Filing Details
- Accession Number:
- 0000921895-21-000327
- Form Type:
- 13G Filing
- Publication Date:
- 2021-02-10 19:00:00
- Filed By:
- Biotechnology Value Fund L P
- Company:
- Cogent Biosciences Inc. (NASDAQ:COGT)
- Filing Date:
- 2021-02-11
- SEC Url:
- 13G 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 |
---|---|---|---|---|---|---|
Biotechnology Value Fund | 0 | 0 | 1,696,450 | 1,696,450 | 2.6% | |
BVF I GP | 0 | 0 | 1,696,450 | 1,696,450 | 2.6% | |
Biotechnology Value Fund II | 0 | 0 | 1,194,406 | 1,194,406 | 1.8% | |
BVF II GP | 0 | 0 | 1,194,406 | 1,194,406 | 1.8% | |
Biotechnology Value Trading Fund OS | 0 | 0 | 185,668 | 185,668 | Less than 1% | |
BVF Partners OS Ltd | 0 | 0 | 185,668 | 185,668 | Less than 1% | |
BVF GP HOLDINGS | 0 | 0 | 2,890,856 | 2,890,856 | 4.4% | |
BVF Partners | 0 | 0 | 3,114,250 | 3,114,250 | 4.7% | |
BVF Inc | 0 | 0 | 3,114,250 | 3,114,250 | 4.7% | |
Mark N. Lampert | 0 | 0 | 3,114,250 | 3,114,250 | 4.7% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 1)1
Cogent Biosciences, Inc. |
(Name of Issuer) |
Common Stock, $0.001 par value per share |
(Title of Class of Securities) |
19240Q201 |
(CUSIP Number) |
December 31, 2020 |
(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) |
☒ | Rule 13d-1(c) |
☐ | Rule 13d-1(d) |
1 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).
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Biotechnology Value Fund, L.P. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,696,450 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,696,450 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,696,450 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
2.6% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
(1) Includes 826,000 Shares underlying certain shares of Series A Preferred Stock (defined in Item 4).
2 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF I GP LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,696,450 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,696,450 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,696,450 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
2.6% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
(1) Includes 826,000 Shares underlying certain shares of Series A Preferred Stock.
3 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Biotechnology Value Fund II, L.P. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,194,406 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,194,406 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,194,406 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
1.8% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
(1) Includes 615,250 Shares underlying certain shares of Series A Preferred Stock.
4 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF II GP LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 1,194,406 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
1,194,406 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
1,194,406 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
1.8% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
(1) Includes 615,250 Shares underlying certain shares of Series A Preferred Stock.
5 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Biotechnology Value Trading Fund OS LP | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Cayman Islands | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 185,668 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
185,668 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
185,668 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
Less than 1% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN |
(1) Includes 104,500 Shares underlying certain shares of Series A Preferred Stock.
6 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF Partners OS Ltd. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Cayman Islands | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 185,668 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
185,668 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
185,668 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
Less than 1% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
CO |
(1) Includes 104,500 Shares underlying certain shares of Series A Preferred Stock.
7 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF GP HOLDINGS LLC | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 2,890,856 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
2,890,856 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
2,890,856 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
4.4% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
OO |
(1) Includes 1,441,250 Shares underlying certain shares of Series A Preferred Stock.
8 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF Partners L.P. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 3,114,250 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
4.7% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
PN, IA |
(1) Includes 1,582,250 Shares underlying certain shares of Series A Preferred Stock.
9 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
BVF Inc. | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
Delaware | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 3,114,250 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
4.7% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
CO |
(1) Includes 1,582,250 Shares underlying certain shares of Series A Preferred Stock.
10 |
CUSIP No. 19240Q201
1 | NAME OF REPORTING PERSON | ||||||||||||||||||
Mark N. Lampert | |||||||||||||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☒ | |||||||||||||||||
(b) ☐ | |||||||||||||||||||
3 | SEC USE ONLY | ||||||||||||||||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||||||||||
United States | |||||||||||||||||||
NUMBER OF | 5 | SOLE VOTING POWER | |||||||||||||||||
SHARES | |||||||||||||||||||
BENEFICIALLY | 0 shares | ||||||||||||||||||
OWNED BY | 6 | SHARED VOTING POWER | |||||||||||||||||
EACH | |||||||||||||||||||
REPORTING | 3,114,250 (1) | ||||||||||||||||||
PERSON WITH | 7 | SOLE DISPOSITIVE POWER | |||||||||||||||||
0 shares | |||||||||||||||||||
8 | SHARED DISPOSITIVE POWER | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||||||||||
3,114,250 (1) | |||||||||||||||||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ☐ | |||||||||||||||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||||||||||||||||
4.7% | |||||||||||||||||||
12 | TYPE OF REPORTING PERSON | ||||||||||||||||||
IN |
(1) Includes 1,582,250 Shares underlying certain shares of Series A Preferred Stock.
11 |
CUSIP No. 19240Q201
Item 1(a). | Name of Issuer: |
Cogent Biosciences, Inc., a Delaware corporation (the “Issuer”).
Item 1(b). | Address of Issuer’s Principal Executive Offices: |
200 Cambridge Park Drive, Suite 2500
Cambridge, Massachusetts 02140
Item 2(a). | Name of Person Filing |
Item 2(b). | Address of Principal Business Office or, if None, Residence |
Item 2(c). | Citizenship |
Biotechnology Value Fund, L.P. (“BVF”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF I GP LLC (“BVF GP”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Biotechnology Value Fund II, L.P. (“BVF2”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF II GP LLC (“BVF2 GP”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Biotechnology Value Trading Fund OS LP (“Trading Fund OS”)
PO Box 309 Ugland House
Grand Cayman, KY1-1104
Cayman Islands
Citizenship: Cayman Islands
12 |
CUSIP No. 19240Q201
BVF Partners OS Ltd. (“Partners OS”)
PO Box 309 Ugland House
Grand Cayman, KY1-1104
Cayman Islands
Citizenship: Cayman Islands
BVF GP Holdings LLC (“BVF GPH”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF Partners L.P. (“Partners”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF Inc.
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Mark N. Lampert (“Mr. Lampert”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: United States
Each of the foregoing is referred to as a “Reporting Person” and collectively as the “Reporting Persons.”
Item 2(d). | Title of Class of Securities: |
Common Stock, $0.001 par value per share (the “Shares”)
Item 2(e). | CUSIP Number: |
19240Q201
13 |
CUSIP No. 19240Q201
Item 3. | If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: |
/x/ | Not applicable. | ||
(a) | / / | Broker or dealer registered under Section 15 of the Exchange Act. | |
(b) | / / | Bank as defined in Section 3(a)(6) of the Exchange Act. | |
(c) | / / | Insurance company as defined in Section 3(a)(19) of the Exchange Act. | |
(d) | / / | Investment company registered under Section 8 of the Investment Company Act. | |
(e) | / / | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). | |
(f) | / / | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). | |
(g) | / / | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). | |
(h) | / / | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. | |
(i) | / / | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. | |
(j) | / / | Group, in accordance with Rule 13d-1(b)(1)(ii)(J). | |
(k) | / / | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____ |
Item 4. | Ownership |
(a) | Amount beneficially owned: |
The Reporting Persons hold 6,329 shares of Series A Non-Voting Convertible Preferred Stock, par value $0.001 per share (the “Series A Preferred Stock”), convertible for an aggregate of 1,582,250 Shares. Each share of Series A Preferred Stock is convertible into 250 Shares. The Series A Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, in excess of 9.99% of the number of Shares then issued and outstanding (the “Beneficial Ownership Limitation”). As of the close of business on December 31, 2020, the Beneficial Ownership Limitation limits the aggregate conversion of Series A Preferred Stock by the Reporting Persons to 1,582,250 out of the 1,582,250 Shares underlying the Series A Preferred Stock owned by the Reporting Persons in the aggregate. In providing beneficial ownership described herein, the Reporting Persons have assumed that all 6,329 shares of Series A Preferred Stock held by BVF, BVF2, Trading Fund OS and a certain Partners managed account (the “Partners Managed Account”) would be converted.
14 |
CUSIP No. 19240Q201
As of the close of business on December 31, 2020, (i) BVF beneficially owned 1,696,450 Shares, including 826,000 Shares issuable upon the conversion of 3,304 shares of Series A Preferred Stock, (ii) BVF2 beneficially owned 1,194,406 Shares, including 615,250 Shares issuable upon the conversion of 2,461 shares of Series A Preferred Stock, and (iii) Trading Fund OS beneficially 185,668 Shares, including 104,500 Shares issuable upon the conversion of 418 shares of Series A Preferred Stock.
BVF GP, as the general partner of BVF, may be deemed to beneficially own the 1,696,450 Shares beneficially owned by BVF.
BVF2 GP, as the general partner of BVF2, may be deemed to beneficially own the 1,194,406 Shares beneficially owned by BVF2.
Partners OS, as the general partner of Trading Fund OS, may be deemed to beneficially own the 185,668 Shares beneficially owned by Trading Fund OS.
BVF GPH, as the sole member of each of BVF GP and BVF2 GP, may be deemed to beneficially own the 2,890,856 Shares beneficially owned by BVF and BV2.
Partners, as the investment manager of BVF, BVF2 and Trading Fund OS, and the sole member of Partners OS, may be deemed to beneficially own the 3,114,532 Shares beneficially owned by BVF, BVF2, Trading Fund OS and the Partners Managed Account, including 1,582,250 Shares issuable upon the conversion of 6,329 shares of Series A Preferred Stock owned in the aggregate by BVF, BVF2, Trading Fund OS, and the Partners Managed Account.
BVF Inc., as the general partner of Partners, may be deemed to beneficially own the 3,114,532 Shares beneficially owned by Partners.
Mr. Lampert, as a director and officer of BVF Inc., may be deemed to beneficially own the 3,114,532 Shares beneficially owned by BVF Inc.
The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of any securities owned by another Reporting Person. BVF GP disclaims beneficial ownership of the securities beneficially owned by BVF. BVF2 GP disclaims beneficial ownership of the securities beneficially owned by BVF2. Partners OS disclaims beneficial ownership of the securities beneficially owned by Trading Fund OS. BVF GPH disclaims beneficial ownership of the securities beneficially owned by BVF and BVF2. Each of Partners, BVF Inc. and Mr. Lampert disclaims beneficial ownership of the securities beneficially owned by BVF, BVF2, Trading Fund OS, and the Partners Managed Account, and the filing of this statement shall not be construed as an admission that any such person or entity is the beneficial owner of any such securities.
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CUSIP No. 19240Q201
(b) | Percent of class: |
The following percentages are based on 64,683,538 Shares outstanding as of December 4, 2020, as disclosed in the Issuer’s Prospectus on Form 424B5 filed with the Securities and Exchange Commission on December 2, 2020, and a press release filed by the Issuer on December 4, 2020.
As of the close of business on December 31, 2020, (i) BVF beneficially owned approximately 2.6% of the outstanding Shares, (ii) BVF2 beneficially owned approximately 1.8% of the outstanding Shares, (iii) Trading Fund OS beneficially owned less than 1% of the outstanding Shares, (iv) BVF GP may be deemed to beneficially own 2.6% of the outstanding Shares, (v) BVF2 GP may be deemed to beneficially own approximately 1.8% of the outstanding Shares, (vi) Partners OS may be deemed to beneficially less than 1% of the outstanding Shares, (vii) BVF GPH may be deemed to beneficially own approximately 4.4% of the outstanding Shares and (viii) each of Partners, BVF Inc. and Mr. Lampert may be deemed to beneficially own approximately 4.7% of the outstanding Shares (less than 1% of the outstanding Shares are held in the Partners Managed Account).
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
See Cover Pages Items 5-9.
(ii) | Shared power to vote or to direct the vote |
See Cover Pages Items 5-9.
(iii) | Sole power to dispose or to direct the disposition of |
See Cover Pages Items 5-9.
(iv) | Shared power to dispose or to direct the disposition of |
See Cover Pages Items 5-9.
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 person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X].
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CUSIP No. 19240Q201
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
Item 7. | Identification and Classification of the Subsidiary That Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
Not Applicable.
Item 8. | Identification and Classification of Members of the Group. |
See Exhibit 99.1 to the Schedule 13G filed by the Reporting Persons with the Securities and Exchange Commission on July 16, 2020.
Item 9. | Notice of Dissolution of Group. |
Not Applicable.
Item 10. | Certifications. |
By signing below each of the undersigned 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 are not held in connection with or as a participant in any transaction having that purpose or effect.
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CUSIP No. 19240Q201
SIGNATURE
After reasonable inquiry and to the best of his knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: February 11, 2021
BIOTECHNOLOGY VALUE FUND, L.P. | BIOTECHNOLOGY VALUE TRADING FUND OS LP | |||
By: | BVF I GP LLC., its general partner | By: | BVF Partners L.P., its investment manager | |
By: | BVF Inc., its general partner | |||
By: | /s/ Mark N. Lampert | |||
Mark N. Lampert | By: | /s/ Mark N. Lampert | ||
Chief Executive Officer | Mark N. Lampert | |||
President | ||||
BVF I GP LLC | ||||
BVF GP HOLDINGS LLC | ||||
By: | /s/ Mark N. Lampert | |||
Mark N. Lampert | By: | /s/ Mark N. Lampert | ||
Chief Executive Officer | Mark N. Lampert | |||
Chief Executive Officer | ||||
BIOTECHNOLOGY VALUE FUND II, L.P. | ||||
BVF PARTNERS L.P. | ||||
By: | BVF II GP LLC, its general partner | |||
By: | BVF Inc., its general partner | |||
By: | /s/ Mark N. Lampert | |||
Mark N. Lampert | By: | /s/ Mark N. Lampert | ||
Chief Executive Officer | Mark N. Lampert | |||
President | ||||
BVF II GP LLC | ||||
BVF INC. | ||||
By: | /s/ Mark N. Lampert | |||
Mark N. Lampert | By: | /s/ Mark N. Lampert | ||
Chief Executive Officer | Mark N. Lampert | |||
President | ||||
BVF PARTNERS OS LTD. | ||||
/s/ Mark N. Lampert | ||||
By: | BVF Partners L.P., its sole member | MARK N. LAMPERT | ||
By: | BVF Inc., its general partner | |||
By: | /s/ Mark N. Lampert | |||
Mark N. Lampert | ||||
President |
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