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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ____)* Alexion Pharmaceuticals, Inc. (Name of Issuer) Common Stock Par Value $.0001 (Title of Class of Securities) 015351109 (CUSIP Number) *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). Cusip No. 015351109 13G Page 2 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Investment Partners V, Limited Partnership 06-1332464 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power 511,187 shares of common stock Shares Bene- ficially (6) Shared Voting Power Not applicable Owned by Each (7) Sole Dispositive Power 511,187 shares of common stock Reporting Person With (8) Shared Dispositive Power Not applicable - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 511,187 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 015351109 13G Page 3 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Associates V, Limited Partnership 06-1332465 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Bene- (6) Shared Voting Power 511,187 shares of common stock ficially Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 511,187 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 511,187 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 015351109 13G Page 4 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak V Affiliates Fund, Limited Partnership 06-1334685 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power 11,497 shares of common stock Shares Bene- (6) Shared Voting Power Not applicable ficially Owned by Each (7) Sole Dispositive Power 11,497 shares of common stock Reporting Person With (8) Shared Dispositive Power Not applicable - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 11,497 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 0.2% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 015351109 13G Page 5 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak V Affiliates 06-1334685 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Bene- (6) Shared Voting Power 11,497 shares of common stock ficially Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 11,497 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 11,497 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 0.2% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 015351109 13G Page 6 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Management Corporation 06-0990851 - -------------------------------------------------------------------------------- 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 Delaware - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Bene- (6) Shared Voting Power 522,684 shares of ficially common stock Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 522,684 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO Cusip No. 015351109 13G Page 7 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Bandel L. Carano - -------------------------------------------------------------------------------- 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 (5) Sole Voting Power Not applicable Shares Bene- (6) Shared Voting Power 522,684 shares of ficially common stock Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 522,684 shares of With common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 015351109 13G Page 8 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Gerald R. Gallagher - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- (5) Sole Voting Power Not applicable Number of Shares (6) Shared Voting Power 522,684 shares of common stock Beneficially Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 522,684 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 015351109 13G Page 9 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Edward F. Glassmeyer - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- (5) Sole Voting Power Not applicable Number of Shares (6) Shared Voting Power 522,684 shares of common stock Beneficially Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 522,684 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 015351109 13G Page 10 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Fredric W. Harman - -------------------------------------------------------------------------------- 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 (5) Sole Voting Power Not applicable Shares Bene- (6) Shared Voting Power 522,684 shares of ficially common stock Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 522,684 shares of With common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 015351109 13G Page 11 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Ann H. Lamont - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- (5) Sole Voting Power Not applicable Number of Shares (6) Shared Voting Power 522,684 shares of common stock Beneficially Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person With (8) Shared Dispositive Power 522,684 shares of common stock - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 015351109 13G Page 12 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Eileen M. More - -------------------------------------------------------------------------------- 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 (5) Sole Voting Power Not applicable Bene- ficially (6) Shared Voting Power 522,684 shares of common stock Owned by Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 522,684 shares of common stock With - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 522,684 shares of common stock - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 7.0% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Page 13 of 19 pages Schedule 13G Common Stock, Par Value $.0001 CUSIP No. 015351109 Item 1(a) Name of Issuer: Alexion Pharmaceuticals, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 25 Science Park, Suite 360 New Haven, CT 06511 Item 2(a) Name of Person filing: Oak Investment Partners V, Limited Partnership Oak Associates V, Limited Partnership Oak V Affiliates Fund, Limited Partnership Oak V Affiliates Oak Management Corporation Bandel L. Carano Gerald R. Gallagher Edward F. Glassmeyer Fredric W. Harman Ann H. Lamont Eileen M. More Item 2(b) Address of Principal Business Office or, if none, Residence: c/o Oak Management Corporation One Gorham Island Westport, CT 06880 Item 2(c) Citizenship: Please refer to Item 4 on each cover sheet for each filing person Item 2(d) Title of Class of Securities: Common stock, $.0001 par value Item 2(e) CUSIP Number: 015351109 Item 3 Not Applicable. Item 4 Ownership. The approximate percentages of shares of Common Stock reported as beneficially owned by the Reporting Entities is based upon 7,339,084 shares outstanding as of December 9, 1996, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended September 28, 1996, plus the shares issuable upon exercise of the options described in the following sentence. Amounts shown as beneficially owned include (i) currently exercisable warrants to purchase 76,406 shares of Common Stock and 1,718 shares of Common Stock held by Oak Investment Partners V, Limited Partnership, and Oak V Affiliates Fund, Limited Partnership, respectively, and (ii) currently exercisable options to purchase 26,210 shares of Common Stock and 590 shares of Common Stock which may be deemed to be held by Eileen M. More on behalf of Oak Investment Partners V, Limited Partnership, and Oak V Affiliates Fund, Limited Partnership, respectively. Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing entity. 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 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. Dated February 13, 1997 Oak Investment Partners V, Limited Partnership By: Oak Associates V, Limited Partnership, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------- General Partner Oak Associates V, Limited Partnership By: /s/ Edward F. Glassmeyer ------------------------------- General Partner Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------- General Partner Oak V Affiliates By: /s/ Edward F. Glassmeyer ------------------------------- General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ------------------------------------ Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ------------------------------------ Bandel L. Carano /s/ Fredric W. Harman ------------------------------------ Fredric W. Harman /s/ Gerald R. Gallagher ------------------------------------ Gerald R. Gallagher /s/ Edward F. Glassmeyer ------------------------------------ Edward F. Glassmeyer /s/ Ann H. Lamont ------------------------------------ Ann H. Lamont /s/ Eileen M. More ------------------------------------ Eileen M. More INDEX TO EXHIBITS ----------------- Page ---- EXHIBIT A Agreement of Reporting Persons 18
Exhibit A --------- Each of the undersigned hereby agrees that the Schedule 13G filed on the date hereof with respect to the shares of Common Stock of Alexion Pharmaceuticals, Inc. has been filed on behalf of the undersigned. Signature: - ---------- Dated February 13, 1997 Oak Investment Partners V, Limited Partnership By: Oak Associates V, Limited Partnership, As General Partner By: /s/ Edward F. Glassmeyer ----------------------------- General Partner Oak Associates V, Limited Partnership By: /s/ Edward F. Glassmeyer ------------------------------ General Partner Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------- General Partner Oak V Affiliates By: /s/ Edward F. Glassmeyer ------------------------------- General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ------------------------------------ Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ------------------------------------ Bandel L. Carano /s/ Fredric W. Harman ------------------------------------ Fredric W. Harman /s/ Gerald R. Gallagher ------------------------------------ Gerald R. Gallagher /s/ Edward F. Glassmeyer ------------------------------------ Edward F. Glassmeyer /s/ Ann H. Lamont ------------------------------------ Ann H. Lamont /s/ Eileen M. More ------------------------------------ Eileen M. More