Page 4 of 13 – SEC Filing CUSIP No. N01045108
1 NAME OF REPORTING PERSONS Samuel D. Isaly 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) o (b) o 3 SEC USE ONLY 4 SOURCE OF FUNDS (See Instructions) N/A 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) o 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 4,053,000* 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 4,053,000* 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,053,000* 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) o 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 12.19%† 14 TYPE OF REPORTING PERSON (See Instructions) IN
* Includes 326,650 shares that may be transferred pursuant to the Carve-Out Agreements described in Item 6. † This percentage is calculated based upon 33,259,404 shares of the Issuer’s Common Stock (as defined below) outstanding, as set forth in the Issuer’s Annual Report on Form 20-F, filed with the Securities and Exchange Commission (the “SEC”) on March 30, 2016. Follow Affimed N.v. (NASDAQ:AFMD)
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| CUSIP No. N01045108 | |
| 1 | NAME OF REPORTING PERSONS Samuel D. Isaly | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | (a) o (b) o | ||
| 3 | SEC USE ONLY | |||
| 4 | SOURCE OF FUNDS (See Instructions) N/A | |||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | o | ||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | ||
| 8 | SHARED VOTING POWER 4,053,000* | |||
| 9 | SOLE DISPOSITIVE POWER 0 | |||
| 10 | SHARED DISPOSITIVE POWER 4,053,000* | |||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,053,000* | |||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) | o | ||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 12.19%† | |||
| 14 | TYPE OF REPORTING PERSON (See Instructions) IN | |||
* Includes 326,650 shares that may be transferred pursuant to the Carve-Out Agreements described in Item 6.
† This percentage is calculated based upon 33,259,404 shares of the Issuer’s Common Stock (as defined below) outstanding, as set forth in the Issuer’s Annual Report on Form 20-F, filed with the Securities and Exchange Commission (the “SEC”) on March 30, 2016.
Follow Affimed N.v. (NASDAQ:AFMD)
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