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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
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)
þ Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons 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).
Persons who 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.
CUSIP No. |
037032-10-9 |
1 | NAMES OF REPORTING PERSONS: Garo H. Armen |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
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(a) þ | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States of America | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | 1,011,291(1) | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | 11,489,274(2) | ||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | 1,011,291(1) | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER: | |||
11,489,274(2) | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
12,500,565 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
26.8% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||
IN |
(1) Includes 1,006,291 shares issuable upon exercise of options to purchase Antigenics Inc. common stock.
(2) Consists of (i) 11,154,274 shares held by Antigenics Holdings LLC, of which Dr. Armen is the Chief Executive Officer, Chairman of the Board of Managers and a member and (ii) 335,000 shares held by Armen Partners LP, of which Dr. Armen is the General Partner.
CUSIP No. |
037032-10-9 |
1 | NAMES OF REPORTING PERSONS: Antigenics Holdings LLC (13-4060592) |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
||||
(a) þ | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States of America | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | 11,154,274 | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | |||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | 11,154,274 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER: | |||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
11,154,274 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
24.5% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||
OO - Limited Liability Company |
CUSIP No. |
037032-10-9 |
1 | NAMES OF REPORTING PERSONS: Armen Partners LP (22-2964842) |
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS): |
||||
(a) þ | |||||
(b) o | |||||
3 | SEC USE ONLY: | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION: | ||||
United States of America | |||||
5 | SOLE VOTING POWER: | ||||
NUMBER OF | 335,000 | ||||
SHARES | 6 | SHARED VOTING POWER: | |||
BENEFICIALLY | |||||
OWNED BY | |||||
EACH | 7 | SOLE DISPOSITIVE POWER: | |||
REPORTING | |||||
PERSON | 335,000 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER: | |||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: | ||||
335,000 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS): | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): | ||||
0.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): | ||||
PN - Limited Partnership |
Item 1(a) Name of issuer: | Antigenics Inc. |
Item 1(b) Address of issuers principal executive offices: | 630 Fifth Avenue, Ste 2100 New York, NY 10111 |
2(a) Name of person filing: | Garo H. Armen Antigenics Holdings LLC Armen Partners LP |
2(b) Address or principal business office or, if none, residence: For each reporting person: | c/o Antigenics Inc. 630 Fifth Avenue, Ste 2100 New York, NY 10111 |
a. | [ ] Broker or dealer registered under Section 15 of the Act. |
b. | [ ] Bank as defined in Section 3(a)(6) of the Act. |
c. | [ ] Insurance company as defined in Section 3(a)(19) of the Act. |
d. | [ ] Investment company registered under Section 8 of the Investment Company Act of 1940. |
e. | [ ] An investment adviser 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 associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
i. | [ ] 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. | [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). |
a. | Amount beneficially owned: See Box 9 on cover pages | ||
b. | Percent of class: See Box 11 on cover pages | ||
c. | Number of shares as to which such person has: |
i. | Sole power to vote or to direct the vote: See Box 5 on cover pages | ||
ii. | Shared power to vote or to direct the vote: See box 6 on cover pages | ||
iii. | Sole power to dispose or to direct the disposition of: See Box 7 on cover pages | ||
iv. | Shared power to dispose or to direct the disposition of: See Box 8 on cover pages |