Filing Details
- Accession Number:
- 0001193125-18-283926
- Form Type:
- 13D Filing
- Publication Date:
- 2018-09-26 16:04:08
- Filed By:
- Sgr Sagittarius Holding Ag
- Company:
- Affimed N.v. (NASDAQ:AFMD)
- Filing Date:
- 2018-09-26
- 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 |
|---|---|---|---|---|---|---|
| SGR Sagittarius Holding AG ( 147 SGR 148 ) | 6,716,356 | 0 | 6,716,356 | 0 | 6,716,356 | 10.8% |
| AGUTH Holding GmbH | 6,746,482 | 0 | 6,746,482 | 0 | 6,746,482 | 10.8% |
| Harald Tschira | 0 | 6,746,482 | 0 | 6,746,482 | 6,746,482 | 10.8% |
| Udo Tschira | 0 | 6,746,482 | 0 | 6,746,482 | 6,746,482 | 10.8% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
Affimed N.V.
(Name of Issuer)
Common shares, 0.01 per share
(Title of Class of Securities)
N01045108
(CUSIP Number)
Kim David Lexner
c/o Calibrium AG
Beethovenstrasse 33
CH-8002 Zürich
Switzerland
+41 55 511 12 82
With a copy to:
Peter M. Rosenblum, Esq.
Foley Hoag LLP
155 Seaport Blvd.
Boston, MA 02210
617-832-1151
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
September 24, 2018
(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 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. N01045108 | 13D | Page 2 of 7 Pages |
| 1. | Names of Reporting Persons.
SGR Sagittarius Holding AG (SGR) | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
| 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
Switzerland | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
6,716,356 shares, except that AGUTH Holding GmbH (AGUTH), the sole beneficial owner of SGR, may be deemed to have sole power to vote these shares, and Harald Tschira and Udo Tschira, the sole directors and sole beneficial owners of AGUTH, may be deemed to have shared power to vote these shares. | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
6,716,356 shares, except that AGUTH, the sole owner of SGR, may be deemed to have sole power to dispose of these shares, and Harald Tschira and Udo Tschira, the sole directors and sole beneficial owners of AGUTH, may be deemed to have shared power to dispose of these shares.* | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
6,716,356 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
10.8% | |||||
| 14. | Type of Reporting Person (See Instructions)
CO | |||||
| * | Includes 246,993 shares pledged pursuant to the Carve-Out Agreements described in Item 6. |
| CUSIP No. N01045108 | 13D | Page 3 of 7 Pages |
| 1. | Names of Reporting Persons.
AGUTH Holding GmbH | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
| 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
Germany | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. AGUTH, the sole beneficial owner of SGR, may be deemed to have sole power to vote these shares, and Harald Tschira and Udo Tschira, the sole directors and sole beneficial owners of AGUTH, may be deemed to have shared power to vote these shares. | ||||
| 8. | Shared Voting Power
0 | |||||
| 9. | Sole Dispositive Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. AGUTH, the sole owner of SGR, may be deemed to have sole power to dispose of these shares, and Harald Tschira and Udo Tschira, the sole directors and sole beneficial owners of AGUTH, may be deemed to have shared power to dispose of these shares.* | |||||
| 10. | Shared Dispositive Power
0 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
6,746,482 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
10.8% | |||||
| 14. | Type of Reporting Person (See Instructions)
CO | |||||
| * | Includes 30,126 shares pledged pursuant to the Carve-Out Agreements described in Item 6. |
| CUSIP No. N01045108 | 13D | Page 4 of 7 Pages |
| 1. | Names of Reporting Persons.
Harald Tschira | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
| 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
Germany | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
0 | ||||
| 8. | Shared Voting Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. Harald Tschira, a director and beneficial owner of AGUTH, may be deemed to have shared power to vote these shares. Harald Tschira beneficially owns AGUTH in the form Erbengemeinschaft (translated community of heirs) with Udo Tschira. | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. Harald Tschira, a director and beneficial owner of AGUTH, may be deemed to have shared power to dispose of these shares. Harald Tschira beneficially owns AGUTH in the form Erbengemeinschaft (translated community of heirs) with Udo Tschira.* | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
6,746,482 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
10.8% | |||||
| 14. | Type of Reporting Person (See Instructions)
IN | |||||
| * | Includes 277,119 shares pledged pursuant to the Carve-Out Agreements described in Item 6. |
| CUSIP No. N01045108 | 13D | Page 5 of 7 Pages |
| 1. | Names of Reporting Persons.
Udo Tschira | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
| 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
Germany | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
0 | ||||
| 8. | Shared Voting Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. Udo Tschira, a director and beneficial owner of AGUTH, may be deemed to have shared power to vote these shares. Udo Tschira beneficially owns AGUTH in the form Erbengemeinschaft (translated community of heirs) with Harald Tschira. | |||||
| 9. | Sole Dispositive Power
0 | |||||
| 10. | Shared Dispositive Power
6,746,482 shares, of which 30,126 shares are owned directly by AGUTH and 6,716,356 shares are owned directly by SGR. Udo Tschira, a director and beneficial owner of AGUTH, may be deemed to have shared power to dispose of these shares. Udo Tschira beneficially owns AGUTH in the form Erbengemeinschaft (translated community of heirs) with Harald Tschira.* | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
6,746,482 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
10.8% | |||||
| 14. | Type of Reporting Person (See Instructions)
IN | |||||
| * | Includes 277,119 shares pledged pursuant to the Carve-Out Agreements described in Item 6. |
| CUSIP No. N01045108 | Page 6 of 7 Pages |
Statement on Schedule 13D
This Amendment No. 9 (Amendment No. 9) amends and supplements the statement on Schedule 13D initially filed on September 22, 2014, as amended by Amendment No. 1 on Schedule 13D filed on February 17, 2015, as amended by Amendment No. 2 on Schedule 13D filed on May 27, 2015, as amended by Amendment No. 3 on Schedule 13D filed on October 16, 2015, as amended by Amendment No. 4 on Schedule 13D filed on December 17, 2015, as amended by Amendment No. 5 on Schedule 13D filed on February 3, 2017, as amended by Amendment No. 6 on Schedule 13D filed on February 21, 2018, as amended by Amendment No. 7 on Schedule 13D filed on April 4, 2018 and as amended by Amendment No. 8 on Schedule 13D filed on September 19, 2018 (as so amended, the Schedule 13D) on behalf of SGR Sagittarius Holding AG (SGR), AGUTH Holding GmbH (AGUTH) and Dr. h.c. Klaus Tschira relating to the beneficial ownership of common shares, par value 0.01 per share (the Common Shares) of Affimed N.V. (formerly Affimed Therapeutics B.V.), a Dutch public company with limited liability (naamloze vennootschap) (the Issuer). Harald Tschira and Udo Tschira are the heirs to Dr. h.c. Klaus Tschira and are filing this Amfendment No. 9 together with SGR and AGUTH (collectively, the Reporting Persons). Except as set forth below, this Amendment No. 9 does not supplement, restate or amend any of the other information disclosed in the Schedule 13D. Capitalized terms not defined in this Amendment No. 9 have the meanings ascribed to them in the Schedule 13D.
| ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER. |
Paragraphs (a), (b) and (c) of Item 5 of the Schedule 13D are hereby amended and restated in their entirety as follows:
(a,b) Regarding aggregate beneficial ownership, see Row 11 of the cover page of each Reporting Person. Regarding percentage beneficial ownership, see Row 13 of the cover page of each Reporting Person. Regarding sole power to vote shares, see Row 7 of the cover page of each Reporting Person. Regarding shared power to vote shares, see Row 8 of the cover page of each Reporting Person. Regarding sole power to dispose of shares, see Row 9 of the cover page of each Reporting Person. Regarding shared power to dispose of shares, see Row 10 of the cover page of each Reporting Person. The percentage listed in Row 13 for each Reporting Person was calculated based upon 62,390,068 Common Shares outstanding as of March 15, 2018, as reported in the Issuers Annual Report on Form 20-F filed with the Securities and Exchange Commission on March 20, 2018.
(c) No Reporting Person, other than SGR as set forth in the table below, effected any transaction in the Common Shares since the date of Amendment No. 8:
| Date of Sale | Shares Sold (#) | Avg. Sale Price per Share ($) | ||||||
| 9/18/2018 | 74,200 | 4.3517 | ||||||
| 9/19/2018 | 267,412 | 4.6242 | ||||||
| 9/20/2018 | 156,584 | 4.4833 | ||||||
| 9/21/2018 | 92,506 | 4.3704 | ||||||
| 9/24/2018 | 98,900 | 4.4104 | ||||||
Each of the above listed transactions was conducted in the ordinary course of business on the open market for cash, and sale prices do not reflect brokerage commissions paid.
| CUSIP No. N01045108 | Page 7 of 7 Pages |
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: September 26, 2018
| SGR Sagittarius Holding AG | ||
| By: | /s/ Bernd Kammerlander, /s/ Manuel Werder | |
| Name: | Bernd Kammerlander, Manuel Werder | |
| Title: | Directors | |
| AGUTH Holding GmbH | ||
| By: | /s/ Udo Tschira | |
| Name: | Udo Tschira | |
| Title: | Director | |
| /s/ Harald Tschira | ||
| Harald Tschira | ||
| /s/ Udo Tschira | ||
| Udo Tschira | ||