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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(RULE 13D-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILES
PURSUANT TO RULE 13D-1(B)(C), AND (D) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13D-2(B)
(AMENDMENT NO. 3)*
VI Technologies, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
917920100
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(CUSIP Number)
January 1, 2002
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(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)
[_] 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).
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.
1
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
J.P. Morgan Partners (23A SBIC), LLC (formerly known as
CB Capital Investors, L.L.C.)
13-3986302
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ----------
(b)
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3. SEC Use Only
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4. Citizenship or Place of Organization Delaware
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Number of Shares 5. Sole Voting Power 1,801,470
Beneficially Owned
by Each Reporting
Person With:
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6. Shared Voting Power Not applicable.
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7. Sole Dispositive Power 1,801,470
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8. Shared Dispositive Power Not applicable.
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,801,470
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11. Percent of Class Represented by Amount in Row (9) 7.9%
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12. Type of Reporting Person (See Instructions)
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2
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
PRELIMINARY: The information contained in this Schedule 13G has been amended to
reflect a change in the name and controlling persons of the Reporting Person.
ITEM 1.
(A) NAME OF ISSUER:
VI Technologies, Inc.
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
155 Duryea Road
Melville, NY 11747
ITEM 2.
(A) NAME OF PERSON FILING:
J.P. Morgan Partners (23A SBIC), LLC
Supplemental information relating to the ownership
and control of the person filing this statement is
included in Exhibit 2(a) attached hereto.
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
1221 Avenue of the Americas
New York, New York 10020
(C) CITIZENSHIP:
Delaware
(D) TITLE OF CLASS OF SECURITIES (OF ISSUER):
Common Stock
(E) CUSIP NUMBER:
917920100
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS.240.13D-1(B) OR
240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
Not applicable.
ITEM 4. OWNERSHIP
(A) AMOUNT BENEFICIALLY OWNED:
1,801,470 (as of December 31, 2001)
(B) PERCENT OF CLASS:
7.9% (as of December 31, 2001)
3
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
(C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i) 1,801,470
(ii) Not applicable.
(iii) 1,801,470
(iv) Not applicable.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
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 ON BY THE PARENT HOLDING COMPANY
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
ITEM 10. CERTIFICATION
Not applicable
4
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
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 11, 2002
J.P. MORGAN PARTNERS (23A SBIC), LLC
By: J.P. Morgan Partners (23A SBIC Manager), Inc.
its Managing Member
By: /s/ Jeffrey C. Walker
------------------------------------
Name: Jeffrey C. Walker
Title: President
5
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
EXHIBIT 2(A)
ITEM 2. IDENTITY AND BACKGROUND.
This statement is being filed by J.P. Morgan Partners (23A SBIC),
LLC (formerly known as CB Capital Investors, LLC), a Delaware limited liability
company (hereinafter referred to as "JPMP (23A SBIC)"), whose principal business
office is located at 1221 Avenue of the Americas, New York, New York 10020. JPMP
(23A SBIC) is engaged in the venture capital and leveraged buyout business. The
Managing Member of JPMP (23A SBIC) is J.P. Morgan Partners (23A SBIC Manager),
Inc. (formerly known as CB Capital Investors, Inc.), a Delaware corporation
(hereinafter referred to as "JPMP (23A Manager)"), whose principal business
office is located at the same address as JPMP (23A SBIC). JPMP (23A Manager) is
also engaged in the venture capital and leveraged buyout business. Set forth in
Schedule A hereto and incorporated herein by reference are the names, business
addresses, principal occupations and employments of each executive officer and
director of JPMP (23A Manager).
JPMP (23A Manager) is a wholly owned subsidiary of The Chase
Manhattan Bank, a New York corporation (hereinafter referred to as "Chase Bank")
which is engaged in the commercial banking business with its principal office
located at 270 Park Avenue, New York, New York 10017. Set forth in Schedule B
hereto and incorporated herein by reference are the names, business addresses,
principal occupations and employments of each executive officer and director of
Chase Bank.
Chase Bank is a wholly owned subsidiary of J.P. Morgan Chase &
Co. (formerly known as The Chase Manhattan Corporation), a Delaware corporation
(hereinafter referred to as "JP Morgan Chase") which is engaged (primarily
through subsidiaries) in the commercial banking business with its principal
office located at 270 Park Avenue, New York, New York 10017. Set forth in
Schedule C hereto and incorporated herein by reference are the names, business
addresses, principal occupations and employments of each executive officer and
director of JP Morgan Chase.
6
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
SCHEDULE A
J.P. MORGAN PARTNERS (SBIC 23A MANAGER), INC.
EXECUTIVE OFFICERS(1)
President Jeffrey C. Walker*
Executive Vice President Mitchell J. Blutt, M.D.*
Executive Vice President Arnold L. Chavkin*
Executive Vice President John M.B. O'Connor*
Managing Director Dr. Dana Beth Ardi*
Managing Director John R. Baron*
Managing Director Christopher C. Behrens*
Managing Director David S. Britts*
Managing Director Julie Casella-Esposito*
Managing Director Jerome Colonna*
Managing Director Rodney A. Ferguson*
Managing Director David L. Ferguson*
Managing Director David Gilbert*
Managing Director Eric A. Green*
Managing Director Michael R. Hannon*
Managing Director Donald J. Hofmann, Jr. *
Managing Director W. Brett Ingersoll*
Managing Director Alfredo Irigoin*
Managing Director Andrew Kahn*
Managing Director Jonathan R. Lynch*
Managing Director Thomas G. Mendell*
Managing Director Stephen P. Murray*
Managing Director Timothy Purcell*
Managing Director Faith Rosenfeld*
Managing Director Robert R. Ruggiero, Jr. *
Managing Director Susan L. Segal*
Managing Director Kelly Shackelford*
Managing Director Shahan D. Soghikian*
Managing Director Patrick J. Sullivan*
Managing Director Timothy J. Walsh*
Managing Director Richard D. Waters, Jr. *
Managing Director Damion E. Wicker, M.D.*
Managing Director Eric R. Wilkinson*
Senior Vice President Marcia Bateson*
Senior Vice President and Assistant Secretary Mounir Nahas*
Senior Vice President and Assistant Secretary Stephen Skoczylas*
Senior Vice President, Treasurer and Assistant Secretary Elisa R. Stein*
Vice President and Assistant Secretary Jeffrey Glatt*
Vice President and Assistant Secretary Puneet Gulati*
Vice President and Assistant Secretary Sandra King*
Vice President and Assistant Secretary Scott Kraemer*
Secretary Anthony J. Horan**
Assistant Secretary Robert C. Caroll**
Assistant Secretary Denise G. Connors**
--------
(1) Each of whom is a United States citizen except for Messrs. Britts, Irigoin,
and Soghikian.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
7
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
DIRECTORS(1)
Jeffrey C. Walker*
--------
(1) Each of whom is a United States citizen.
* Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York, New York 10020.
** Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
8
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
SCHEDULE B
THE CHASE MANHATTAN BANK
EXECUTIVE OFFICERS(1)
Chairman of the Board and Chief Executive Officer William B. Harrison Jr.*
Vice Chairman; Co-Chief Executive Officer, Investment Bank Geoffrey T. Boisi *
Vice Chairman; Head of Retail and Middle Market, Financial
Services and Management and Private Banking David A. Coulter*
Director of Human Resources John J. Farrell*
Vice Chairman; Chairman, Investment Bank Walter A. Gubert*
Vice Chairman Thomas B. Ketchum*
Director of Corporate Marketing and Communications Frederick W. Hill*
Vice Chairman; Co-Chief Executive Officer, Investment Bank Donald H. Layton*
Vice Chairman James B. Lee Jr. *
General Counsel William H. McDavid*
Vice Chairman; Head of Finance, Risk Management and Administration Marc J. Shapiro*
Vice Chairman Jeffrey C. Walker**
Executive Vice President; General Auditor William J. Moran*
Chief Financial Officer Dina Dublon*
Executive Vice President; Head of Market Risk Management Lesley Daniels Webster*
Managing Director; Corporate Treasurer David B. Edelson*
Managing Director; Head of Credit Risk Policy Suzanne Hammett*
Corporate Secretary Anthony James Horan*
Senior Vice President; Chief Compliance Officer Gregory S. Meredith*
Controller Joseph L. Scalfani*
Assistant Corporate Secretary James C. Berry*
DIRECTORS(1)
PRINCIPAL OCCUPATION OR EMPLOYMENT;
NAME BUSINESS OR RESIDENCE ADDRESS
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Hans W. Becherer Retired Chairman of the Board and
Chief Executive Officer
Deere & Company
One John Deere Place
Moline, IL 61265
--------------------------------------------------------------------------------
Riley P. Bechtel Chairman and Chief Executive Officer
Bechtel Group, Inc.
P.O. Box 193965
San Francisco, CA 94119-3965
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Frank A. Bennack, Jr. President and Chief Executive Officer
The Hearst Corporation
959 Eighth Avenue
New York, New York 10019
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(1) Each of whom is a United States citizen.
* Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
** Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York New York 10020.
9
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
PRINCIPAL OCCUPATION OR EMPLOYMENT;
NAME BUSINESS OR RESIDENCE ADDRESS
--------------------------------------------------------------------------------
Lawrence A. Bossidy Chairman of the Board
Honeywell International
P.O. Box 3000
Morristown, NJ 07962-2245
--------------------------------------------------------------------------------
M. Anthony Burns Chairman of the Board
Ryder System, Inc.
3600 N.W. 82nd Avenue
Miami, Florida 33166
--------------------------------------------------------------------------------
H. Laurence Fuller Retired Co-Chairman
BP Amoco p.l.c.
1111 Warrenville Road, Suite 25
Chicago, Illinois 60563
--------------------------------------------------------------------------------
Ellen V. Futter President and Trustee
American Museum of Natural History
Central Park West at 79th Street
New York, NY 10024
--------------------------------------------------------------------------------
William H. Gray, III President and Chief Executive Officer
The College Fund/UNCF
9860 Willow Oaks Corporate Drive
P.O. Box 10444
Fairfax, Virginia 22031
--------------------------------------------------------------------------------
William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer
J.P. Morgan Chase & Co.
270 Park Avenue, 8th Floor
New York, New York 10017-2070
--------------------------------------------------------------------------------
Helene L. Kaplan Of Counsel
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, New York 10036
--------------------------------------------------------------------------------
Lee R. Raymond Chairman of the Board and Chief Executive Officer
Exxon Mobil Corporation
5959 Las Colinas Boulevard
Irving, TX 75039-2298
--------------------------------------------------------------------------------
John R. Stafford Chairman of the Board
American Home Products Corporation
5 Giralda Farms
Madison, New Jersey 07940
--------------------------------------------------------------------------------
Lloyd D. Ward Chief Executive Officer
U.S. Olympic Committee
One Olympic Plaza
Colorado Springs, CO 80909
--------------------------------------------------------------------------------
Marina v.N. Whitman Professor of Business Administration and Public Policy
The University of Michigan
School of Public Policy
411 Lorch Hall, 611 Tappan Street
Ann Arbor, MI 48109-1220
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10
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
SCHEDULE C
J.P. MORGAN CHASE & CO.
EXECUTIVE OFFICERS(1)
Chairman of the Board and Chief Executive Officer William B. Harrison Jr.*
Vice Chairman; Co-Chief Executive Officer, Investment Bank Geoffrey T. Boisi *
Vice Chairman; Head of Retail and Middle Market, Financial David A. Coulter*
Services and Management and Private Banking
Director of Human Resources John J. Farrell*
Vice Chairman; Chairman, Investment Bank Walter A. Gubert*
Vice Chairman Thomas B. Ketchum*
Director of Corporate Marketing and Communications Frederick W. Hill*
Vice Chairman; Co-Chief Executive Officer, Investment Bank Donald H. Layton*
Vice Chairman James B. Lee Jr. *
General Counsel William H. McDavid*
Vice Chairman; Head of Finance, Risk Management and Administration Marc J. Shapiro*
Vice Chairman Jeffrey C. Walker**
Executive Vice President; General Auditor William J. Moran*
Chief Financial Officer Dina Dublon*
Executive Vice President; Head of Market Risk Management Lesley Daniels Webster*
Managing Director; Corporate Treasurer David B. Edelson*
Managing Director; Head of Credit Risk Policy Suzanne Hammett*
Corporate Secretary Anthony James Horan*
Senior Vice President; Chief Compliance Officer Gregory S. Meredith*
Controller Joseph L. Scalfani*
Assistant Corporate Secretary James C. Berry*
DIRECTORS(1)
PRINCIPAL OCCUPATION OR EMPLOYMENT;
NAME BUSINESS OR RESIDENCE ADDRESS
--------------------------------------------------------------------------------
Hans W. Becherer Retired Chairman of the Board and
Chief Executive Officer
Deere & Company
One John Deere Place
Moline, IL 61265
--------------------------------------------------------------------------------
Riley P. Bechtel Chairman and Chief Executive Officer
Bechtel Group, Inc.
P.O. Box 193965
San Francisco, CA 94119-3965
--------------------------------------------------------------------------------
Frank A. Bennack, Jr. President and Chief Executive Officer
The Hearst Corporation
959 Eighth Avenue
New York, New York 10019
--------------------------------------------------------------------------------
--------
(1) Each of whom is a United States citizen.
* Principal occupation is employee or officer of J.P. Morgan Chase & Co.
Business address is c/o J.P. Morgan Chase & Co., 270 Park Avenue, New York,
New York 10017.
** Principal occupation is employee and/or officer of J.P. Morgan Partners,
LLC. Business address is c/o J.P. Morgan Partners, LLC, 1221 Avenue of the
Americas, New York New York 10020.
11
SCHEDULE 13G
ISSUER: VI Technologies, Inc. CUSIP NO.: 917920100
PRINCIPAL OCCUPATION OR EMPLOYMENT;
NAME BUSINESS OR RESIDENCE ADDRESS
-------------------------------------------------------------------------------
Lawrence A. Bossidy Chairman of the Board
Honeywell International
P.O. Box 3000
Morristown, NJ 07962-2245
--------------------------------------------------------------------------------
M. Anthony Burns Chairman of the Board
Ryder System, Inc.
3600 N.W. 82nd Avenue
Miami, Florida 33166
--------------------------------------------------------------------------------
H. Laurence Fuller Retired Co-Chairman
BP Amoco p.l.c.
1111 Warrenville Road, Suite 25
Chicago, Illinois 60563
--------------------------------------------------------------------------------
Ellen V. Futter President and Trustee
American Museum of Natural History
Central Park West at 79th Street
New York, NY 10024
--------------------------------------------------------------------------------
William H. Gray, III President and Chief Executive Officer
The College Fund/UNCF
9860 Willow Oaks Corporate Drive
P.O. Box 10444
Fairfax, Virginia 22031
--------------------------------------------------------------------------------
William B. Harrison, Jr. Chairman of the Board and Chief Executive Officer
J.P. Morgan Chase & Co.
270 Park Avenue, 8th Floor
New York, New York 10017-2070
--------------------------------------------------------------------------------
Helene L. Kaplan Of Counsel
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, New York 10036
--------------------------------------------------------------------------------
Lee R. Raymond Chairman of the Board and Chief Executive Officer
Exxon Mobil Corporation
5959 Las Colinas Boulevard
Irving, TX 75039-2298
--------------------------------------------------------------------------------
John R. Stafford Chairman of the Board
American Home Products Corporation
5 Giralda Farms
Madison, New Jersey 07940
--------------------------------------------------------------------------------
Lloyd D. Ward Chief Executive Officer
U.S. Olympic Committee
One Olympic Plaza
Colorado Springs, CO 80909
--------------------------------------------------------------------------------
Marina v.N. Whitman Professor of Business Administration and Public Policy
The University of Michigan
School of Public Policy
411 Lorch Hall, 611 Tappan Street
Ann Arbor, MI 48109-1220
--------------------------------------------------------------------------------
12