
|
|
AGREEMENT
In accordance with
Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the
undersigned hereby agree that this Statement on Schedule 13G relating to
the Common Stock of YM Biosciences, Inc. is being filed with the Securities and
Exchange Commission on behalf of each of them.
August
20, 2010
|
/s/
Felix J. Baker
|
|
|
Felix
J. Baker
|
|
|
|
|
|
|
|
|
/s/
Julian C. Baker
|
|
|
Julian
C. Baker
|
|
|
|
|
YM Biosciences (AMEX:YMI)
過去 株価チャート
から 7 2024 まで 8 2024
YM Biosciences (AMEX:YMI)
過去 株価チャート
から 8 2023 まで 8 2024