Form SC 13G - Statement of acquisition of beneficial ownership by individuals
03 Noviembre 2023 - 2:05PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No.)*
Harpoon
Therapeutics, Inc.
(Name
of Issuer)
Common
stock, par value $0.0001 per share
(Title
of Class of Securities)
41358P205
(CUSIP
Number)
October
25, 2023
(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) |
*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 the disclosures provided in a prior cover
page.
The
information required in 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. 41358P205 |
SCHEDULE
13G |
|
1 |
NAME
OF REPORTING PERSONS
Commodore
Capital LP |
2 |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
☐
(b)
☐ |
3 |
SEC
USE ONLY
|
4 |
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
USA |
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH |
5 |
SOLE
VOTING POWER
0 |
6 |
SHARED
VOTING POWER
1,703,465* |
7 |
SOLE
DISPOSITIVE POWER
0 |
8 |
SHARED
DISPOSITIVE POWER
1,703,465* |
9 |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,703,465* |
10 |
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
☐ |
11 |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.9%* |
12 |
TYPE
OF REPORTING PERSON
IA |
*See
Item 4 for additional information.
CUSIP
No. 41358P205 |
SCHEDULE
13G |
|
1 |
NAME
OF REPORTING PERSONS
Commodore
Capital Master 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
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH |
5 |
SOLE
VOTING POWER
0 |
6 |
SHARED
VOTING POWER
1,703,465* |
7 |
SOLE
DISPOSITIVE POWER
0 |
8 |
SHARED
DISPOSITIVE POWER
1,703,465* |
9 |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,703,465* |
10 |
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
☐ |
11 |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.9%* |
12 |
TYPE
OF REPORTING PERSON
OO |
*See
Item 4 for additional information.
CUSIP
No. 41358P205 |
SCHEDULE
13G |
|
Item
1. |
(a)
Name of Issuer |
Harpoon
Therapeutics, Inc. (the “Issuer”)
Item
1. |
(b)
Address of Issuer’s Principal Executive Offices |
611
Gateway Boulevard, Suite 400, South San Francisco, California 94080
Item
2. |
(a,
b, c) Names of Person Filing, Address of Principal Business Office, Citizenship: |
|
|
|
This
report on Schedule 13G is being filed by Commodore Capital LP, a Delaware limited partnership (the “Firm”) and Commodore
Capital Master LP, a Cayman Islands exempted limited partnership (“Commodore Master”). The address for the Firm and Commodore
Master is: 444 Madison Avenue, Floor 35, New York, New York 10022. |
Item
2. |
(d)
Title of Class of Securities |
Common
stock, par value $0.0001 per share (the “Common Stock”)
41358P205
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: |
N/A
CUSIP
No. 41358P205 |
SCHEDULE
13G |
|
|
As
reported in the cover pages to this report, the ownership information with respect to the Firm is as follows: |
|
|
|
(a)
Amount Beneficially Owned: 1,703,465* |
|
|
|
(b)
Percent of Class: 9.9%* |
|
|
|
(c)
Number of Shares as to which such person has: |
|
(i)
Sole power to vote or to direct the vote: 0 |
|
|
|
(ii)
Shared power to vote or to direct the vote: 1,703,465* |
|
|
|
(iii)
Sole power to dispose or to direct the disposition of: 0 |
|
|
|
(iv)
Shared power to dispose or to direct the disposition of: 1,703,465* |
As
reported in the cover pages to this report, the ownership information with respect to Commodore Master is as follows:
|
(a)
Amount Beneficially Owned: 1,703,465* |
|
|
|
(b)
Percent of Class: 9.9%* |
|
|
|
(c)
Number of Shares as to which such person has: |
|
(i)
Sole power to vote or to direct the vote: 0 |
|
|
|
(ii)
Shared power to vote or to direct the vote: 1,703,465* |
|
|
|
(iii)
Sole power to dispose or to direct the disposition of: 0 |
|
|
|
(iv)
Shared power to dispose or to direct the disposition of: 1,703,465* |
*On
October 25, 2023, the Issuer closed a private placement pursuant to which it issued 12,805,350 shares of Common Stock and accompanying
warrants to purchase up to an aggregate of 8,583,675 shares of Common Stock (the “Common Warrants”), at a combined purchase
price of $5.8345 per share and accompanying Common Warrant. In lieu of Common Stock, certain investors were issued pre-funded warrants
(the “Pre-Funded Warrants”) to purchase an aggregate of 4,362,000 shares of Common
Stock at a combined purchase price of $5.8344 per share and accompanying Common Warrant. Each Common Warrant and Pre-Funded Warrant
is exercisable into one share of Common Stock of the Issuer, unless the holder, together with certain related parties, would beneficially
own in excess of 4.99%, 9.99% or 19.99% (at the discretion of the holder) of the Common Stock outstanding immediately after giving effect
to such exercise (the “Blocker”). The Blocker may be increased up to 19.99% or decreased by the holder upon 61 days’
notice to the Issuer.
As
of October 25, 2023, Commodore Master owns (i) 1,500,000 shares of Common Stock that were issued pursuant to the Issuer’s private
placement, (ii) Common Warrants to purchase an aggregate of 1,022,500 shares of Common Stock, and (iii) Pre-Funded Warrants to purchase
an aggregate of 545,000 shares of Common Stock. Pursuant to the Blocker, the Firm’s beneficial ownership in the Issuer is currently
limited to 9.99%.
The
Firm is the investment manager to Commodore Master. As of October 25, 2023, the Firm may be deemed to beneficially own 1,703,465 shares
of Common Stock of the Issuer. The Firm, as the investment manager to Commodore Master, may be deemed to beneficially own these securities.
Michael Kramarz and Robert Egen Atkinson are the managing partners of the Firm and exercise investment discretion with respect to these
securities. Ownership percentages are based on 16,831,194 shares of Common Stock outstanding on October 25, 2023, as reported directly
by the Issuer to the Firm.
CUSIP
No. 41358P205 |
SCHEDULE
13G |
|
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 [ ]. |
Item
6. |
Ownership
of More Than Five Percent on Behalf of Another Person |
Not
Applicable.
Item
7. |
Identification
and Classification of the Subsidiary which 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 |
Not
Applicable.
Item
9. |
Notice
of Dissolution of Group |
Not
Applicable.
Item
10. |
Certification |
|
|
|
By
signing below I certify that, to the best of my 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. |
CUSIP
No. 41358P205 |
SCHEDULE
13G |
|
SIGNATURE
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.
Dated:
November 3, 2023
Commodore
Capital LP |
|
|
|
|
By: |
/s/
Michael Kramarz |
|
Michael
Kramarz, Managing Partner |
|
|
|
|
Commodore
Capital Master LP |
|
|
|
|
By: |
/s/
Michael Kramarz |
|
Michael
Kramarz, Authorized Signatory |
|
Exhibit
1
JOINT
FILING AGREEMENT
The
undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned, and that
all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity
of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of
such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible
for the completeness and accuracy of the information concerning the other, except to the extent that it knows or has reason to believe
that such information is inaccurate.
Dated:
November 3, 2023
Commodore
Capital LP |
|
|
|
|
By: |
/s/
Michael Kramarz |
|
Michael
Kramarz, Managing Partner |
|
|
|
|
Commodore
Capital Master LP |
|
|
|
|
By: |
/s/
Michael Kramarz |
|
Michael
Kramarz, Authorized Signatory |
|
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