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CUSIP NO. 46202P103 13D PAGE 1 OF 18 PAGES
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Iomai Corporation
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(Name of Issuer)
Common Stock, $.01 par value
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(Title of Class of Securities)
46202P103
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(CUSIP Number)
Louis S. Citron, Esq.
New Enterprise Associates
1119 St. Paul Street, Baltimore, MD 21202
(410) 246-2927
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
May 12, 2008
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(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 ss.ss.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 ss.240.13d-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).
PERSONS WHO 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 1 of 18 pages
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CUSIP NO. 46202P103 13D PAGE 2 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
New Enterprise Associates 10, Limited Partnership
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
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Page 2 of 18 pages
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CUSIP NO. 46202P103 13D PAGE 3 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
NEA Partners 10, Limited Partnership
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
----- -------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN
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CUSIP NO. 46202P103 13D PAGE 4 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Michael James Barrett
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 5 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Peter J. Barris
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 6 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
C. Richard Kramlich
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 7 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Charles W. Newhall III
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 8 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Mark W. Perry
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
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12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 9 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Scott D. Sandell
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
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14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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CUSIP NO. 46202P103 13D PAGE 10 OF 18 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Eugene A. Trainor III
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)(a)[_]
(b)[X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
N/A
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States citizen
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7 SOLE VOTING POWER
0 shares
----- --------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 6,967,721 shares
OWNED BY ----- --------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
WITH ----- --------------------------------------------------------
10 SHARED DISPOSITIVE POWER
6,967,721 shares
----- -------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,967,721 shares
----- -------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
----- -------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.6%
----- -------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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Schedule 13D
Item 1. Security and Issuer.
This statement relates to the Common Stock, $.01 par value (the "Common
Stock") of Iomai Corporation (the "Issuer") having its principal executive
office at 20 Firstfield Road, Suite 250, Gaithersburg, Maryland 20878.
Item 2. Identity and Background.
This statement is being filed by New Enterprise Associates 10, Limited
Partnership ("NEA 10"), NEA Partners 10, Limited Partnership ("NEA Partners
10"), which is the sole general partner of NEA 10, and Michael James Barrett
("Barrett"), Peter J. Barris ("Barris"), C. Richard Kramlich ("Kramlich"),
Charles W. Newhall III ("Newhall"), Mark W. Perry ("Perry"), Scott D. Sandell
("Sandell") and Eugene A. Trainor III ("Trainor"), (collectively, the "General
Partners"). The General Partners are the individual general partners of NEA
Partners 10. NEA 10, NEA Partners 10 and the General Partners are sometimes
referred to collectively herein as the "Reporting Persons."
The address of the principal business office of NEA 10, NEA Partners 10,
Newhall and Trainor is New Enterprise Associates, 1119 St. Paul Street,
Baltimore, MD 21202. The address of the principal business office of Kramlich,
Perry and Sandell is New Enterprise Associates, 2490 Sand Hill Road, Menlo Park,
California 94025. The address of the principal business office of Barrett and
Barris is New Enterprise Associates, 5425 Wisconsin Ave., Suite 800, Chevy
Chase, MD 20815.
The principal business of NEA 10 is to invest in and assist growth-oriented
businesses located principally in the United States. The principal business of
NEA Partners 10 is to act as the sole general partner of NEA 10. The principal
business of each of the General Partners is to act as a general partner of NEA
Partners 10 and a number of affiliated partnerships with similar businesses.
During the five years prior to the date hereof, none of the Reporting
Persons has been convicted in a criminal proceeding or has been a party to a
civil proceeding ending in 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.
Each of NEA 10 and NEA Partners 10 is a limited partnership organized under
the laws of the State of Delaware. Each of the General Partners is a United
States citizen.
Item 3. Source and Amount of Funds or Other Consideration.
Not applicable
Item 4. Purpose of Transaction.
On May 12, 2008, the Issuer, Intercell AG, a joint stock corporation
incorporated under the laws of the Republic of Austria ("Intercell"), and Zebra
Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of
Intercell, entered into an Agreement and Plan of Merger (the "Merger Agreement",
a copy of which is attached hereto as Exhibit 1) whereby the Issuer agreed to be
acquired by Intercell subject to the terms and conditions of the Merger
Agreement.
In connection with the Merger Agreement, NEA 10, certain other shareholders
of the Issuer (the "Other Shareholders") and Intercell entered into a voting
agreement (the "Voting Agreement", a copy of which is attached hereto as Exhibit
2). Under the terms of the Voting Agreement, NEA 10 irrevocably appointed
Intercell as its proxy to vote all outstanding shares of Common Stock held by
NEA 10 as of the record date: (1) in favor of the merger (the "Merger")
contemplated by, and the adoption of, the Merger
Page 11 of 18 pages
Agreement; (2) against any action or agreement that would result in a breach in
any material respect of any covenant, representation or warranty or any other
obligation of the Issuer under the Merger Agreement; and (3) against (i) any
extraordinary corporate transaction, such as a merger, rights offering,
reorganization, recapitalization or liquidation involving the Issuer, other than
the Merger, (ii) a sale or transfer of a material amount of assets or capital
stock of the Issuer or (iii) any action that is intended, or would reasonably be
expected, to impede, interfere with, prevent, delay, postpone or adversely
affect the Merger or the transactions contemplated by the Merger Agreement.
Under the terms of the Voting Agreement, NEA 10 agreed not to exercise any
appraisal rights or any dissenters' rights that it may have or could potentially
have in connection with the Merger or the Merger Agreement.
Item 5. Interest in Securities of the Issuer.
(a) NEA 10 is the record owner of 6,417,186 shares of Common Stock and
holds warrants to purchase 550,535 shares of Common Stock exercisable within 60
days (the "NEA Warrant Shares"), and thus may be deemed to be the beneficial
owner of 6,967,721 shares of Common Stock (the "Record Shares"). As the sole
general partner of NEA 10, NEA Partners 10 may be deemed to own beneficially the
Record Shares. As the individual general partners of NEA Partners 10, each of
the General Partners also may be deemed to own beneficially the Record Shares.
Based on the Record Shares, each Reporting Person may be deemed to
beneficially own 26.6% of the Common Stock of the Issuer, which percentage is
calculated based upon 26,151,879 shares, which includes 25,601,344 shares
reported to be outstanding in the Issuer's most recent Form 10-Q, which was
filed with respect to the period ending March 31, 2008 (the "10-Q Shares") and
the NEA Warrant Shares.
Each of NEA 10 and the Other Shareholders has agreed, pursuant to the terms
of the Voting Agreement, to vote to approve the Merger and has granted Intercell
a proxy to vote such shares to approve the Merger. NEA 10 and the Other
Shareholders have also agreed not to dispose of any shares of Common Stock of
the Issuer held by them.
Each of the Other Shareholders is the record holder of Common Stock of the
Issuer as follows: (i) NEA Ventures 2002, L.P. owns 4,610 shares of Common
Stock; (ii) Essex Woodlands Health Ventures V, L.L.C. owns 2,802,686 shares of
Common Stock; (iii) Technology Partners Fund VI, L.P. owns 173,924 shares of
Common Stock; (iv) Technology Partners Affiliates VII, L.P. owns 51,806 shares
of Common Stock; (v) Technology Partners Fund VII, L.P. owns 884,132 shares of
Common Stock; (vi) ProQuest Investments II, L.P. owns 989,649 shares of Common
Stock; (vii) ProQuest Investments II Advisors Fund, L.P. owns 23,815 shares of
Common Stock; (viii) Lagunitas Partners LP owns 783,081 shares of Common Stock
and holds warrants to purchase 70,000 shares of Common Stock exercisable within
60 days (the "Lagunitas Warrant Shares"), and thus may be deemed to be the
beneficial owner of 853,081 shares of Common Stock; (ix) Donaghy Sales Inc. owns
65,700 shares of Common Stock; (x) Gruber & McBaine International owns 120,000
shares of Common Stock and holds warrants to purchase 24,500 shares of Common
Stock exercisable within 60 days (together with the Lagunitas Warrants, the
"Other Warrant Shares"), and thus may be deemed to be the beneficial owner of
144,500 shares of Common Stock; (xi) Karl Matthies Trust udt 7/25/05 owns 12,000
shares of Common Stock; (xii) Lockheed Martin Master Retirement Trust owns
545,000 shares of Common Stock; (xiii) Stanley C. Erck owns 25,000 shares of
Common Stock; (xiv) Gregory M. Glenn owns 71,885 shares of Common Stock; and
(xv) Russell P. Wilson owns 11,000 shares of Common Stock. The shares of Common
Stock held by the Other Shareholders as set forth above shall hereinafter be
referred to herein as the "Other Shareholders' Securities". The information
regarding the Other Shareholders' Securities set forth above is based on the
information set forth in Schedule II to the Merger Agreement.
If NEA 10 and the Other Shareholders are considered a "group", each
Reporting Person may be deemed to beneficially own 13,461,349 shares of Common
Stock of the Issuer, representing 51.3% of the Common Stock of the Issuer, which
percentage is calculated based upon 26,246,379 shares, which
Page 12 of 18 pages
includes the 10-Q Shares, the NEA Warrant Shares and the Other Warrant Shares.
Each Reporting Person disclaims membership in a "group". Each Reporting Person
also disclaims beneficial ownership of any shares of the Issuer, except for NEA
10 with respect to the Record Shares.
(b) Regarding the number of shares as to which such person has:
(i) sole power to vote or to direct the vote: See line 7 of the
cover sheets.
(ii) shared power to vote or to direct the vote: See line 8 of the
cover sheets.
(iii) sole power to dispose or to direct the disposition: See line 9
of the cover sheets.
(iv) shared power to dispose or to direct the disposition: See line
10 of the cover sheets.
(c) Except for the Voting Agreement discussed above, none of the Reporting
Persons has effected any transaction in the Common Stock during the last 60
days.
(d) No other person is known to have the right to receive or the power to
direct the receipt of dividends from, or any proceeds from the sale of, the
Record Shares beneficially owned by any of the Reporting Persons.
(e) Not Applicable.
Item 6. Contracts, Arrangements, Undertakings or Relationships with Respect to
Securities of the Issuer.
Each of NEA 10 and the Other Shareholders has agreed, pursuant to the terms
of the Voting Agreement, to vote (i) in favor of the Merger and the adoption of
the Merger Agreement, and any actions required in furtherance thereof, (ii)
against any action or agreement that would result in a breach in any material
respect of any covenant, representation or warranty or any other obligation of
the Issuer under the Merger Agreement and (iii) against (A) any extraordinary
corporate transaction, such as a merger, rights offering, reorganization,
recapitalization or liquidation involving the Issuer or any of its subsidiaries
(other than the Merger), (B) a sale or transfer of a material amount of assets
or capital stock of the Issuer or any of its subsidiaries or (C) any action that
is intended, or would reasonably be expected, to impede, interfere with,
prevent, delay, postpone or adversely affect the Merger. In addition, each of
NEA 10 and the Other Shareholders has agreed, pursuant to the terms of the
Voting Agreement, not to dispose of any shares of Common Stock of the Issuer
held by them.
NEA 10 and the Other Shareholders own, in the aggregate, approximately
51.3% of the outstanding voting capital stock of the Issuer.
The Voting Agreement terminates upon the earliest of: (a) September 30,
2008, (b) the termination of the Merger Agreement, (c) the written agreement of
the parties to terminate the Voting Agreement, (d) the consummation of the
Merger, and (e) in respect of any stockholder, the amendment, modification or
waiver of the Merger Agreement to alter the merger consideration in a manner
adverse to such stockholder unless such amendment, modification or waiver has
been consented to by such stockholder in writing prior to or simultaneously with
such amendment, modification or waiver.
On May 12, 2008 and in connection with the Merger Agreement, NEA 10 entered
into a share exchange agreement (the "Share Exchange Agreement", a copy of which
is attached hereto as Exhibit 3) with Intercell, whereby NEA 10 agreed, among
other things, prior to the effective date of the Merger, to exchange all shares
of, and options or warrants to purchase, Common Stock held by it into a number
of shares of Intercell's common stock equal to the number of the NEA 10's shares
of, and options or warrants to purchase, Common Stock, multiplied by $6.60 per
share and divided by the closing sale price (as converted into U.S. dollars) of
Intercell's common stock on the Vienna Stock Exchange on the closing
Page 13 of 18 pages
date of such exchange. The consummation of the exchange is conditioned upon,
among other things, (1) the report of an independent auditor addressing the
adequacy of the Common Stock to be provided to Intercell in exchange for
Intercell's common stock in the exchange and (2) the acceptance by the Vienna
Commercial Register of Intercell's application for an increase of its share
capital. In the event that (i) the report of the independent auditor fails to
conclude that the value of NEA 10's shares of, and options or warrants to
purchase, Common Stock is at least as high as the value of the shares of
Intercell's common stock or (ii) the Vienna Commercial Register does not accept
the registration of Intercell's capital increase within 15 days following the
closing date of the exchange, then NEA 10 will be paid cash equal to the number
of shares of, and options or warrants to purchase, Common Stock, multiplied by
$6.60 per share.
Item 7. Material to be Filed as Exhibits.
Exhibit 1 - Agreement and Plan of Merger, dated as of May 12, 2008*
Exhibit 2 - Voting Agreement, dated as of May 12, 2008*
Exhibit 3 - Exchange Agreement, dated as of May 12, 2008*
Exhibit 4 - Agreement regarding filing of joint Schedule 13D
Exhibit 5 - Powers of Attorney regarding Schedule 13D filings.
* Incorporated by reference to the Issuer's Current Report on Form 8-K filed
with the Securities and Exchange Commission on May 13, 2008.
Page 14 of 18 pages
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each
of the undersigned certifies that the information set forth in this statement is
true, complete and correct.
Date: May 30, 2008
NEW ENTERPRISE ASSOCIATES 10,
LIMITED PARTNERSHIP
By: NEA PARTNERS 10, LIMITED PARTNERSHIP
General Partner
By: *
----------------------------
Charles W. Newhall III
General Partner
|
NEA PARTNERS 10, LIMITED PARTNERSHIP
By: *
----------------------------
Charles W. Newhall III
General Partner
*
---------------------------
|
Michael James Barrett
*
Peter J. Barris
*
C. Richard Kramlich
*
Charles W. Newhall III
*
Mark W. Perry
*
Scott D. Sandell
*
Eugene A. Trainor III
/s/ Louis S. Citron
-----------------------------
Louis S. Citron
As attorney-in-fact
|
This Schedule 13D was executed by Louis S. Citron on behalf of the individuals
listed above pursuant to a Power of Attorney which is being filed with the
Securities and Exchange Commission with this Schedule 13D filing for Iomai
Corporation and said Power of Attorney is incorporated herein by reference and a
copy of which is attached as Exhibit 5.
Page 15 of 18 pages
EXHIBIT 4
AGREEMENT
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the
undersigned hereby agree that only one statement containing the information
required by Schedule 13D need be filed with respect to the ownership by each of
the undersigned of shares of stock of Iomai Corporation.
EXECUTED this 30th day of May, 2008.
NEW ENTERPRISE ASSOCIATES 10,
LIMITED PARTNERSHIP
By: NEA PARTNERS 10, LIMITED PARTNERSHIP
General Partner
By: *
--------------------------
Charles W. Newhall III
General Partner
|
NEA PARTNERS 10, LIMITED PARTNERSHIP
By: *
---------------------------
Charles W. Newhall III
General Partner
*
----------------------------
|
Michael James Barrett
*
Peter J. Barris
*
C. Richard Kramlich
*
Charles W. Newhall III
*
Mark W. Perry
*
Scott D. Sandell
*
Eugene A. Trainor III
/s/ Louis S. Citron
-------------------------
Louis S. Citron
As attorney-in-fact
|
This Agreement to Schedule 13D was executed by Louis S. Citron on behalf of the
individuals listed above pursuant to a Power of Attorney which is being filed
with the Securities and Exchange Commission with this Schedule 13D filing for
Iomai Corporation and said Power of Attorney is incorporated herein by reference
and a copy of which is attached as Exhibit 5.
Page 16 of 18 pages
EXHIBIT 5
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints Charles W. Newhall III, Louis S. Citron and Eugene A. Trainor III, and
each of them, with full power to act without the others, his true and lawful
attorney-in-fact, with full power of substitution, to sign any and all
instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a direct or indirect general partner, director, officer or manager
of any partnership, corporation or limited liability company, pursuant to
section 13 or 16 of the Securities Exchange Act of 1934, as amended (the
"Exchange Act"), and any and all regulations promulgated thereunder, and to file
the same, with all exhibits thereto, and any other documents in connection
therewith, with the Securities and Exchange Commission, and with any other
entity when and if such is mandated by the Exchange Act or by the By-laws of the
National Association of Securities Dealers, Inc., granting unto said
attorney-in-fact full power and authority to do and perform each and every act
and thing necessary, desirable or appropriate, fully to all intents and purposes
as he might or could do in person, thereby ratifying and confirming all that
said attorney-in-fact, or his substitutes, may lawfully do or cause to be done
by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 2nd
day of February, 2007.
/s/ Forest Baskett
------------------------------
Forest Baskett
/s/ M. James Barrett
------------------------------
M. James Barrett
/s/ Peter J. Barris
------------------------------
Peter J. Barris
/s/ Ryan Drant
------------------------------
Ryan Drant
/s/ Paul Hsiao
------------------------------
Paul Hsiao
/s/ Vladimir Jacimovic
------------------------------
Vladimir Jacimovic
/s/ Patrick J. Kerins
------------------------------
Patrick J. Kerins
/s/ Suzanne King
------------------------------
Suzanne King
/s/ Krisna Kolluri
------------------------------
Krishna Kolluri
/s/ C. Richard Kramlich
------------------------------
C. Richard Kramlich
/s/ Charles M. Linehan
------------------------------
Charles M. Linehan
|
Page 17 of 18 pages
/s/ Peter T. Morris
------------------------------
Peter T. Morris
/s/ John M. Nehra
------------------------------
John M. Nehra
/s/ Charles W. Newhall III
------------------------------
Charles W. Newhall III
/s/ Mark W. Perry
------------------------------
Mark W. Perry
/s/ Michael Raab
------------------------------
Michael Raab
/s/ Scott D. Sandell
------------------------------
Scott D. Sandell
/s/ Eugene A. Trainor III
------------------------------
Eugene A. Trainor III
/s/ Sigrid Van Bladel
------------------------------
Sigrid Van Bladel
/s/ Ravi Viswanathan
------------------------------
Ravi Viswanathan
/s/ Harry Weller
------------------------------
Harry Weller
|
Page 18 of 18 pages
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