Amended Statement of Ownership (sc 13g/a)
15 2월 2018 - 3:08AM
Edgar (US Regulatory)
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 13d-2 (b)
(Amendment No.1)*
Audentes
Therapeutics, Inc.
(Name of
Issuer)
Common Stock, par value $0.00001 per share
(Title
of Class of Securities)
05070R104
(CUSIP
Number)
December 31, 2017
(Date of
Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
*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).
(Continued on following
pages)
Page
1
of 10 Pages
Exhibit Index Contained on Page 9
CUSIP NO. 05070R104
|
13 G
|
Page
2
of 10
|
1
|
NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sofinnova Venture Partners IX, L.P. (“SVP IX”)
|
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
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
1,380,303 shares, except that Sofinnova Management IX, L.L.C. (“SM IX”), the general partner of SVP IX, may be deemed to have sole voting power, and Dr. Michael F. Powell (“Powell”), Dr. James I. Healy (“Healy”) and Dr. Anand Mehra (“Mehra”), the managing members of SM IX, may be deemed to have shared power to vote these shares.
|
6
|
SHARED VOTING POWER
See response to row 5.
|
7
|
SOLE DISPOSITIVE POWER
1,380,303 shares, except that SM IX, the general partner of SVP IX, may be deemed to have sole dispositive power and Powell, Healy and Mehra, the managing members of SM IX, may be deemed to have shared power to dispose of these shares.
|
8
|
SHARED DISPOSITIVE POWER
See response to row 7.
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,380,303
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
¨
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%
|
12
|
TYPE OF REPORTING PERSON*
PN
|
CUSIP NO. 05070R104
|
13 G
|
Page
3
of 10
|
1
|
NAME
OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sofinnova Management
IX, L.L.C. (“SM IX”)
|
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
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole voting power, and Powell, Healy and Mehra, the managing members of SM IX, may be deemed to have shared power to vote these shares.
|
6
|
SHARED VOTING POWER
See response to row 5.
|
7
|
SOLE DISPOSITIVE POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole dispositive power, and Powell, Healy and Mehra, the managing members of SM IX, may be deemed to have shared dispositive power over these shares.
|
8
|
SHARED DISPOSITIVE POWER
See response to row 7.
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,380,303
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
¨
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%
|
12
|
TYPE OF REPORTING PERSON*
OO
|
CUSIP NO. 05070R104
|
13 G
|
Page
4
of 10
|
1
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael F. Powell (“Powell”)
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
¨
(b)
x
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
US Citizen
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0 shares.
|
6
|
SHARED VOTING POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole voting power, and Powell, a managing member of SM IX, may be deemed to have shared power to vote these shares.
|
7
|
SOLE DISPOSITIVE POWER
0 shares.
|
8
|
SHARED DISPOSITIVE POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole dispositive power, and Powell, a managing member of SM IX, may be deemed to have shared power to dispose of these shares.
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,380,303
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%
|
12
|
TYPE OF REPORTING PERSON
IN
|
CUSIP NO. 05070R104
|
13 G
|
Page
5
of 10
|
1
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dr. James I. Healy (“Healy”)
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
¨
(b)
x
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
US Citizen
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0 shares.
|
6
|
SHARED VOTING POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole voting power, and Healy, a managing member of SM IX, may be deemed to have shared power to vote these shares.
|
7
|
SOLE DISPOSITIVE POWER
0 shares.
|
8
|
SHARED DISPOSITIVE POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole dispositive power, and Healy, a managing member of SM IX, may be deemed to have shared power to dispose of these shares.
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,380,303
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%
|
12
|
TYPE OF REPORTING PERSON
IN
|
CUSIP NO. 05070R104
|
13 G
|
Page
6
of 10
|
1
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dr. Anand Mehra (“Mehra”)
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
¨
(b)
x
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
US Citizen
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0 shares.
|
6
|
SHARED VOTING POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole voting power, and Mehra, a managing member of SM IX, may be deemed to have shared power to vote these shares.
|
7
|
SOLE DISPOSITIVE POWER
0 shares.
|
8
|
SHARED DISPOSITIVE POWER
1,380,303 shares, all of which are directly owned by SVP IX. SM IX, the general partner of SVP IX, may be deemed to have sole dispositive power, and Mehra, a managing member of SM IX, may be deemed to have shared power to dispose of these shares.
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,380,303
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%
|
12
|
TYPE OF REPORTING PERSON
IN
|
CUSIP NO. 05070R104
|
13 G
|
Page
7
of 10
|
This Amendment No. 1 amends the Statement on Schedule 13G previously
filed by Sofinnova Venture Partners IX, L.P. (“SVP IX”), Sofinnova Management IX, L.L.C. (“SM IX”), Dr.
Michael F. Powell (“Powell”), Dr. James I. Healy (“Healy”) and Dr. Anand Mehra (“Mehra”).The
foregoing entities and individuals are collectively referred to as the “Reporting Persons.” Only those items as to
which there have been a change are included in this Amendment No. 1.
The following information with respect
to the ownership of the Common Stock of the Issuer by the Reporting Persons is provided as of December 31, 2017:
|
(a)
|
Amount beneficially owned
:
See Row 9 of cover page for each Reporting Person.
|
|
(b)
|
Percent of Class
:
See Row 11 of cover page for each Reporting Person.
|
|
(c)
|
Number of shares as to which such person has
:
|
|
(i)
|
Sole power to vote or to direct the vote
:
See Row 5 of cover page for each Reporting Person.
|
|
(ii)
|
Shared power to vote or to direct the vote
:
|
See Row 6 of cover page for each
Reporting Person.
|
(iii)
|
Sole power to dispose or to direct the disposition of
:
|
See Row 7 of cover page for each
Reporting Person.
|
(iv)
|
Shared power to dispose or to direct the disposition of
:
See Row 8 of cover page for each Reporting Person.
|
|
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
Yes
CUSIP NO. 05070R104
|
13 G
|
Page
8
of 10
|
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 12, 2018
Sofinnova Venture Partners IX, L.P.
|
|
/s/ Nathalie Auber
|
By Sofinnova Management IX, L.L.C.
|
|
Nathalie Auber, Attorney-in-Fact*
|
Its General Partner
|
|
|
|
|
|
Sofinnova Management IX, L.L.C.
|
|
/s/ Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
Michael F. Powell
|
|
/s/
Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
James I. Healy
|
|
/s/
Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
Anand Mehra
|
|
/s/ Nathalie
Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
*Signed pursuant to a Power of Attorney already on file with
the appropriate agencies.
CUSIP NO. 05070R104
|
13 G
|
Page
9
of 10
|
EXHIBIT INDEX
|
Found on Sequentially
|
Exhibit
|
Numbered Page
|
|
|
Exhibit A: Agreement of Joint Filing
|
10
|
CUSIP NO. 05070R104
|
13 G
|
Page
10
of 10
|
exhibit A
Agreement of Joint
Filing
The undersigned hereby agree that a single
Schedule 13G (or any amendment thereto) relating to the Common Stock of Audentes Therapeutics, Inc. shall be filed on behalf of
each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G.
Date: February 12, 2018
Sofinnova Venture Partners IX, L.P.
|
|
/s/ Nathalie Auber
|
By Sofinnova Management IX, L.L.C.
|
|
Nathalie Auber, Attorney-in-Fact*
|
Its General Partner
|
|
|
|
|
|
Sofinnova Management IX, L.L.C.
|
|
/s/ Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
Michael F. Powell
|
|
/s/
Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
James I. Healy
|
|
/s/
Nathalie Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
|
|
|
Anand Mehra
|
|
/s/ Nathalie
Auber
|
|
|
Nathalie Auber, Attorney-in-Fact*
|
*Signed pursuant to a Power of Attorney already on file
with the appropriate agencies.
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