Amended Statement of Beneficial Ownership (sc 13d/a)
17 Febrero 2015 - 3:05PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
ACCELERON
PHARMA INC.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
00434H108
(CUSIP Number)
|
|
|
Polaris Partners
1000 Winter Street, Suite 3350
Waltham, MA 02451 |
|
Gunderson Dettmer Stough Villeneuve
Franklin & Hachigian, LLP
One Marina Park Drive, Suite 900
Boston, MA 02210 Attn:
Jay K. Hachigian, Esq. (617) 648-9100 |
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
December 31, 2014
(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 to be 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. 00434H108 |
|
Page 2 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Polaris Venture Partners
IV, L.P. (PVP IV) |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
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 Delaware |
Number of
Shares Beneficially
Owned by Each
Reporting Person
With |
|
7. |
|
Sole Voting Power
2,534,211 shares, of which (a) 2,353,693 shares are Common Stock and (b) 180,518 shares
represent underlying Common Stock pursuant to a warrant exercisable within 60 days, except that (i) Polaris Venture Management Co. IV, L.L.C. (PVM IV), the general partner of PVP IV, may be deemed to have sole power to vote these shares,
and (ii) Jonathan A. Flint (Flint), a managing member of PVM IV, may be deemed to have shared power to vote these shares, Terrance G. McGuire (McGuire), a managing member of PVM IV, may be deemed to have shared power to vote
these shares and Alan Spoon (Spoon), a managing member of PVM IV, may be deemed to have shared power to vote these shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
2,534,211 shares, of which (a) 2,353,693 shares are Common Stock and (b) 180,518 shares
represent underlying Common Stock pursuant to a warrant exercisable within 60 days, except that (i) PVM IV, the general partner of PVP IV, may be deemed to have sole power to dispose of these shares, and (ii) Flint, a managing member of PVM IV, may
be deemed to have shared power to dispose of these shares, McGuire, a managing member of PVM IV, may be deemed to have shared power to dispose of these shares and Spoon, a managing member of PVM IV, maybe be deemed to have shared power to dispose of
these shares. |
|
10. |
|
Shared Dispositive Power
See response to row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,534,211 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 7.9% |
14. |
|
Type of Reporting Person (See
Instructions) PN |
|
|
|
CUSIP No. 00434H108 |
|
Page 3 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Polaris Venture Partners
Entrepreneurs Fund IV, L.P. (PVPE IV) |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
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 Delaware |
Number of
Shares Beneficially
Owned by Each
Reporting Person
With |
|
7. |
|
Sole Voting Power
46,080 shares, of which (a) 42,696 shares are Common Stock and (b) 3,384 shares represent
underlying Common Stock pursuant to a warrant exercisable within 60 days, except that (i) PVM IV, the general partner of PVPE IV, may be deemed to have sole power to vote these shares, and (ii) Flint, a managing member of PVM IV, may be deemed to
have shared power to vote these shares, McGuire, a managing member of PVM IV, may be deemed to have shared power to vote these shares and Spoon, a managing member of PVM IV, may be deemed to have shared power to vote these shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
46,080 shares, of which (a) 42,696 shares are Common Stock and (b) 3,384 shares represent
underlying Common Stock pursuant to a warrant exercisable within 60 days, except that (i) PVM IV, the general partner of PVPE IV, may be deemed to have sole power to dispose of these shares, and (ii) Flint, a managing member of PVM IV, may be deemed
to have shared power to dispose of these shares, McGuire, a managing member of PVM IV, may be deemed to have shared power to dispose of these shares, and Spoon, a managing member of PVM IV, may be deemed to have shared power to dispose of these
shares. |
|
10. |
|
Shared Dispositive Power
See response to Row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
46,080 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 0.1% |
14. |
|
Type of Reporting Person (See
Instructions) PN |
|
|
|
CUSIP No. 00434H108 |
|
Page 4 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Polaris Venture
Management Co. IV, L.L.C. (PVM IV) |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
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 Delaware |
Number of
Shares Beneficially
Owned by Each
Reporting Person
With |
|
7. |
|
Sole Voting Power
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that Flint, a managing member of PVM IV (which is general partner of PVP IV and PVPE IV), may be deemed to have shared power to vote these shares, McGuire, a managing member of PVM IV, may
be deemed to have shared power to vote these shares, and Spoon, a managing member of PVM IV, may be deemed to have shared power to vote these shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that Flint, a managing member of PVM IV (which is general partner of PVP IV and PVPE IV), may be deemed to have shared power to dispose of these shares, McGuire, a managing member of PVM
IV, may be deemed to have shared power to dispose of these shares, and Spoon, a managing member of PVM IV, may be deemed to have shared power to dispose of these shares. |
|
10. |
|
Shared Dispositive Power
See response to row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,580,291 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 8.0% |
14. |
|
Type of Reporting Person (See
Instructions) OO |
|
|
|
CUSIP No. 00434H108 |
|
Page 5 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Jonathan A.
Flint |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
3. |
|
SEC Use Only
|
4. |
|
Source of Funds (See Instructions)
AF |
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
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as the general partner of PVP IV and PVPE IV, may be deemed to have sole power to vote PVP IVs and PVPE IVs shares (collectively, the Fund IV Shares),
McGuire, as a managing member of PVM IV, may be deemed to have shared power to vote the Fund IV Shares, and Spoon, as a managing member of PVM IV, may be deemed to have shared power to vote the Fund IV Shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as general partner of PVP IV and PVPE IV, may be deemed to have sole power to dispose of the Fund IV Shares, McGuire, as a managing member of PVM IV, may be deemed to have
shared power to dispose of the Fund IV Shares, and Spoon, as a managing member of PVM IV, may be deemed to have shared power to dispose of the Fund IV Shares. |
|
10. |
|
Shared Dispositive Power
See response to row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,580,291 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 8.0% |
14. |
|
Type of Reporting Person (See
Instructions) IN |
|
|
|
CUSIP No. 00434H108 |
|
Page 6 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Terrance G.
McGuire |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
3. |
|
SEC Use Only
|
4. |
|
Source of Funds (See Instructions)
AF |
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
2,583,624 shares, of which (a) McGuire owns 3,333 shares directly (all of which are
options to purchase shares of Common Stock) (b) 2,353,693 shares of Common Stock directly owned by PVP IV, (c) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (d) 42,696 shares of
Common Stock directly owned by PVPE IV and (e) 3,384 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as the general partner of PVP IV and PVPE IV, may be deemed to have
sole power to vote the Fund IV Shares, Flint, as a managing member of PVM IV, may be deemed to have shared power to vote the Fund IV Shares, and Spoon, as a managing member of PVM IV, may be deemed to have shared power to vote the Fund IV
Shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
2,583,624 shares, of which (a) McGuire owns 3,333 shares directly (all of which are
options to purchase shares of Common Stock) (b) 2,353,693 shares of Common Stock directly owned by PVP IV, (c) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (d) 42,696 shares of
Common Stock directly owned by PVPE IV and (e) 3,384 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as general partner of PVP IV and PVPE IV, maybe deemed to have sole
power to dispose of the Fund IV Shares, Flint, as a managing member of PVM IV, may be deemed to have shared power to dispose of the Fund IV Shares, and Spoon, as a managing member of PVM IV, may be deemed to have shared power to dispose of the Fund
VI Shares. |
|
10. |
|
Shared Dispositive Power
See response to row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,583,624 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 8.0% |
14. |
|
Type of Reporting Person (See
Instructions) IN |
|
|
|
CUSIP No. 00434H108 |
|
Page 7 of 12 |
|
|
|
|
|
|
|
1. |
|
Names of
Reporting Persons. Alan G.
Spoon |
2. |
|
Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ¨ (b) x |
3. |
|
SEC Use Only
|
4. |
|
Source of Funds (See Instructions)
AF |
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
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as the general partner of PVP IV and PVPE IV, may be deemed to have sole power to vote the Fund IV Shares, Flint, as a managing member of PVM IV, may be deemed to have shared
power to vote the Fund IV Shares, and McGuire, a managing member of PVM IV, may be deemed to have shared power to vote the Fund IV Shares. |
|
8. |
|
Shared Voting Power
See response to row 7. |
|
9. |
|
Sole Dispositive Power
2,580,291 shares, of which (a) 2,353,693 shares of Common Stock directly owned by PVP IV,
(b) 180,518 shares represent underlying Common Stock pursuant to a warrant exercisable within 60 days issued to PVP IV, (c) 42,696 shares of Common Stock directly owned by PVPE IV and (d) 3,384 shares represent underlying Common Stock pursuant to a
warrant exercisable within 60 days issued to PVPE IV, except that PVM IV, as general partner of PVP IV and PVPE IV, may be deemed to have sole power to dispose of the Fund IV Shares, Flint, as a managing member of PVM IV, may be deemed to have
shared power to dispose of the Fund IV Shares, and McGuire, a member of PVM IV, may be deemed to have shared power to dispose of the Fund IV Shares. |
|
10. |
|
Shared Dispositive Power
See response to row 9. |
11. |
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,580,291 |
12. |
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions) ¨ |
13. |
|
Percent of Class Represented by Amount
in Row (11) 8.0% |
14. |
|
Type of Reporting Person (See
Instructions) IN |
|
|
|
CUSIP No. 00434H108 |
|
Page
8
of 12 |
SCHEDULE 13D
This Amendment No. 3 (Amendment No. 3) amends and supplements the Schedule 13D originally filed with the Securities and Exchange
Commission (the SEC) on February 14, 2014, by the Reporting Persons, as amended by Amendment No. 1 (Amendment No. 1) filed with the SEC on April 7, 2014 and Amendment No. 2 (Amendment
No. 2) filed with the SEC on May 13, 2014 (collectively, the Schedule 13D), with respect to shares of common stock, par value $0.001 per share of the Issuer (Common Stock) beneficially owned by the Reporting
Persons. Except as amended or supplemented in this Amendment No. 3, all other information in the Schedule 13D is as set forth therein. Capitalized terms used herein but not defined shall have the meanings ascribed thereto in the Schedule 13D.
Item 5. Interest in Securities of the Issuer.
The information below is based on a total of 32,253,193 shares of Common Stock outstanding as of October 31, 2014, as reported on the Issuers Form
10-Q Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 filed with the Securities and Exchange Commission on November 7, 2014.
(a) PVP IV directly beneficially owns 2,534,211 shares, of which (a) 2,353,693 shares are Common Stock and (b) 180,518 shares represent underlying
Common Stock pursuant to a warrant exercisable within 60 days, or approximately 7.9% of the Common Stock outstanding. PVPE IV directly beneficially owns 46,080 shares, of which (a) 42,696 shares are Common Stock and (b) 3,384 shares
represent underlying Common Stock pursuant to a warrant exercisable within 60 days, or approximately 0.1% of the Common Stock outstanding. PVM IV, as the general partner of PVP IV and PVPE IV, may be deemed to indirectly beneficially own the
securities owned by PVP IV and PVPE IV. In addition, McGuire, in connection with his role as a member of the Board of Directors of the Issuer, owns 3,333 shares directly (all of which are options to purchase shares of Common Stock).
(b) Each of McGuire, Flint and Spoon, the managing members of PVM IV may be deemed to share the power to vote or direct the voting of and to dispose or direct
the disposition of the securities of the Issuer that are beneficially owned by PVP IV and PVPE IV. Each such person disclaims beneficial ownership of all securities other than those he or she owns directly, if any, or by virtue of his or her
indirect pro rata interest, as a member of PVM IV, in the securities owned by PVP IV and PVPE IV.
Item 7. Material to be Filed as Exhibits.
Exhibit AJoint Filing Agreement
|
|
|
CUSIP No. 00434H108 |
|
Page
9
of 12 |
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.
Date: February 17, 2015
|
|
|
POLARIS VENTURE PARTNERS IV, L.P. |
|
By: Polaris Venture Management Co. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV, L.P. |
|
By: Polaris Venture Management Co. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
POLARIS VENTURE MANAGEMENT CO. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
JONATHAN A. FLINT |
|
|
By: |
|
* |
|
|
Jonathan A. Flint |
|
TERRANCE G. MCGUIRE |
|
|
By: |
|
* |
|
|
Terrance G. McGuire |
|
|
|
CUSIP No. 00434H108 |
|
Page
10
of 12 |
|
|
|
ALAN G. SPOON |
|
|
By: |
|
* |
|
|
Alan G. Spoon |
|
|
|
*By: |
|
/s/ John Gannon |
Name: |
|
John Gannon |
|
|
Attorney-in-Fact |
[This Schedule 13D was executed pursuant to a Power of Attorney. Note that copies of the applicable Powers of
Attorney are already on file with the appropriate agencies.]
|
|
|
CUSIP No. 00434H108 |
|
Page 11 of 12 |
Exhibit A
AGREEMENT REGARDING THE JOINT FILING OF
SCHEDULE 13D
The undersigned, being duly
authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this
Schedule jointly on behalf of each such party.
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 17, 2015
|
|
|
POLARIS VENTURE PARTNERS IV, L.P. |
|
By: Polaris Venture Management Co. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV, L.P. |
|
By: Polaris Venture Management Co. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
POLARIS VENTURE MANAGEMENT CO. IV, L.L.C. |
|
|
By: |
|
* |
|
|
Managing Member |
|
JONATHAN A. FLINT |
|
|
By: |
|
* |
|
|
Jonathan A. Flint |
|
|
|
CUSIP No. 00434H108 |
|
Page 12 of 12 |
|
|
|
TERRANCE G. MCGUIRE |
|
|
By: |
|
* |
|
|
Terrance G. McGuire |
|
ALAN G. SPOON |
|
|
By: |
|
* |
|
|
Alan G. Spoon |
|
|
|
|
|
*By: |
|
/s/ John Gannon |
Name: |
|
John Gannon |
|
|
Attorney-in-Fact |
[This Schedule 13D was executed pursuant to a Power of Attorney. Note that copies of the applicable Powers of
Attorney are already on file with the appropriate agencies.]
Acceleron Pharma (NASDAQ:XLRN)
Gráfica de Acción Histórica
De Sep 2024 a Oct 2024
Acceleron Pharma (NASDAQ:XLRN)
Gráfica de Acción Histórica
De Oct 2023 a Oct 2024