Filing Details
- Accession Number:
- 0001193125-19-048021
- Form Type:
- 13D Filing
- Publication Date:
- 2019-02-22 12:59:32
- Filed By:
- Mpm Bioventures 2014, L.p.
- Company:
- Harpoon Therapeutics Inc. (NASDAQ:HARP)
- Filing Date:
- 2019-02-22
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| 3,810,051 | 0 | 3,810,051 | 0 | 3,810,051 | 15.9% | |
| 254,116 | 0 | 254,116 | 0 | 254,116 | 1.1% | |
| 138,195 | 0 | 138,195 | 0 | 138,195 | 0.6% | |
| 322,063 | 0 | 322,063 | 0 | 322,063 | 1.3% | |
| 3,898,422 | 0 | 3,898,422 | 0 | 3,898,422 | 16.3% | |
| 0 | 4,064,167 | 0 | 4,064,167 | 4,064,167 | 17.0% | |
| 0 | 4,064,167 | 0 | 4,064,167 | 4,064,167 | 17.0% | |
| 3,898,422 | 0 | 3,898,422 | 0 | 3,898,422 | 16.3% | |
| 3,898,422 | 0 | 3,898,422 | 0 | 3,898,422 | 16.3% | |
| 3,898,422 | 0 | 3,898,422 | 0 | 3,898,422 | 16.3% | |
| 0 | 8,422,847 | 0 | 8,422,847 | 8,422,847 | 35.2% | |
| 0 | 4,524,425 | 0 | 4,524,425 | 4,524,425 | 18.9% | |
| 0 | 4,202,362 | 0 | 4,202,362 | 4,202,362 | 17.6% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. )*
Harpoon Therapeutics, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
41358P 10 6
(CUSIP Number)
Luke Evnin
MPM Asset Management
450 Kendall Street
Cambridge, MA 01242
Telephone: (617) 425-9200
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
February 12, 2019
(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 §§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 §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 persons 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).
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM BioVentures 2014, L.P. | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
3,810,051 | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
3,810,051 | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
3,810,051 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
15.9%(2) | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
| (1) | This schedule is filed by MPM BioVentures 2014, L.P. (BV 2014), MPM BioVentures 2014 (B), L.P. (BV 2014(B)), MPM Asset Management Investors BV2014 LLC (AM BV2014 LLC), MPM Asset Management LLC (AM LLC), UBS Oncology Impact Fund L.P. (UBS Oncology), MPM BioVentures 2014 GP LLC (BV 2014 GP), MPM BioVentures 2014 LLC (BV 2014 LLC), Oncology Impact Fund (Cayman) Management LP (Oncology Cayman), MPM Oncology Impact Management LP (Oncology LP) and MPM Oncology Impact Management GP LLC (Oncology GP) (collectively, the MPM Entities) and Ansbert Gadicke, Luke Evnin and Todd Foley (collectively, the Listed Persons and together with the MPM Entities, the Filing Persons). The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 2
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM BioVentures 2014 (B), L.P. | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
254,116 | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
254,116 | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
254,116 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
1.1%(2) | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 3
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM Asset Management Investors BV2014 LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
138,195 | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
138,195 | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
138,195 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
0.6%(2) | |||||
| 14. | Type of Reporting Person (See Instructions)
OO | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 4
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM Asset Management LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
322,063 | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
322,063 | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
322,063 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
1.3%(2) | |||||
| 14. | Type of Reporting Person (See Instructions)
OO | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 5
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
UBS Oncology Impact Fund, L.P. | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
3,898,422 | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
3,898,422 | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
3,898,422 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
16.3%(2) | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 6
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM BioVentures 2014 GP LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
0 | ||||
| 8. | Shared Voting Power
4,064,167(2) | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
4,064,167(2) | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
4,064,167(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
17.0%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
OO | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Includes 3,810,051 shares of Common Stock held by BV 2014 and 254,116 shares held by BV 2014(B). BV 2014 GP and BV 2014 LLC are the direct and indirect general partners of BV 2014 and BV 2014(B). |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 7
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM BioVentures 2014 LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
0 | ||||
| 8. | Shared Voting Power
4,064,167(2) | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
4,064,167(2) | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
4,064,167(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
17.0%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
OO | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Includes 3,810,051 shares of Common Stock held by BV 2014 and 254,116 shares held by BV 2014(B). BV 2014 GP and BV 2014 LLC are the direct and indirect general partners of BV 2014 and BV 2014(B). |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 8
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
Oncology Impact Fund (Cayman) LP | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
3,898,422(2) | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
3,898,422(2) | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
3,898,422(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
16.3%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Consists of shares held by UBS Oncology. Oncology GP is the general partner of Oncology LP, the General Partner of Oncology (Cayman), the General Partner of UBS Oncology. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 9
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM Oncology Impact Management LP | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
3,898,422(2) | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
3,898,422(2) | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
3,898,422(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
16.3%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Consists of shares held by UBS Oncology. Oncology GP is the general partner of Oncology LP, the General Partner of Oncology (Cayman), the General Partner of UBS Oncology. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 10
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
MPM Oncology Impact Management GP LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With:
| 7. | Sole Voting Power
3,898,422(2) | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
3,898,422(2) | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
3,898,422(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
16.3%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
OO | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Consists of shares held by UBS Oncology. Oncology GP is the general partner of Oncology LP, the General Partner of Oncology (Cayman), the General Partner of UBS Oncology. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 11
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
Ansbert Gadicke | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
OO | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 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
8,422,847(2) | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
8,422,847(2) | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
8,422,847(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
35.2%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
IN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Includes 3,810,051 shares held by BV 2014, 254,116 shares held by BV 2014(B), 138,195 shares held by AM BV 2014 LLC, 322,063 shares held by AM LLC and 3,898,422 shares held by UBS Oncology. The Reporting Person is a managing director of BV 2014 LLC and a member of AM LLC and the managing director of Oncology GP. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 12
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
Luke Evnin | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
OO | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 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
4,524,425(2) | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
4,524,425(2) | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
4,524,425(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
18.9%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
IN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Includes 3,810,051 shares held by BV 2014, 254,116 shares held by BV 2014(B), 138,195 shares held by AM BV 2014 LLC and 322,063 shares held by AM LLC . The Reporting Person is a managing director of BV 2014 LLC and a member of AM LLC. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 13
CUSIP No. 41358P 10 6
| 1. | Name of Reporting Persons. I.R.S. Identification No(s). of above person(s) (entities only)
Todd Foley | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ☐ (b) ☒ (1) | |||||
| 3. | SEC USE ONLY
| |||||
| 4. | Source of Funds (See Instructions)
OO | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
| 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
4,202,362(2) | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
4,202,362(2) | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
4,202,362(2) | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
| 13. | Percent of Class Represented by Amount in Row (11)
17.6%(3) | |||||
| 14. | Type of Reporting Person (See Instructions)
IN | |||||
| (1) | This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D. |
| (2) | Includes 3,810,051 shares held by BV 2014, 254,116 shares held by BV 2014(B) and 138,195 shares held by AM BV 2014 LLC. The Reporting Person is a managing director of BV 2014 LLC. |
| (3) | This percentage is calculated based upon 23,909,025 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019 with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2019. |
Page 14
| Item 1. | Security and Issuer. |
This Schedule 13D (this Schedule 13D) relates to the common stock, par value $0.0001 per share (the Common Stock), of Harpoon Therapeutics, Inc. (the Issuer). The Issuers principal executive office is located at 4000 Shoreline Court, Suite 250, South San Francisco, CA 94080.
| Item 2. | Identity and Background |
(a) The entities and persons filing this statement are MPM BioVentures 2014, L.P. (BV 2014), MPM BioVentures 2014 (B), L.P. (BV 2014(B)), MPM Asset Management Investors BV2014 LLC (AM BV2014 LLC), MPM Asset Management LLC (AM LLC), UBS Oncology Impact Fund L.P. (UBS Oncology), MPM BioVentures 2014 GP LLC (BV 2014 GP), MPM BioVentures 2014 LLC (BV 2014 LLC), Oncology Impact Fund (Cayman) Management LP (Oncology Cayman), MPM Oncology Impact Management LP (Oncology LP) and MPM Oncology Impact Management GP LLC (Oncology GP) (collectively, the MPM Entities) and Ansbert Gadicke, Luke Evnin and Todd Foley (collectively, the Listed Persons and together with the MPM Entities, the Filing Persons).
(b) The address of the principal place of business for each of the MPM Entities and Ansbert Gadicke, Luke Evnin and Todd Foley is 450 Kendall Street, Cambridge, MA 02142.
(c) The principal business of each of the Filing Persons is the venture capital investment business.
(d) During the last five years, none of the Filing Persons has been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors).
(e) During the last five years, none of the Filing Persons 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) Each of the Listed Persons is a United States citizen and each of the MPM Entities is a Delaware limited partnership or limited liability company.
In accordance with the provisions of General Instruction C to Schedule 13D, information concerning the managers and each other person controlling the general partners of the MPM Entities required by Item 2 of Schedule 13D is listed on Schedule 1 hereto and is incorporated by reference herein.
| Item 3. | Source and Amount of Funds or Other Consideration |
On February 7, 2019, the Registration Statement on Form S-1 filed with the Securities and Exchange Commission by the Issuer (File No. 333-229040) in connection with its initial public offering of 5,400,000 shares of Common Stock was declared effective. The closing of the offering took place on February 12, 2018, and at such closing the MPM Entities purchased an aggregate of 500,000 shares of Common Stock at the initial public offering price of $14.00 per share, for an aggregate purchase prices of $7.0 million. The source of funds for such purchases was the capital contributions made to the MPM Entities by their respective partners and members. The shares were purchased as follows:
| BV 2014: 226,660 shares |
| BV 2014(B): 15,118 shares |
| AM BV2014 LLC: 8,222 shares |
| UBS Oncology: 250,000 shares |
In connection with the closing of the initial public offering, the MPM Entities also acquired an aggregate of 557,244 shares of Common Stock upon the net exercise of warrants, as follows:
| BV 2014: 390,406 shares |
| BV 2014(B): 26,034 shares |
| AM BV2014 LLC: 14,155 shares |
| UBS Oncology: 126,649 shares |
Page 15
| Item 4. | Purpose of Transaction |
The MPM Entities purchased the shares of Common Stock of the Issuer in the initial public offering and upon net exercise of warrants for investment purposes.
Ansbert Gadicke is a member of the Board of Directors of the Issuer and is also a managing director of BV 2014 LLC, a member of AM LLC and the managing director of Oncology GP.
Subject to applicable legal requirements, one or more of the Filing Persons may purchase additional securities of the Issuer from time to time in open market or private transactions, depending on their evaluation of the Issuers business, prospects and financial condition, the market for the Issuers securities, other developments concerning the Issuer, the reaction of the Issuer to the Filing Persons ownership of the Issuers securities, other opportunities available to the Filing Persons, and general economic, money market and stock market conditions. In addition, depending upon the factors referred to above, the Filing Persons may dispose of all or a portion of their securities of the Issuer at any time. Each of the Filing Persons reserves the right to increase or decrease its holdings on such terms and at such times as each may decide.
Other than as described above in this Item 4, none of the Filing Persons have any plan or proposal relating to or that would result in: (a) the acquisition by any person of additional securities of the Issuer or the disposition of securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or terms of directors or to fill any existing vacancies on the board; (e) any material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuers business or corporate structure; (g) any changes in the Issuers charter, by-laws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Exchange Act; or (j) any action similar to those enumerated above.
| Item 5. | Interest in Securities of the Issuer |
(a) (b) The following information with respect to the ownership of the Common Stock of the Issuer by the Filing Persons is provided as of February 12, 2019:
| Reporting Person | Shares Held Directly | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Beneficial Ownership | Percentage of Class (1) | |||||||||||||||||||||
| BV 2014 | 3,810,051 | 3,810,051 | 0 | 3,810,051 | 0 | 3,810,051 | 15.9 | % | ||||||||||||||||||||
| BV 2014(B) | 254,116 | 254,116 | 0 | 254,116 | 0 | 254,116 | 1.1 | % | ||||||||||||||||||||
| AM BV 2014 LLC | 138,195 | 138,195 | 0 | 138,195 | 0 | 138,195 | 0.6 | % | ||||||||||||||||||||
| AM LLC | 322,063 | 322,063 | 0 | 322,063 | 0 | 322,063 | 1.3 | % | ||||||||||||||||||||
| UBS Oncology | 3,898,422 | 3,898,422 | 0 | 0 | 0 | 3,898,422 | 16.3 | % | ||||||||||||||||||||
| BV 2014 GP(2) | 0 | 0 | 4,064,167 | 0 | 4,064,167 | 4,064,167 | 17.9 | % | ||||||||||||||||||||
| BV 2014 LLC(2) | 0 | 0 | 4,064,167 | 0 | 4,064,167 | 4,064,167 | 17.9 | % | ||||||||||||||||||||
| Oncology Cayman(3) | 0 | 0 | 3,898,422 | 0 | 3,898,422 | 3,898,422 | 16.3 | % | ||||||||||||||||||||
| Oncology LP(3) | 0 | 0 | 3,898,422 | 0 | 3,898,422 | 3,898,422 | 16.3 | % | ||||||||||||||||||||
| Oncology GP(3) | 0 | 0 | 3,898,422 | 0 | 3,898,422 | 3,898,422 | 16.3 | % | ||||||||||||||||||||
| Ansbert Gadicke(4) | 0 | 0 | 8,422,847 | 0 | 8,422,847 | 8,422,847 | 35.2 | % | ||||||||||||||||||||
| Luke Evnin(5) | 0 | 0 | 4,524,425 | 0 | 4,524,425 | 4,524,425 | 18.9 | % | ||||||||||||||||||||
| Todd Foley(6) | 0 | 0 | 4,202,362 | 0 | 4,202,362 | 4,202,362 | 17.6 | % | ||||||||||||||||||||
Page 16
| (1) | This percentage is calculated based upon 26,226,640 shares of the Issuers common stock outstanding upon completion of the Issuers initial public offering, as set forth in the Issuers final prospectus dated February 7, 2019, with respect to such offering, filed with the Securities and Exchange Commission on February 8, 2018. |
| (2) | Includes securities held by BV 2014 and BV 2014(B). BV 2014 GP and BV 2014 LLC are the direct and indirect general partners of BV 2014 and BV 2014(B). |
| (3) | Includes shares held by UBS Oncology. Oncology GP is the general partner of Oncology LP, the General Partner of Oncology (Cayman), the General Partner of UBS Oncology. |
| (4) | Includes securities held by BV 2014, BV 2014(B), AM BV 2014 LLC, AM LLC and UBS Oncology. |
The Reporting Person is a managing director of BV 2014 LLC and a member of AM LLC and the managing director of Oncology GP.
| (5) | Includes securities held by BV 2014, BV 2014(B), AM BV 2014 LLC and AM LLC. The Reporting Person is a managing director of BV 2014 LLC and a member of AM LLC. |
| (6) | Includes securities held by BV 2014 and BV 2014(B) and AM BV 2014 LLC. The Reporting Person is a managing director of BV 2014 LLC. |
Each Filing Person disclaims membership in a group. Each Filing Person also disclaims beneficial ownership of any shares of the Issuer, except for the shares set forth in the table above next to the respective Filing Persons name in subsection (b) of this Item 5.
(c) The information provided in Item 3 is hereby incorporated by reference. On February 12, 2019, the MPM Entities acquired an aggregate of 7,043,540 shares of Common Stock of the Issuer upon the automatic conversion of preferred stock of the Issuer in connection with the closing of the Issuers initial public offering. Except as otherwise set forth herein, the Filing Persons have not acquired or disposed of any securities of the Issuer in the past 60 days.
(d) Inapplicable.
(e) Inapplicable.
| Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer |
Investor Rights Agreement
The MPM Entities and other stockholders of the Issuer have entered into an Amended and Restated Investors Rights Agreement dated November 9, 2018 (the Investor Rights Agreement) with the Issuer. Subject to the terms of the Investor Rights Agreement, holders of shares having registration rights (Registrable Securities) can demand that the Issuer file a registration statement or request that their shares be covered by a registration statement that the Issuer is otherwise filing.
Demand Registration Rights
If, at any time after 180 days after effective date, the Issuer shall receive a written request from the Holders (as defined in the Investor Rights Agreement) of at least 35% of the Registrable Securities then outstanding (the Initiating Holders) that the Issuer file a Form S-1 registration statement under the Securities Act of 1933 (the Securities Act) with respect to Registrable Securities owned by such Holder or Holders having an aggregate offering price, net of Selling Expenses (as defined in the Investor Rights Agreement), of at least $5,000,000, then the Issuer shall (i) within ten (10) days after the date such request is given, give notice thereof (the Demand Notice) to all Holders other than the Initiating Holders; and (ii) as soon as practicable, and in any event within sixty (60) days after the mailing of such notice by the Issuer, file a Form S-1 registration statement under the Securities Act covering all Registrable Securities that the Initiating Holders requested to be registered and any additional Registrable Securities requested to be included in such registration by any other Holders.
Page 17
The Issuer shall not be obligated to effect, or to take any action to effect, any demand registration after the Issuer has effected two Form S-1 demand registrations.
Form S-3 Demand Registration Rights
If at any time when it is eligible to use a Form S-3 registration statement, the Issuer receives a request from the Holders of at least 15% of the Registrable Securities then outstanding that the Issuer file a Form S-3 registration statement with respect to outstanding Registrable Securities of such Holders having an anticipated aggregate offering price of at least $1,000,000, then the Issuer shall (i) within ten (10) days after the date such request is given, give a Demand Notice to all Holders other than the Initiating Holders; and (ii) as soon as practicable, and in any event within forty-five (45) days after the date such request is given by the Initiating Holders, file a Form S-3 registration statement under the Securities Act covering all Registrable Securities requested to be included in such registration by any other Holders.
The Issuer shall not be obligated to effect, or to take any action to effect, any Form S-3 demand registration if the Issuer has effected two Form S-3 demand registrations within the twelve month period immediately preceding the date of such request.
Piggyback Registration Rights
If the Issuer proposes to register any of its stock in connection with the public offering of such securities by the Issuer or on behalf of selling stockholders, the Issuer shall, at such time, promptly give each Holder written notice of such registration. Upon the written request of each Holder, the Issuer shall, subject to the certain limitations, use its reasonable best efforts to cause to be registered all of the Registrable Securities that each such Holder has requested to be registered.
Expenses of Registration
Subject to certain limitations, the Issuer will pay all registration expenses, other than underwriting discounts and commissions, related to any registration effected pursuant to the Investor Rights Agreement.
Indemnification
The Investor Rights Agreement contains customary cross-indemnification provisions, pursuant to which the Issuer is obligated to indemnify the selling stockholders in the event of material misstatements or omissions in the registration statement attributable to the Issuer, and the selling stockholders are obligated to indemnify the Issuer for material misstatements or omissions attributable to them.
Termination
No Holder shall be entitled to exercise any registration rights after the third anniversary of the Issuers initial public offering or, with respect to a particular Holder, with such Holder can sell its shares under Rule 144 or otherwise during any 90 day period without registration under the Securities Act.
Lock-up Agreements
The MPM Entities and Mr. Gadicke, along with all of the Issuers officers, directors, and holders of substantially all of the Issuers common stock, have entered into letter agreements (the Lock-up Agreements), whereby they have agreed, subject to certain exceptions, not to offer, sell, contract to sell, pledge or otherwise dispose of or hedge any of its common stock or securities convertible into or exchangeable for shares of common stock for a 180-day period beginning on February 7, 2019 and ending on August 11, 2019 except with the prior written consent of Citigroup Global Markets Inc. and Leerink Partners LLC on behalf of the underwriters.
The foregoing description of the terms of the Investor Rights Agreement and the Lock-up Agreement is intended as a summary only and is qualified in its entirety by reference to the Investor Rights Agreement and Form of Lock-up Agreement, which are filed as exhibits to this Schedule 13D and incorporated by reference herein.
Page 18
Other than as described in this Schedule 13D, to the best of the Filing Persons knowledge, there are no other contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 and between such persons and any person with respect to any securities of the Issuer.
| Item 7. | Material to Be Filed as Exhibits |
| A. | Amended and Restated Investors Rights Agreement by and among the Issuer and each of the investors listed on Exhibit A thereto, dated as of November 9, 2018 (incorporated by reference to Exhibit 4.2 to the Issuers Registration Statement on Form S-1 (SEC File No. 333-229040), filed with the SEC on December 27, 2018). |
| B. | Form of Lock-up Agreement (incorporated by reference to Exhibit A to Exhibit 1.1 to the Issuers Registration Statement on Form S-1/A (SEC File No. 333-229040), filed with the SEC on January 29, 2019). |
| C. | Agreement regarding filing of joint Schedule 13D. |
Page 19
Signatures
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.
Date: February 22, 2019
MPM BIOVENTURES 2014, L.P.
| By: | MPM BioVentures 2014 GP LLC, | |
| its General Partner | ||
| By: | MPM BioVentures 2014 LLC, | |
| Its Managing Member | ||
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| Title: | Managing Director | |
MPM BIOVENTURES 2014 (B), L.P.
| By: | MPM BioVentures 2014 GP LLC, | |
| its General Partner | ||
| By: | MPM BioVentures 2014 LLC, | |
| Its Managing Member | ||
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| Title: | Managing Director | |
MPM ASSET MANAGEMENT INVESTORS BV 2014 LLC
| By: | /s/ Howard Rubin | |
| Name: | Howard Rubin | |
| Title: | Director |
MPM ASSET MANAGEMENT LLC
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| Title: | Member |
Page 20
MPM BIOVENTURES 2014 GP, LLC
| By: | MPM BioVentures 2014 LLC, | |
| Its Managing Member | ||
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| Title: | Managing Director | |
MPM BIOVENTURES 2014 LLC
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| Title: | Managing Director |
UBS ONCOLOGY IMPACT FUND , L.P.
| By: | Oncology Impact Fund (Cayman) Management L.P., | |
| its General Partner | ||
| By: | MPM Oncology Impact Management LP, | |
| Its General Partner | ||
| By: | MPM Oncology Impact Management GP LLC | |
| Its General Partner | ||
| By: | /s/ Ansbert Gadicke | |
| Name: | Ansbert Gadicke | |
| Title: | Managing Director | |
ONCOLOGY IMPACT FUND (CAYMAN) MANAGEMENT L.P.
| By: | MPM Oncology Impact Management LP, | |
| Its General Partner | ||
| By: | MPM Oncology Impact Management GP LLC | |
| Its General Partner | ||
| By: | /s/ Ansbert Gadicke | |
| Name: | Ansbert Gadicke | |
| Title: | Managing Director | |
MPM ONCOLOGY IMPACT FUND MANAGEMENT LP
| By: | MPM Oncology Impact Management GP LLC | |
| Its General Partner | ||
| By: | /s/ Ansbert Gadicke | |
| Name: | Ansbert Gadicke | |
| Title: | Managing Director | |
Page 21
MPM ONCOLOGY IMPACT FUND MANAGEMENT GP LLC
| By: | /s/ Ansbert Gadicke | |
| Name: | Ansbert Gadicke | |
| Title: | Managing Director | |
| By: | /s/ Todd Foley | |
| Name: | Todd Foley | |
| By: | /s/ Luke Evnin | |
| Name: | Luke Evnin | |
| By: | /s/ Ansbert Gadicke | |
| Name: | Ansbert Gadicke | |
Page 22
Schedule I
General Partners/Members
Ansbert Gadicke
c/o MPM Asset Management
450 Kendall Street
Cambridge, MA 02142
Principal Occupation: Managing director of MPM BioVentures 2014 LLC and managing director of MPM Oncology Impact Management LP.
Citizenship: USA
Luke Evnin
c/o MPM Asset Management
450 Kendall Street
Cambridge, MA 02142
Principal Occupation: Managing director of MPM BioVentures 2014 LLC.
Citizenship: USA
Todd Foley
c/o MPM Asset Management
450 Kendall Street
Cambridge, MA 02142
Principal Occupation: Managing director of MPM BioVentures 2014 LLC.
Citizenship: USA
Page 23
Exhibit Index
A. Amended and Restated Investors Rights Agreement by and among the Issuer and each of the investors listed on Exhibit A thereto, dated as of November 9, 2018 (incorporated by reference to Exhibit 4.2 to the Issuers Registration Statement on Form S-1 (SEC File No. 333-229040), filed with the SEC on December 27, 2018).
B. Form of Lock-up Agreement (incorporated by reference to Exhibit A to Exhibit 1.1 to the Issuers Registration Statement on Form S-1/A (SEC File No. 333-229040), filed with the SEC on January 29, 2019).
C. Agreement regarding filing of joint Schedule 13D.
Page 24