美國
證券交易委員會
華盛頓特區 20549
13D安排
根據1934年證券交易法
(第二號修正案)*
特考尼克治療公司。
(發行人名稱)
普通股,每股面值0.0001美元
(證券類別名稱)
878972108
(CUSIP編號)
301 Hillsborough Street, Suite 1400 Raleigh, NC 27603
納爾遜·莫林斯·賴利和斯卡伯勒律師事務所(Nelson Mullins Ridley & Scarborough LLP)
華盛頓特區101號憲法大街,900號
華盛頓,特區 20001
電話:(202) 689-2800
傳真:(202) 689-2860
(收到通知和信息的授權人的名稱、地址和電話號碼)
2024年10月22日
需要提交本聲明的事件的日期
如果申報人此前已提交13G表格聲明報告了本13D表格所涉及的收購事項,並且出於§§240.13d-1(e)、240.13d-1(f)或240.13d-1(g)的原因提交了本表格,請選擇以下框。 ☐
注意:以紙質形式提交的日程安排應包括一份簽字原件和五份包括所有附件在內的日程安排副本。有關副本發送對象,請參閱§240.13d-7。
* | 本封面的其餘部分應填寫關於報告人對所述證券種類的初始申報,幷包括任何之後的修正,其中包含可能會影響先前封面披露的信息的信息。 |
在本封面剩餘部分所要求的信息不得被視爲根據《證券交易法》第18條的目的「已提交的文件」,也不會受到該條款的責任限制,但應遵守該法的所有其他規定(但是,參見注釋)。
CUSIP編號. 878972108 | 13D | 7頁之2 |
1. |
舉報人姓名。
蒂莫西 A. 斯普林格 |
2. |
如果是群組成員,請選中相應的複選框(參見說明)
(a) ☐ (b) ☐ |
3. |
僅限美國證券交易委員會使用
|
4. |
資金來源(見說明)
PF,WC |
5. |
檢查是否需要根據項目披露法律程序 2 (d) 或 2 (e) ☐
|
6. |
國籍或組織地點
美國 |
數量 的 擁有的 持有人 每人 報告 0 與 |
7. |
單獨表決權
4,593,121 (1) |
8. |
共同表決權
0 | |
9. |
唯一決策權
4,593,121 (1) | |
10. |
共同決策權
0 |
11. |
每個報告人擁有的股份總金額
4,593,121 (1) |
12. |
檢查第(11)行的累計金額是否排除特定股份(請參見說明) ☐
|
13. |
行(11)中金額所代表的類別佔總類別的百分比
31.2% (2) |
14. |
報告人類型 (見說明)
IN, OO |
(1) | 包括(i)Dr. Springer直接持有的4,096,764股普通股,(ii)TAS Partners LLC持有的310,223股普通股,Dr. Springer是經理並擁有獨立的投票權和決定權,並擁有的控制權,以及(iii)Dr. Lu直接持有的186,134股普通股。 |
(2) | 第13行報告的百分比是根據《規則13d-3》根據報告人持有的普通股份總數以及截至2024年8月9日的14,734,479股普通股的總數計算的,這些信息在2024年8月14日日期的發行人10-Q季度報告中報告。 |
CUSIP編號. 878972108 | 13D | 7頁之3 |
1. |
報告人的姓名。
TAS合夥人有限責任公司 |
2. |
如屬於一組成員,請勾選適用的框(見說明書)
(a) ☐ (b) ☐ |
3. |
僅供SEC使用
|
4. |
資金來源(見說明書)
未知 |
5. |
請檢查是否根據2(d)或2(e)需要披露法律訴訟 ☐
|
6. |
公民身份或組織地點
特拉華州 |
數量 的 擁有的 持有人 每人 報告 0 與 |
7. |
單獨表決權
310,223 (1) |
8. |
共同表決權
0 | |
9. |
唯一決策權
310,223 (1) | |
10. |
共同決策權
0 |
11. |
每個報告人擁有的股份總金額
310,223 (1) |
12. |
檢查第(11)行的累計金額是否排除特定股份(請參見說明) ☐
|
13. |
行(11)中金額所代表的類別佔總類別的百分比
2.1% (2) |
14. |
報告人類型 (見說明)
OO |
(1) | 由TAS合作伙伴有限責任公司直接持有的310,223股普通股組成。 |
(2) | 第13行報告的百分比是根據規則13d-3計算的,基於報告人擁有的普通股受益所有權股份數量和截至2024年8月9日期間發行人第10-Q表格中報告的持有的普通股共14734479股。 |
CUSIP編號. 878972108 | 13D | 第4頁共7頁 |
1. |
報告人的姓名。
查芬·盧 |
2. |
如屬於一組成員,請勾選適用的框(見說明書)
(a) ☐ (b) ☐ |
3. |
僅供SEC使用
|
4. |
資金來源(見說明書)
PF、WC |
5. |
請檢查是否根據2(d)或2(e)需要披露法律訴訟 ☐
|
6. |
公民身份或組織地點
美國 |
數量 的 擁有的 持有人 每人 報告 0 與 |
7. |
單獨表決權
186,134 (1) |
8. |
共同表決權
0 | |
9. |
唯一決策權
186,134 (1) | |
10. |
共同決策權
0 |
11. |
每個報告人擁有的股份總金額
186,134 (1) |
12. |
檢查第(11)行的累計金額是否排除特定股份(請參見說明) ☐
|
13. |
行(11)中金額所代表的類別佔總類別的百分比
1.3% (2) |
14. |
報告人類型 (見說明)
OO |
(1) | 由盧博士直接持有的普通股186,134股組成。 |
(2) | 第13行報告的百分比是根據《規則13d-3》根據報告人持有的普通股份總數以及截至2024年8月9日的14,734,479股普通股的總數計算的,這些信息在2024年8月14日日期的發行人10-Q季度報告中報告。 |
CUSIP編號. 878972108 | 13D | 第5/7頁 |
項目1。 | 證券和發行公司。. |
本修正第2號陳述日程表13D(本「聲明」)涉及特科尼克治療公司(Delaware的股票,每股面值爲$0.0001(「股票」)),最初由蒂莫西•斯普林格(「斯普林格博士」)和TAS Partners LLC(「TAS」)於2024年6月26日提交,並由修正第1號修正於2024年9月26日添加盧察芬(「盧博士」和斯普林格博士及TAS共同爲「報告人」)爲報告人。進一步修改的日程表13D在下文中修改了日程表13D。
All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D. Except as specifically amended by this Amendment No. 2, items in the Schedule 13D are unchanged.
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 3 of the Schedule 13D is hereby amended to be supplemented by the following:
On October 22, 2024, Dr. Springer entered into a Stock Purchase Agreement with Atlas Venture Fund X, L.P. (“Atlas”), pursuant to which Dr. Springer purchased 300,000 Shares from Atlas at a purchase price of $33.59 per share, or $10,077,000 in the aggregate, payable in cash. Dr. Springer represented that he was an “accredited investor,” as defined in Regulation D, and was acquiring such Shares for investment only and not with a view towards, or for resale in connection with, the public sale or distribution thereof. The closing occurred on October 24, 2024.
The foregoing summary of the Stock Purchase Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Stock Purchase Agreement, a copy of which is filed as Exhibit 99.6 to this Schedule 13D.
CUSIP No. 878972108 | 13D | Page 6 of 7 Pages |
Item 5. | Interest in Securities of the Issuer. |
The information set forth under Item 3 and the cover pages of this Statement is incorporated herein by reference into this Item 5.
(a) The percentages of beneficial ownership reported in this Item 5, and on each Reporting Person’s cover page to this Schedule 13D, are based on a total of 14,734,479 Shares issued and outstanding as of August 9, 2024, as reported on the Issuer’s Quarterly Report on Form 10-Q, dated August 14, 2024. The number of Shares beneficially owned by each Reporting Person has not changed since the date of event that requires filing of this Statement.
The Reporting Persons, in the aggregate, beneficially own 4,593,121 Shares, representing approximately 31.2% of such class of securities.
Dr. Springer is the beneficial owner of a total of 4,593,121 Shares, representing approximately 31.2% of the outstanding Shares and consisting of (i) 4,096,764 Shares held directly, (ii) 310,223 Shares held by TAS and (iii) 186,134 Shares held by Dr. Lu.
TAS is the beneficial owner of a total of 310,223 Shares, representing approximately 2.1% of the outstanding Shares. TAS holds all such Shares directly. Dr. Springer is the sole managing member of TAS.
Dr. Lu is the beneficial owner of a total of 186,134 Shares, representing approximately 1.3% of the outstanding Shares. Dr. Lu holds all such Shares directly. Dr. Lu is the spouse of Dr. Springer.
(b) Dr. Springer exercises sole voting and dispositive power over the Shares held by him directly and the Shares held by TAS. Dr. Springer disclaims beneficial ownership of the Shares held by TAS, except to the extent of his pecuniary interest therein. Dr. Lu exercises sole voting and dispositive power over the Shares held by her directly.
(c) The Reporting Persons have not engaged in any transactions with respect to the Shares during the 60 days before the date of this filing, except as described in Item 3 above.
(d) No person other than the Reporting Persons is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares.
(e) Not applicable.
[signature page follows]
CUSIP No. 878972108 | 13D | Page 7 of 7 Pages |
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: October 24, 2024
/s/ Timothy A. Springer | ||
Timothy A Springer | ||
/s/ Chafen Lu | ||
Chafen Lu | ||
TAS Partners LLC | ||
By: | /s/ Timothy A. Springer | |
Name: | Timothy A. Springer | |
Title: | Manager |