1
|
|
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Innoviva, Inc.
|
||||
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☒ (b) ☐
|
||||
3
|
|
SEC USE ONLY
|
||||
4
|
|
SOURCE OF FUNDS
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
17,421,600
|
||
|
8
|
|
SHARED VOTING POWER
12,307,694
|
|||
|
9
|
|
SOLE DISPOSITIVE POWER
17,421,600
|
|||
|
10
|
|
SHARED DISPOSITIVE POWER
12,307,694
|
|||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
29,729,294 (1)
|
||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐
|
||||
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
74.7% (2)
|
||||
14
|
|
TYPE OF REPORTING PERSON
CO
|
(1) |
See Item 5.
|
(2) |
Based on 39,805,089 shares of common stock, par value $0.01 per share (“Common Stock”), outstanding as of March 17, 2021, as confirmed in
writing by the Issuer, inclusive of the shares of Common Stock beneficially owned by the Reporting Persons and shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock beneficially owned by the Reporting
Persons.
|
1
|
|
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Innoviva Strategic Opportunities LLC
|
||||
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☒ (b) ☐
|
||||
3
|
|
SEC USE ONLY
|
||||
4
|
|
SOURCE OF FUNDS
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
12,307,694
|
|||
|
9
|
|
SOLE DISPOSITIVE POWER
0
|
|||
|
10
|
|
SHARED DISPOSITIVE POWER
12,307,694
|
|||
11
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,307,694 (1)
|
||||
12
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
☐
|
||||
13
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
30.9% (2)
|
||||
14
|
|
TYPE OF REPORTING PERSON
OO
|
(1) |
See Item 5.
|
(2) |
Based on 39,805,089 shares of common stock, par value $0.01 per share (“Common Stock”), outstanding as of March 17, 2021, as confirmed in
writing by the Issuer, inclusive of the shares of Common Stock directly held by Innoviva Strategic Opportunities LLC (“Innoviva Sub”) and shares of Common Stock issuable upon exercise of the warrants to purchase Common Stock
beneficially owned by the Reporting Persons.
|
INNOVIVA, INC.
|
||||
By:
|
/s/ Pavel Raifeld
|
|||
Name: Pavel Raifeld
|
||||
Title: Chief Executive Officer
|
||||
INNOVIVA STRATEGIC OPPORTUNITIES LLC
BY INNOVIVA, INC (IT MANAGING MEMBER) |
||||
By:
|
/s/ Pavel Raifeld
|
|||
Name: Pavel Raifeld
|
||||
Title: Chief Executive Officer
|
||||