Amended Statement of Ownership (sc 13g/a)
14 Febrero 2022 - 4:40PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Yumanity
Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
98872L102
(CUSIP Number)
December 31, 2021
(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 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. 98872L102
1
|
Name of Reporting Person
Redmile Group, LLC
|
2
|
Check the Appropriate Box if
a Member of a Group (See Instructions)
(a) ¨
(b) ¨
|
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
0
|
6
|
Shared Voting Power
62,546 (1)
|
7
|
Sole
Dispositive Power
0
|
8
|
Shared Dispositive Power
62,546 (1)
|
9
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
62,546 (1)
|
10
|
Check if the Aggregate Amount
in Row (9) Excludes Certain Shares (See Instructions)
|
11
|
Percent of Class Represented
by Amount in Row (9)
0.6%(2)
|
12
|
Type of Reporting Person (See
Instructions)
IA, OO
|
|
|
|
|
(1)
Redmile Group, LLC’s beneficial ownership of the Issuer’s common stock (“Common Stock”) is comprised of
62,546 shares of Common Stock issuable upon exercise of certain Warrants to Purchase Common Stock, as amended (the “Warrants”),
which are owned by certain private investment vehicles and/or separately managed accounts managed by Redmile Group, LLC, and which may
be deemed beneficially owned by Redmile Group, LLC as investment manager of such private investment vehicles and/or separately managed
accounts. The reported securities may also be deemed beneficially owned by Jeremy C. Green as the principal of Redmile Group, LLC. Redmile
Group, LLC and Mr. Green each disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in
such shares, if any.
(2)
Percentage based on (i) 10,308,350 shares of Common Stock outstanding as of November 8, 2021, as reported by the Issuer in its
Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2021 (the “Form 10-Q”), plus
(ii) 62,546 shares of Common Stock issuable upon exercise of the Warrants.
CUSIP No. 98872L102
1
|
Name of Reporting Person
Jeremy C. Green
|
2
|
Check the Appropriate Box if
a Member of a Group (See Instructions)
(a) ¨
(b) ¨
|
3
|
SEC Use Only
|
4
|
Citizenship or Place of Organization
United Kingdom
|
number
of
shares
beneficially
owned by
each
reporting
person with
|
5
|
Sole Voting Power
0
|
6
|
Shared Voting Power
62,546 (3)
|
7
|
Sole
Dispositive Power
0
|
8
|
Shared Dispositive Power
62,546 (3)
|
9
|
Aggregate Amount Beneficially
Owned by Each Reporting Person
62,546 (3)
|
10
|
Check if the Aggregate Amount
in Row (9) Excludes Certain Shares (See Instructions)
|
11
|
Percent of Class Represented
by Amount in Row (9)
0.6%(4)
|
12
|
Type of Reporting Person (See
Instructions)
IN, HC
|
|
|
|
|
(3)
Jeremy C. Green’s beneficial ownership of Common Stock is comprised of 62,546 shares of Common Stock issuable upon exercise
of the Warrants, which are owned by certain private investment vehicles and/or separately managed accounts managed by Redmile Group,
LLC, and which may be deemed beneficially owned by Redmile Group, LLC as investment manager of such private investment vehicles and/or
separately managed accounts. The reported securities may also be deemed beneficially owned by Jeremy C. Green as the principal of Redmile
Group, LLC. Redmile Group, LLC and Mr. Green each disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary
interest in such shares, if any.
(4)
Percentage based on (i) 10,308,350 shares of Common Stock outstanding as of November 8, 2021, as reported by the Issuer in its
Form 10-Q, plus (ii) 62,546 shares of Common Stock issuable upon exercise of the Warrants.
Item 1.
Yumanity Therapeutics, Inc.
|
(b)
|
Address of Issuer’s Principal Executive Offices
|
40 Guest Street, Suite 4410
Boston, MA 02135
Item 2.
|
(a)
|
Names of Persons Filing
|
Redmile Group, LLC
Jeremy C. Green
|
(b)
|
Address of Principal Business office or, if None, Residence
|
Redmile Group, LLC
One Letterman Drive
Building D, Suite
D3-300
The Presidio of San Francisco
San Francisco, California 94129
Jeremy C. Green
c/o Redmile Group, LLC
One Letterman Drive
Building D, Suite D3-300
The Presidio of San Francisco
San Francisco, California 94129
Redmile Group, LLC: Delaware
Jeremy C. Green: United Kingdom
|
(d)
|
Title of Class of Securities
|
Common Stock, $0.001 par value
98872L102
|
Item 3.
|
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
|
(a)
|
¨
|
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
|
|
|
|
|
|
(b)
|
¨
|
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
(c)
|
¨
|
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
|
|
|
|
(d)
|
¨
|
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
|
|
|
|
|
|
(e)
|
x
|
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
|
|
(f)
|
¨
|
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
(g)
|
x
|
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
(h)
|
¨
|
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
(i)
|
¨
|
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
|
|
(k)
|
¨
|
Group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance
with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: __________
|
|
(a)
|
Amount beneficially owned:
|
Redmile Group, LLC – 62,546 *
Jeremy C. Green – 62,546 *
Redmile Group, LLC – 0.6 %**
Jeremy C. Green – 0.6%**
|
(c)
|
Number of shares as to which Redmile Group, LLC has:
|
|
(i)
|
Sole power to vote or to direct the vote:
|
|
(ii)
|
Shared power to vote or to direct the vote:
|
|
(iii)
|
Sole power to dispose or to direct the disposition of:
|
|
(iv)
|
Shared power to dispose or to direct the disposition of:
|
Number of shares as to which Jeremy C. Green has:
|
(i)
|
Sole power to vote or to direct the vote:
|
|
(ii)
|
Shared power to vote or to direct the vote:
|
|
(iii)
|
Sole power to dispose or to direct the disposition of:
|
|
(iv)
|
Shared power to dispose or to direct the disposition of:
|
|
*
|
Redmile Group, LLC’s and Jeremy C. Green’s beneficial ownership of Common Stock is comprised
of 62,546 shares of Common Stock issuable upon exercise of the Warrants, which are owned by certain private investment vehicles and/or
separately managed accounts managed by Redmile Group, LLC, and which may be deemed beneficially owned by Redmile Group, LLC as investment
manager of such private investment vehicles and/or separately managed accounts. The reported securities may also be deemed beneficially
owned by Jeremy C. Green as the principal of Redmile Group, LLC. Redmile Group, LLC and Mr. Green each disclaim beneficial ownership of
these shares, except to the extent of its or his pecuniary interest in such shares, if any.
|
|
**
|
Percentage based on (i) 10,308,350 shares of Common Stock outstanding
as of November 8, 2021, as reported by the Issuer in its Form 10-Q plus (ii) 62,546 shares of Common Stock issuable upon exercise of
the Warrants.
|
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 5 percent of the class of securities, check the following x
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
N/A.
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
or Control Person.
|
See the response to Item 4.
Item 8.
|
Identification and Classification of Members of the Group.
|
N/A
Item 9.
|
Notice of Dissolution of Group.
|
N/A
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, other than activities solely in connection with
a nomination under § 240.14a-11.
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 14, 2022
|
Redmile Group, LLC
|
|
|
|
|
By:
|
/s/ Jeremy C. Green
|
|
|
Name: Jeremy C. Green
|
|
|
Title: Managing Member
|
|
|
/s/ Jeremy C. Green
|
|
|
Jeremy C. Green
|
Yumanity Therapeutics (NASDAQ:YMTX)
Gráfica de Acción Histórica
De Ago 2024 a Sep 2024
Yumanity Therapeutics (NASDAQ:YMTX)
Gráfica de Acción Histórica
De Sep 2023 a Sep 2024