Filing
SC 13G/A
VIKING GLOBAL PERFORMANCE LLC
VIKING GLOBAL INVESTORS LP
VIKING GLOBAL EQUITIES LP
O. ANDREAS HALVORSEN
DAVID C. OTT
NASD
0001160308
Adventrx Pharmaceuticals, Inc.
84-1318182
CARL CASLER
203-863-5039
0001132625
j3$jjjjj
SC 13G/A
viking1.txt
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
________________
Schedule 13G/A
(Rule 13d-102)
________________
INFORMATION TO BE INCLUDED IN STATEMENTS PURSUANT TO RULES 13d-1(b),(c)
AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
(Amendment No. 2)
Adventrx Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock, $.001 Par Value
(Title of Class of Securities)
00764X103
(CUSIP Number)
December 31, 2006
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
___________
* 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).
Schedule 13G/A PAGE 2 OF 11
CUSIP No. 00764X103
_____________________________________________________________________________
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Viking Global Performance LLC
_____________________________________________________________________________
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
_____________________________________________________________________________
(3) SEC USE ONLY
_____________________________________________________________________________
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
_____________________________________________________________________________
NUMBER OF (5) SOLE VOTING POWER
0
SHARES ______________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
3,783,783
OWNED BY ______________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING ______________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
3,783,783
_____________________________________________________________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
3,783,783
_____________________________________________________________________________
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
_____________________________________________________________________________
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
4.1%
_____________________________________________________________________________
(12) TYPE OF REPORTING PERSON
OO
_____________________________________________________________________________
Schedule 13G/A PAGE 3 OF 11
CUSIP No. 00764X103
_____________________________________________________________________________
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Viking Global Investors LP
_____________________________________________________________________________
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
_____________________________________________________________________________
(3) SEC USE ONLY
_____________________________________________________________________________
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
_____________________________________________________________________________
NUMBER OF (5) SOLE VOTING POWER
0
SHARES ______________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
3,783,783
OWNED BY ______________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING ______________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
3,783,783
_____________________________________________________________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
3,783,783
_____________________________________________________________________________
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
_____________________________________________________________________________
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
4.1%
_____________________________________________________________________________
(12) TYPE OF REPORTING PERSON
PN
_____________________________________________________________________________
Schedule 13G/A PAGE 4 OF 11
CUSIP No. 00764X103
_____________________________________________________________________________
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Viking Global Equities LP
_____________________________________________________________________________
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
_____________________________________________________________________________
(3) SEC USE ONLY
_____________________________________________________________________________
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
_____________________________________________________________________________
NUMBER OF (5) SOLE VOTING POWER
0
SHARES ______________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
1,832,483
OWNED BY ______________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING ______________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
1,832,483
_____________________________________________________________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
1,832,483
_____________________________________________________________________________
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
_____________________________________________________________________________
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
2.1%
_____________________________________________________________________________
(12) TYPE OF REPORTING PERSON
PN
_____________________________________________________________________________
Schedule 13G/A PAGE 5 OF 11
CUSIP No. 00764X103
_____________________________________________________________________________
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
O. Andreas Halvorsen
_____________________________________________________________________________
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
_____________________________________________________________________________
(3) SEC USE ONLY
_____________________________________________________________________________
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
Norway
_____________________________________________________________________________
NUMBER OF (5) SOLE VOTING POWER
0
SHARES ______________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
3,783,783
OWNED BY ______________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING ______________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
3,783,783
_____________________________________________________________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
3,783,783
_____________________________________________________________________________
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
_____________________________________________________________________________
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
4.1%
_____________________________________________________________________________
(12) TYPE OF REPORTING PERSON
IN
_____________________________________________________________________________
Schedule 13G/A PAGE 6 OF 11
CUSIP No. 00764X103
_____________________________________________________________________________
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David C. Ott
_____________________________________________________________________________
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [x]
_____________________________________________________________________________
(3) SEC USE ONLY
_____________________________________________________________________________
(4) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
_____________________________________________________________________________
NUMBER OF (5) SOLE VOTING POWER
0
SHARES ______________________________________________________________
BENEFICIALLY (6) SHARED VOTING POWER
3,783,783
OWNED BY ______________________________________________________________
EACH (7) SOLE DISPOSITIVE POWER
0
REPORTING ______________________________________________________________
PERSON WITH (8) SHARED DISPOSITIVE POWER
3,783,783
_____________________________________________________________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
3,783,783
_____________________________________________________________________________
(10) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
_____________________________________________________________________________
(11) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
4.1%
_____________________________________________________________________________
(12) TYPE OF REPORTING PERSON
IN
_____________________________________________________________________________
Schedule 13G/A PAGE 7 OF 11
ITEM 1(a). NAME OF ISSUER:
Adventrx Pharmaceuticals, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
6725 Mesa Ridge Road, Suite 100, San Diego, California 92121
ITEM 2(a). NAME OF PERSON FILING:
Viking Global Performance LLC ("VGP"), Viking Global Investors
LP ("VGI"), Viking Global Equities LP ("VGE"),
O. Andreas Halvorsen and David C. Ott.
ITEM 2(b). ADDRESS OF PRINCIPAL OFFICE OR, IF NONE, RESIDENCE:
The business address of each of the Reporting Persons is
55 Railroad Avenue, Greenwich, CT 06830.
ITEM 2(c). CITIZENSHIP:
VGE and VGI are each Delaware limited partnerships and VGP is
a Delaware limited liability company. O. Andreas Halvorsen is a citizen of
Norway and David C. Ott is a citizens of the United States.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock $.001 Par Value
ITEM 2(e). CUSIP NUMBER:
00764X103
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO 13d-1(b) OR 13d-2(b) OR (c),
CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under Section 15 of the
Act
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(c) [ ] Insurance Company as defined in Section 3(a)(19) of
the Act
(d) [ ] Investment Company registered under Section 8 of the
Investment Company Act of 1940
(e) [ ] Investment Adviser registered under Section 203 of the
Investment Advisers Act of 1940: see Rule 13d-
1(b)(1)(ii)(E)
(f) [ ] Employee Benefit Plan, Pension Fund which is subject
to the provisions of the Employee Retirement Income
Security Act of 1974 or Endowment Fund; see Rule 13d-
1(b)(1)(ii)(F)
Schedule 13G/A PAGE 8 OF 11
(g) [ ] Parent Holding Company, in accordance with Rule 13d-
1(b)(ii)(G);
(h) [ ] Savings Associations as defined in Section 3(b) of the
Federal Deposit Insurance Act;
(i) [ ] Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
IF THIS STATEMENT IS FILED PURSUANT TO Rule 13d-1(c), CHECK THIS
BOX. [x]
ITEM 4. OWNERSHIP.
A. VGP and VGI
(a) Amount beneficially owned 3,783,783
(b) Percent of class: 4.1%
(The number and approximate percentage of Common Stock
reported to the beneficially owned by the above reporting person
herein and on the rest of the statement are calculated based upon
92,399,783 shares of Common Stock deemed issued and outstanding,
which reflects the (i) 88,616,000 shares of Common Stock issued and
outstanding as of January 30, 2007 as reported by Bloomberg and (ii)
3,783,783 shares of Common Stock deemed to be issued and
outstanding assuming the full exercise of all Warrants).
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
0
(ii) shared power to vote or to direct the vote
3,783,783
(iii) sole power to dispose or to direct the disposition
of 0
(iv) shared power to dispose or to direct the disposition
of 3,783,783
VGP, as the general partner of VGE and VGI,an affiliate
of VGP,that provides managerial services to VGE, each have
the power to dispose of and vote the shares of Common
Stock directly owned by VGE. VGP and VGI are parties to
an investment management agreement with VGE III Portfolio
Ltd. which is a company organized under the laws of the Cayman
Islands, pursuant to which VGP has investment authority
with respect to securities held in such accounts and VGI
performs managerial services in connection with such accounts.
VGP and VGI have authority to dispose of and
vote securities held in such accounts. Neither VGP nor VGI
owns directly any shares of Common Stock.
Schedule 13G/A PAGE 9 OF 11
By reason of the provisions of Rule 13d-3 of the
Securities Exchange Act of 1934 as amended (the "Act"), VGP
and VGI may each be deemed to own beneficially shares
directly held by VGE, and VGE III Portfolio Ltd.
B. VGE
(a) Amount beneficially owned: 1,832,483
(b) Percent of class: 2.1%
(The number and approximate percentage of Common Stock
reported to the beneficially owned by the above reporting person
herein and on the rest of the statement are calculated based upon
90,448,483 shares of Common Stock deemed issued and outstanding,
which reflects the (i) 88,616,000 shares of Common Stock issued and
outstanding as of January 30, 2007 as reported by Bloomberg and (ii)
1,832,483 shares of Common Stock deemed to be issued and
outstanding assuming the full exercise of all Warrants).
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
0
(ii) shared power to vote or to direct the vote
1,832,483
(iii) sole power to dispose or to direct the disposition
of 0
(iv) shared power to dispose or to direct the disposition
of 1,832,483
VGE has the power to dispose of and the power to
vote the shares of Common Stock directly owned by it,
which power may be exercised by its general partner, VGP
and by VGI, an affiliate of VGP, which provides
managerial services to VGE.
C. O. Andreas Halvorsen and David C. Ott
(a) Amount beneficially owned: 3,783,783
(b) Percent of class: 4.1%
(All percentages herein are based on 88,616,000 shares of
Common Stock reported to be outstanding as of
January 30, 2007, by Bloomberg).
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
0
(ii) shared power to vote or to direct the vote
3,783,783
(iii) sole power to dispose or to direct the disposition
of 0
(iv) shared power to dispose or to direct the disposition
of 3,783,783
Messrs. Halvorsen and Ott, as Managing Directors
of VGI and Members of VGP, have shared power to
dispose of and shared power to vote the Common Stock
beneficially owned by VGI and VGP. None of Messrs.
Halvorsen or Ott directly own any shares of Common
Stock. By reason of the provisions of Rule
13d-3 of the Act, each may be deemed to beneficially own
the shares directly owned by VGE and VGE III Portfolio
Ltd.
Schedule 13G/A PAGE 10 OF 11
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of the
date hereof the Reporting Persons has ceased to be the beneficial owner
of more than five percent of the class of securities,
check the following.[X]
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
See Item 4.
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. (if filing pursuant to Rule 13d-1(c))
By signing below each Reporting Person certifies that, to the best
of its knowledge and belief, the securities referred to above were not
acquired and are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and were not
acquired and not held in connection with or as a participant in any
transaction having that purpose or effect.
Schedule 13G/A PAGE 11 OF 11
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief,
the undersigned certify that the information set forth in this statement is
true, complete and correct.
DATED: February 14, 2007
/s/ O. Andreas Halvorsen
O. ANDREAS HALVORSEN, individually, and
as a Member of VIKING GLOBAL
PERFORMANCE LLC, on behalf of itself and
VIKING GLOBAL EQUITIES LP,
and as a Managing Director of
Viking Global Partners LLC, on behalf of
VIKING GLOBAL INVESTORS LP.
/s/ David C. Ott, individually
DAVID C. OTT
2078839.1
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