SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 2 TO SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 ALEXION PHARMACEUTICALS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.0001 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 015351109 (CUSIP Number) Mark H. Swartz Executive Vice President c/o Tyco International (US) Inc. One Tyco Park Exeter, NH 03833 (603) 778-9700 Michael W. Lyons Corporate Counsel United States Surgical Corporation 150 Glover Avenue Norwalk, Connecticut 06856 (203) 845-1000 with a copy to: Frederick W. Kanner, Esq. Dewey Ballantine LLP 1301 Avenue of the Americas New York, New York 10019-6092 (212) 259-8000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) OCTOBER 1, 1998 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-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. (Continued on following pages) (Page 1 of 9 Pages)
SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 015351109 PAGE 2 OF 9 PAGES ------------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: Tyco International Ltd. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Not Applicable - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) /_/ - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES BENEFICIALLY Not Applicable OWNED BY -------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING PERSON 824,087 (See Item 5) WITH -------------------------------------------------- 9 SOLE DISPOSITIVE POWER Not Applicable -------------------------------------------------- 10 SHARED DISPOSITIVE POWER 824,087 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 824,087 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /_/ Not Applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 015351109 PAGE 3 OF 9 PAGES ------------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON: United States Surgical Corporation S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 132518270 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* AF/WC - -------------------------------------------------------------------------------- 5 CHECK BOX 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 SHARES BENEFICIALLY Not Applicable OWNED BY -------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING PERSON 824,087 (See Item 5) WITH -------------------------------------------------- 9 SOLE DISPOSITIVE POWER Not Applicable -------------------------------------------------- 10 SHARED DISPOSITIVE POWER 824,087 (See Item 5) - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 824,087 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* /_/ Not Applicable - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
Tyco International Ltd., a Bermuda company ("Tyco") and United States Surgical Corporation, a Delaware corporation and an indirect wholly owned subsidiary of Tyco ("US Surgical") hereby further amend and supplement Statement on 13D previously filed by US Surgical (the "Schedule 13D") relating to the common stock $.0001 par value (the "Common Stock"), of Alexion Pharmaceuticals, Inc., a Delaware corporation (the "Issuer"), originally filed with the Securities and Exchange Commission (the "Commission") on February 29, 1996, as amended. The item numbers and responses thereto below are in accordance with the requirements of Schedule 13D. Unless otherwise indicated herein, each capitalized term used but not defined herein shall have the meaning assigned to such term in the Schedule 13D. The term Reporting Persons means Tyco and US Surgical. ITEM 2. IDENTITY AND BACKGROUND. Item 2 is hereby amended and supplemented by adding the following information with respect to Tyco as follows: (a) - (c) Tyco's registered offices are located at The Gibbons Building, 10 Queen Street, Hamilton HM11 Bermuda, and its telephone number is (441) 292-8674. The executive offices of Tyco International (US) Inc., Tyco's principal United States subsidiary, are located at One Tyco Park, Exeter, New Hampshire 03833, and its telephone number is (603) 778-9700. Tyco is a diversified manufacturing and service company that, through its subsidiaries, operates in four segments: (i) the manufacture and distribution of disposable medical supplies and other specialty products, and the conduct of vehicle auctions and related services; (ii) the design, manufacture, installation and service of fire detection and suppression systems, and the installation, monitoring and maintenance of electronic security systems; (iii) the design, manufacture and distribution of flow control products; and (iv) the design, manufacture and distribution of electrical and electronic components, and the design, manufacture, installation and service of undersea cable communication systems. The name, business address and present principal occupation or employment of each of the executive officers and directors of Tyco, are set forth on Schedule II annexed hereto, which is incorporated herein by reference. (d) - (e) During the last five years, none of Tyco, and, to the best knowledge of Tyco, none of the persons listed on Schedule II hereto, has been convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors) or has been 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. (f) Except as indicated on Schedule II each natural person identified in this amendment to Item 2 is a citizen of the United States. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Item 3 is hereby amended and supplemented by adding the following information with respect to Tyco as follows: Tyco acquired its beneficial ownership in the Common Stock of the Issuer as a (Page 4 of 9 Pages)
result of the consummation, on October 1, 1998, of the merger (the "Tyco/US Surgical Merger") of US Surgical with a subsidiary of Tyco. In the merger, each share of common stock of US Surgical was exchanged for 0.7606 common shares of Tyco. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) Number of Shares Beneficially Owned: As October 1, 1998, the Reporting Persons owned an aggregate of 824,087 shares of Common Stock of the Issuer. Based upon publicly available information, such shares represented 7.3% of the outstanding shares(1). (b) Sole or shared Power to Vote, Direct the Vote of, Dispose of, or Direct the Disposition of Shares: The Reporting Persons share the power to vote or to direct the vote, and share the power to dispose or to direct the disposition, of the Shares held by them. (c) Recent Transactions: Other than the indirect acquisition of the shares of Common Stock by Tyco as a result of the Tyco/US Surgical Merger, none of the Reporting Persons, as of October 1, 1998, had effected any transaction in the class of securities reported. (d) Rights with Respect to Dividends on Sales Proceeds: Not Applicable. (e) Date of Cessation of Five Percent Beneficial Ownership: Not Applicable. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Item 7 of the Schedule 13D is hereby amended and supplemented by the following: EXHIBIT NO. DESCRIPTION - ----------- ----------- 1 Agreement of Joint Filing pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended. - ------------------------------ (1) As of May 29, 1998, 11,225,112 Shares were outstanding. (Page 5 of 9 Pages)
SCHEDULE II EXECUTIVE OFFICERS AND DIRECTORS The name and present principal occupation or employment of each of the executive officers and directors of Tyco International Ltd. ("Tyco") are set forth below. NAME AND POSITION HELD CURRENT BUSINESS ADDRESS PRESENT PRINCIPAL OCCUPATION OR EMPLOYMENT ---------------------- ------------------------ ------------------------------------------ L. Dennis Kozlowski c/o Tyco International (US) Chairman of the Board, President and Chief Chairman of the Board, Inc. ("Tyco (US)") Executive Officer of Tyco President & Chief Executive One Tyco Park Officer Exeter, NH 03833 Michael A. Ashcroft P.O. Box 1598 Non-executive Chairman of BHI Corporation Director (citizen of Belize) Belize City, Belize Joshua M. Berman 919 Third Avenue Counsel to the law firm of Kramer, Levin, Director and Vice President New York, NY 10022 Naftalis & Frankel Richard S. Bodman 2 Wisconsin Circle Managing General Partner of AT&T Ventures LLC Director Suite 610 Chevy Chase, MD 20815 John F. Fort, III 2003 Milford Street Director of Tyco Director Houston, TX 77098 Steven W. Foss 380 Lafayette Rd. President of Foss Manufacturing Company, Inc. Director Hampton, NH 03842 Richard A. Gilleland 2829 Townsgate Rd. President of Tyco Healthcare Products Group Director Suite 101 West Lake Village, CA 91361 Phillip M. Hampton 152 West 57th Street Co-Managing Director of R.H. Arnold & Co. Director 44th Floor New York, NY 10019 James S. Pasman, Jr. 29 The Trillium Director of Tyco Director Pittsburgh, PA 15238 W. Peter Slusser One Citicorp Center President of Slusser Associates, Inc. Director Suite 5100 153 East 53rd Street New York, NY 10022 Frank E. Walsh, Jr. 330 South Street Chairman of Sandyhill Foundation Director Morristown, NJ 07962-1975 Jerry R. Boggess c/o Tyco (US) Vice President of Tyco (US) Vice President of Tyco (US) Three Tyco Park Exeter, NH 03833 (Page 6 of 9 Pages)
NAME AND POSITION HELD CURRENT BUSINESS ADDRESS PRESENT PRINCIPAL OCCUPATION OR EMPLOYMENT ---------------------- ------------------------ ------------------------------------------ David P. Brownell c/o Tyco (US) Senior Vice President of Tyco (US) Senior Vice President 1750 Clintmore Rd. P.O. Box 5034 Boca Raton, FL 33431 Robert P. Mead c/o Tyco (US) Vice President of Tyco (US) Vice President of Tyco (US) Three Tyco Park Exeter, NH 03833 Richard J. Meelia 15 Hampshire Street Vice President of Tyco (US) Vice President of Tyco (US) Mansfield, MA 02048 Mark H. Swartz c/o Tyco (US) Executive Vice President & Chief Financial Executive Vice President & One Tyco Park Officer of Tyco Chief Financial Officer Exeter, NH 03833 Mark A. Belnick c/o Tyco (US) Executive Vice President & Chief Corporate Executive Vice President & 712 Fifth Avenue - 48th Floor Counsel of Tyco Chief Corporate Counsel New York, NY 10019 (Page 7 of 9 Pages)
After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: January 21, 1999 TYCO INTERNATIONAL LTD. By: /s/ Mark H. Swartz ---------------------------------------- Name: Mark H. Swartz Title: Executive Vice President, Chief Financial Officer UNITED STATES SURGICAL CORPORATION By: /s/ Mark H. Swartz ---------------------------------------- Name: Mark H. Swartz Title:Vice President (Page 8 of 9 Pages)
Exhibit 1 Agreement of Joint Filing Pursuant to 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned persons hereby agree to file with the Securities and Exchange Commission the Statement on Schedule 13D (the "Statement") to which this Agreement is attached as an exhibit, and agree that such Statement, as so filed, is filed on behalf of each of them. IN WITNESS WHEREOF, the undersigned have executed this Agreement. TYCO INTERNATIONAL LTD. By: /s/ Mark H. Swartz ---------------------------------------- Name: Mark H. Swartz Title: Executive Vice President, Chief Financial Officer UNITED STATES SURGICAL CORPORATION By: /S/ Mark H. Swartz ---------------------------------------- Name: Mark H. Swartz Title:Vice President (Page 9 of 9 Pages)