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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(h) of the Investment Company Act of 1940
(Print of Type Responses)
________________________________________________________________________________
1. Name and Address of Reporting Person*
Credit Suisse First Boston, on behalf of the Credit Suisse
First Boston business unit
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(Last) (First) (Middle)
Eleven Madison Avenue
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(Street)
New York, NY 10010
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
2/3/2003
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3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
________________________________________________________________________________
4. Issuer Name and Ticker or Trading Symbol
Nuvelo, Inc. (NUVO)
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|_| Director |_| 10% Owner
|_| Officer (give title below) |X| Other (specify below)
See note (1).
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6. If Amendment, Date of Original (Month/Day/Year)
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check Applicable line)
|X| Form filed by One Reporting Person
|_| Form filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5)
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Common Stock 511,384 I (2) (7), (10), (11), (12), (13)
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Common Stock 4,018,570 I (3) (8), (9), (12), (13)
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Common Stock 352,578 I (4) (8), (9), (12), (13)
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Common Stock 19,598 I (5) (9), (12), (13)
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Common Stock 1,857,782 D (6) (8), (9), (12), (13)
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
Persons who respond to the collection of information contained in this form are not required to respond unless
the form displays a currently vaild OMB Number.
(over)
SEC 1473 (02-02)
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Securities:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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Warrants Immed. 7/30/2004 Common Stock 54,655 $1.66 I (2) (7), (10),
(11), (12),
(13)
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Warrants Immed. 7/30/2004 Common Stock 628,092 $1.66 I (3) (8), (9),
(12), (13)
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Warrants Immed. 7/30/2004 Common Stock 37,686 $1.66 I (4) (8), (9),
(12), (13)
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Warrants Immed. 7/30/2004 Common Stock 2,095 $1.66 I (5) (9),
(12), (13)
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Explanation of Responses: See Attachement A for footnotes
Credit Suisse First Boston, on behalf of the Credit Suisse
First Boston business unit
/s/ Ivy B. Dodes 3/17/2003
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**Signature of Reporting Person Date
By: Ivy B. Dodes, Managing Director
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
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.
Page 2
Attachment A
(1) Philippe O. Chambon, a general partner of Sprout Capital VIII,
L.P., a Delaware limited partnership, is a director of the Issuer. See also (3),
(8), (9), (12), and (13).
(2) Held by Wells Fargo Bank Indiana, N.A., as trustee, in a voting
trust, of which DLJ ESC II, L.P. ("ESC II"), a Delaware limited partnership, is
beneficiary.
(3) Held by Wells Fargo Bank Indiana, N.A., as trustee, in a voting
trust, of which Sprout Capital VIII, L.P. ("Sprout Capital VIII"), a Delaware
limited partnership, is beneficiary.
(4) Held by Wells Fargo Bank Indiana, N.A., as trustee, in a voting
trust, of which Sprout Venture Capital, L.P. ("Sprout VC"), a Delaware limited
partnership, is beneficiary.
(5) Held by Wells Fargo Bank Indiana, N.A., as trustee, in a voting
trust, of which DLJ Capital Corporation ("DLJCC"), a Delaware corporation, is
beneficiary.
(6) These securities are held directly by Sprout Capital VIII.
(7) DLJ LBO Plans Management Corporation ("DLJLBO"), a Delaware
corporation, is the managing general partner of ESC II.
(8) DLJCC is the managing general partner of each of Sprout Capital
VIII and Sprout VC.
(9) DLJCC is a wholly-owned subsidiary of Credit Suisse First Boston
(USA), Inc. ("CSFB-USA"), a Delaware corporation formerly known as Donaldson,
Lufkin & Jenrette, Inc.
(10) DLJLBO is a wholly-owned subsidiary of Credit Suisse First Boston
Private Equity, Inc. ("CSFBPE"), a Delware corporation.
(11) CSFBPE is a wholly-owned subsidary of CSFB-USA.
(12) Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware
corporation, owns all of the voting stock of CSFB-USA.
(13) This Form 3 is being filed by Credit Suisse First Boston (the
"Bank"), a Swiss bank, on behalf of itself and its subsidiaries, to the extent
that they constitute the Credit Suisse First Boston business unit (the "CSFB
business unit") excluding Asset Management (as defined below) (the "Reporting
Person"). The CSFB business unit is also comprised of an asset management
business principally conducted under the brand name Credit Suisse Asset
Management ("Asset Management"). The Reporting Person provides financial
advisory and capital raising services, sales and trading for users and suppliers
of capital around the world and invests in and manages private equity and
venture capital funds. Asset Management provides asset management and investment
advisory services to institutional, mutual fund and private investors worldwide.
The address of the Bank's principal business and office is Uetlibergstrasse 231,
P.O. Box 900, CH 8070 Zurich, Switzerland. The address of the Reporting Person's
principal business and office in the United States is Eleven Madison Avenue, New
York, New York 10010.
The Bank owns directly a majority of the voting stock, and all of the
non-voting stock, of CSFBI. The ultimate parent company of the Bank and CSFBI,
and the direct owner of the remainder of the voting stock of CSFBI, is Credit
Suisse Group ("CSG"), a corporation formed under the laws of Switzerland.
CSG is a global financial services company with two distinct business
units. In addition to the CSFB business unit, CSG and its consolidated
subsidiaries are comprised of the Credit Suisse Financial Services business unit
(the "Credit Suisse Financial Services business unit"). CSG's business address
is Paradeplatz 8, P.O. Box 1, CH 8070 Zurich, Switzerland.
CSG, for purposes of the federal securities laws, may be deemed
ultimately to control the Bank and the Reporting Person. CSG, its executive
officers and directors, and its direct and indirect subsidiaries (including
Asset Management and the Credit Suisse Financial Services business unit) may
beneficially own shares of Common Stock and Warrants to which this Statement
relates and such shares and Warrants are not reported in this Statement. CSG
disclaims beneficial ownership of Common Stock and Warrants beneficially owned
by its direct and indirect subsidiaries, including the Reporting Person. The
Reporting Person disclaims beneficial ownership of Common Stock and Warrants
beneficially owned by CSG, Asset Management and the Credit Suisse Financial
Services business unit. Philippe O. Chambon disclaims beneficial ownership of
Common Stock and Warrants beneficially owned by CSG and CSG's direct and
indirect subsidiaries, including the Reporting Person, other than those shares
of Common Stock and Warrants (the "Sprout Capital VIII Securities") reported as
held directly by Sprout Capital VIII, of which Mr. Chambon is a general partner.
The Reporting Person also disclaims beneficial ownership of Common Stock and
Warrants beneficially owned by Mr. Chambon, other than the Sprout Capital VIII
Securities. Other than the Sprout Capital VIII Securities, the Reporting Person
disclaims beneficial ownership of all shares of Common Stock and Warrants
reported herein, except to the extent of its pecuniary interest in such shares
and Warrants.