UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
ACLARA BioSciences, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
00461P 10 6
(CUSIP Number)
Thomas P. Livingston, Esq.
Applera Corporation
(Formerly PE Corporation)
301 Merritt 7
Norwalk, CT 06851-1070
(203) 840-2000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 2, 2003
(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
[ ].
NOTE. Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties
to whom copies are to be sent.
*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).
(Continued on following pages)
Page 1 of 9 Pages
CUSIP No. 00461P 10 6 13D Page 2 of 9 Pages
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Applera Corporation (formerly PE Corporation)
06-1534213
---------- ---------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS) (a) [_]
(b) [x]
---------- ---------------------------------------------------------------------
3 SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC
---------- ---------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [_]
---------- ---------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
---------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 2,027,880
SHARES ------ ----------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY ------ ----------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 2,027,880
PERSON ------ ----------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
2,027,880
---------- ---------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_]
---------- ---------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.7%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
---------- ---------------------------------------------------------------------
CUSIP No. 00461P 10 6 13D Page 3 of 9 Pages
---------- ---------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
PE Corporation (NY) (Formerly The Perkin-Elmer Corporation)
06-0490270
---------- ---------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(SEE INSTRUCTIONS) (a) [_]
(b) [x]
---------- ---------------------------------------------------------------------
3 SEC USE ONLY
---------- ---------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC
---------- ---------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [_]
---------- ---------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
---------- ---------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES ------ ----------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY ------ ----------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON ------ ----------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
0
---------- ---------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_]
---------- ---------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
---------- ---------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
---------- ---------------------------------------------------------------------
CUSIP No. 00461P 10 6 13D Page 4 of 9 Pages
This Amendment No. 1 to Schedule 13D relating to shares of common
stock, par value $.001 per share (the "Issuer Common Stock") of ACLARA
BioSciences, Inc. (the "Issuer"), a Delaware corporation, is being filed to
report that (i) PE Corporation (NY) has sold shares of Issuer Common Stock, and
(ii) PE Corporation (NY) is no longer the beneficial owner of any Issuer Common
Stock as a result of a transfer of the Issuer Common Stock held by it after such
sales to its parent company Applera Corporation. Reference is made to the
Schedule 13D filed by the reporting persons (under their former names PE
Corporation and The Perkin-Elmer Corporation) with the Securities and Exchange
Commission on April 3, 2000. Items not included in this Amendment No. 1 to
Schedule 13D are either not amended or not applicable.
Item 2. Identity and Background.
This Amendment No. 1 to Schedule 13D is being filed by Applera
Corporation, a Delaware corporation formerly named PE Corporation, and PE
Corporation (NY), a New York corporation formerly named The Perkin-Elmer
Corporation and a wholly-owned subsidiary of Applera Corporation (each, a
"Reporting Person"). The principal offices of the Reporting Persons are located
at 301 Merritt 7, Norwalk, Connecticut, 06851-1070.
Applera Corporation conducts its business through three business
segments: The Applied Biosystems group; the Celera Genomics group; and Celera
Diagnostics, a 50/50 joint venture between the Applied Biosystems group and the
Celera Genomics group. The Applied Biosystems group serves the life science
industry and research community by developing and marketing instrument-based
systems, consumables, software, and services. Customers use these tools to
analyze nucleic acids (DNA and RNA), small molecules, and proteins to make
scientific discoveries, develop new pharmaceuticals, and conduct standardized
testing. The Celera Genomics group is engaged principally in integrating
advanced technologies to discover and develop new therapeutics. The Celera
Genomics group intends to leverage its proteomic, bioinformatic, and genomic
capabilities to identify and validate drug targets, and to discover and develop
new therapeutics. Celera Diagnostics is focused on discovery, development, and
commercialization of novel diagnostic products.
Applera Corporation previously conducted its businesses indirectly
through PE Corporation (NY) and other subsidiaries. However, effective June 28,
2002, the Reporting Persons entered into a plan of liquidation for the purpose
of effecting the liquidation of PE Corporation (NY) into Applera Corporation. In
furtherance of such plan of liquidation, effective December 8, 2003, PE
Corporation (NY) transferred all of the shares of Issuer Common Stock held by it
to Applera Corporation and no longer beneficially owns any shares of Issuer
Common Stock.
The name, address, present principal occupation or employment, and
citizenship of each director and executive officer of Applera Corporation and PE
Corporation (NY) are set forth on Schedule I hereto and are incorporated herein
by reference.
CUSIP No. 00461P 10 6 13D Page 5 of 9 Pages
During the past five years, neither Reporting Person nor, to the
knowledge of either Reporting Person, any of their directors or executive
officers: (i) has been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors) or (ii) was a party to a civil proceeding of
a judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final order enjoining
future violations of, or prohibiting or mandating activities subject to, federal
or state securities laws or finding any violation with respect to such laws.
Item 5. Interest in Securities of Issuer.
(a) As a result of the transfer by PE Corporation (NY) of the shares of
Issuer Common Stock held by it to Applera Corporation as described above in Item
2 above, as of the date hereof, PE Corporation (NY) no longer beneficially owns
any shares of Issuer Common Stock, and Applera Corporation beneficially owns an
aggregate of 2,027,880 shares of Issuer Common Stock representing 5.7% of the
issued and outstanding shares of Issuer Common Stock (based on the number of
shares outstanding as contained in the Issuer's most recently available filing
with the Securities and Exchange Commission). As of the date hereof, neither
Reporting Person nor, to the knowledge of either Reporting Person, any of their
directors or executive officers otherwise beneficially owns any shares of Issuer
Common Stock.
(b) As a result of the transfer by PE Corporation (NY) of the shares of
Issuer Common Stock held by it to Applera Corporation as described above in Item
2 above, Applera Corporation has sole voting and sole dispositive power with
respect to all shares of Issuer Common Stock which are owned by Applera
Corporation.
(c) PE Corporation (NY) sold the following number of shares of Issuer
Common Stock on the following dates at the average prices per share set forth in
the following table:
-------------- ------------------------------ ---------------------------------
Date No. of Shares Average Price Per Share
-------------- ------------------------------ ---------------------------------
10/1/2003 10,600 4.264
-------------- ------------------------------ ---------------------------------
10/2/2003 30,000 4.259
-------------- ------------------------------ ---------------------------------
10/3/2003 12,500 4.504
-------------- ------------------------------ ---------------------------------
10/6/2003 20,000 4.338
-------------- ------------------------------ ---------------------------------
10/7/2003 7,400 4.311
-------------- ------------------------------ ---------------------------------
10/8/2003 10,000 4.106
-------------- ------------------------------ ---------------------------------
10/9/2003 10,000 4.050
-------------- ------------------------------ ---------------------------------
10/10/2003 10,000 3.779
-------------- ------------------------------ ---------------------------------
10/13/2003 9,000 3.952
-------------- ------------------------------ ---------------------------------
10/14/2003 10,000 3.983
-------------- ------------------------------ ---------------------------------
10/15/2003 22,199 4.003
-------------- ------------------------------ ---------------------------------
10/16/2003 5,400 3.950
-------------- ------------------------------ ---------------------------------
CUSIP No. 00461P 10 6 13D Page 6 of 9 Pages
-------------- ------------------------------ ---------------------------------
10/17/2003 10,000 3.892
-------------- ------------------------------ ---------------------------------
10/20/2003 7,500 3.727
-------------- ------------------------------ ---------------------------------
10/21/2003 25,000 3.555
-------------- ------------------------------ ---------------------------------
10/22/2003 15,000 3.543
-------------- ------------------------------ ---------------------------------
10/23/2003 10,000 3.503
-------------- ------------------------------ ---------------------------------
10/24/2003 5,000 3.500
-------------- ------------------------------ ---------------------------------
10/27/2003 2,500 3.506
-------------- ------------------------------ ---------------------------------
10/28/2003 5,901 3.504
-------------- ------------------------------ ---------------------------------
11/10/2003 15,000 3.506
-------------- ------------------------------ ---------------------------------
11/11/2003 13,700 3.514
-------------- ------------------------------ ---------------------------------
11/12/2003 15,370 3.584
-------------- ------------------------------ ---------------------------------
11/13/2003 10,000 3.500
-------------- ------------------------------ ---------------------------------
11/14/2003 3,000 3.480
-------------- ------------------------------ ---------------------------------
11/17/2003 4,000 3.329
-------------- ------------------------------ ---------------------------------
11/18/2003 2,000 3.250
-------------- ------------------------------ ---------------------------------
11/19/2003 2,000 3.250
-------------- ------------------------------ ---------------------------------
11/20/2003 2,000 3.350
-------------- ------------------------------ ---------------------------------
11/21/2003 700 3.250
-------------- ------------------------------ ---------------------------------
11/24/2003 4,043 3.282
-------------- ------------------------------ ---------------------------------
11/25/2003 1,100 3.250
-------------- ------------------------------ ---------------------------------
12/1/2003 5,000 3.250
-------------- ------------------------------ ---------------------------------
12/2/2003 62,900 3.4174
-------------- ------------------------------ ---------------------------------
12/3/2003 109,600 3.5876
-------------- ------------------------------ ---------------------------------
12/4/2003 30,000 3.4751
-------------- ------------------------------ ---------------------------------
12/5/2003 100,000 3.5513
-------------- ------------------------------ ---------------------------------
12/8/2003 100,000 3.6691
-------------- ------------------------------ ---------------------------------
All of such sales were effected by UBS Securities LLC on behalf of the PE
Corporation (NY) through the NASDAQ National Market. Except as set forth in this
Section 5(c), there have not been any transactions in Issuer Common Stock
effected by or for the account of the Reporting Persons or, to the knowledge of
the Reporting Persons, any of their directors or executive officers, during the
past 60 days.
(d) As a result of the transfer by PE Corporation (NY) of the shares of
Issuer Common Stock held by it to Applera Corporation as described in Item 2
above, no person other than Applera Corporation has the right to receive or the
power to direct the receipt of dividends from, or the proceeds from the sale of,
shares of Issuer Common Stock owned by Applera Corporation.
(e) As a result of the transfer by PE Corporation (NY) of the shares of
Issuer Common Stock held by it to Applera Corporation as described in Item 2
above, PE Corporation (NY) ceased to be the beneficial owner of any shares of
Issuer Common Stock as of December 8, 2003.
CUSIP No. 00461P 10 6 13D Page 7 of 9 Pages
Item 6. Contracts, Arrangements, Undertakings or Relationships with Respect to
Securities of the Issuer.
Applera Corporation, as successor to PE Corporation (NY), is a party to
an Amended and Restated Investor Rights Agreement dated as of December 30, 1999,
pursuant to which the Issuer has granted to certain of its stockholders,
including Applera Corporation, certain rights with respect to the Issuer Common
Stock held by such stockholders. Except as provided above in this Item 6,
neither Reporting Person nor, to the knowledge of either Reporting Person, any
of their directors of executive officers, has any contracts, arrangements,
understandings or relationships (legal or otherwise) with any person with
respect to any securities of the Issuer, including, but not limited to, transfer
or voting of any securities of the Issuer, finder's fees, joint ventures, loan
or option arrangements, puts or calls, guarantees of profits, division of
profits or loss, or the giving or withholding of proxies.
CUSIP No. 00461P 10 6 13D Page 8 of 9 Pages
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.
APPLERA CORPORATION
By: /s/ William B. Sawch
-------------------------------------
William B. Sawch
Senior Vice President and General Counsel
PE CORPORATION (NY)
By: /s/ William B. Sawch
-------------------------------------
William B. Sawch
Senior Vice President and General Counsel
Dated: December 9, 2003
CUSIP No. 00461P 10 6 13D Page 9 of 9 Pages
Schedule I
All persons named below have a business address at 301 Merritt 7,
Norwalk, CT 06851-1070 except as set forth below. All persons named below are
U.S. citizens except Jean-Luc Belingard who is a French citizen.
Directors of Applera Corporation
--------------------------------
Name Principal Occupation/Employment
---- -------------------------------
Mr. Tony L. White Chairman, President and Chief Executive
Officer, Applera Corporation
Mr. Richard H. Ayers Retired
Mr. Jean-Luc Belingard President and Chief Executive Officer, Ipsen Group
Dr. Robert H. Hayes Professor, Emeritus, Harvard Business School
Dr. Arnold J. Levine Visiting Professor, Institute for Advanced Study
Mr. William H. Longfield Retired
Mr. Theodore E. Martin Retired
Dr. Carolyn W. Slayman Professor and Deputy Dean, Yale University School
of Medicine
Mr. Orin R. Smith Retired
Mr. James R. Tobin President and Chief Executive Officer,
Boston Scientific Corporation
Executive Officers of Applera Corporation and PE Corporation (NY)
-----------------------------------------------------------------
Name Principal Occupation/Employment*
---- --------------------------------
Mr. Tony L. White Chairman, President and Chief Executive Officer
Dr. Robert F. G. Booth Vice President
Ms. Catherine M. Burzik Vice President
Mr. Ugo D. DeBlasi Vice President and Controller
Dr. Michael W. Hunkapiller Senior Vice President, and President,
Applied Biosystems Group
Mr. Vikram Jog Vice President
Mr. Robert C. Jones Vice President
Ms. Barbara J. Kerr Vice President
Mr. Sandeep Nayyar Assistant Controller
Ms. Kathy P. Ordonez Senior Vice President, and President,
Celera Genomics Group and Celera Diagnostics
Mr. Robert P. Ragusa Vice President
Mr. William B. Sawch Senior Vice President and General Counsel
Mr. Dennis L. Winger Senior Vice President and Chief Financial Officer
* Positions listed are Applera Corporation and PE Corporation (NY) corporate
offices.
Directors of PE Corporation (NY)
--------------------------------
Name Principal Occupation/Employment
---- -------------------------------
Ms. Wilma C. Howdle Senior Director, Tax Compliance,
Applera Corporation
Mr. Thomas P. Livingston Secretary, Applera Corporation
Mr. William B. Sawch Senior Vice President and General Counsel,
Applera Corporation