美国
证券与交易委员会
华盛顿特区 20549
13G表
根据1934年证券交易法
(修改编号)*
AlloVir,公司。 |
(发行人名称) |
普通股,每股面值0.0001美元 |
(证券种类名称) |
019818103 | ||
(CUSIP编号) | ||
2024年9月30日 | ||
(需要提交此声明的事件日期)。 |
请勾选适当的方框以指定根据哪条规则提交此安排表:
x | 13d-1(b)规则 | |
o | 13d-1(c)规则 | |
o | 13d-1(d)规则 |
本封面其余部分应填写对于报告人首次提交关于所涉证券的类别的信息以及任何后续修改的表格,该修改包含了在原先的封面中所提供的信息。
本封面剩余部分所需的信息不应被视为“在1934年证券交易法案(“法案”)第18节的目的上提交的”或其他受该法案条款约束的信息,但应受该法案的所有其他规定的约束(但请参见说明)。
页面 1第8页 |
CUSIP 编号 019818103 | ||
1 |
报告人的名称 报告人的纳税人识别号码(仅限实体)
普通股,每股票面价值0.00001美元(“普通股”) | |
2 |
如果是组合成员,请勾选适用的框(请参阅说明)
|
(a)o (b)o |
3 |
SEC® 仅限使用
| |
4 |
公民身份或组织地点
特拉华州 |
持有的受益股份数量 每个报告人持有的受益股份数量 有益的 拥有人 每个报告人的: 持有: |
5 |
唯一拥有投票权的股份数量
0 |
6 |
具有共同投票权
11,202,000 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
11,202,000 |
9 |
每位报告人受益拥有的合计数量
11,202,000 |
10 |
如果第九行的合计金额不包括某些股票,请勾选方框(见说明书)
o |
11 |
第9行金额占整个类别的百分比
9.7% |
12 |
报告人类型(请参阅说明)
IA,PN |
页面 2第8页 |
CUSIP编号 019818103 | ||
1 |
报告人的名称 报告人的纳税人识别号码(仅限实体)
八角投资主基金有限合伙 | |
2 |
如果是组合成员,请勾选适用的框(请参阅说明)
|
(a)o (b)o |
3 |
SEC® 仅限使用
| |
4 |
公民身份或组织地点
开曼群岛 |
持有的受益股份数量 每个报告人持有的受益股份数量 有益的 拥有人 每个报告人的: 持有: |
5 |
唯一拥有投票权的股份数量
0 |
6 |
具有共同投票权
11,202,000 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
11,202,000 |
9 |
每位报告人受益拥有的合计数量
11,202,000 |
10 |
如果第九行的合计金额不包括某些股票,请勾选方框(见说明书)
o |
11 |
第9行金额占整个类别的百分比
9.7% |
12 |
报告人类型(请参阅说明)
OO,PN |
页面 3第8页 |
CUSIP编号:019818103 | ||
1 |
报告人的名称 报告人的纳税人识别号码(仅限实体)
Ting Jia | |
2 |
如果是组合成员,请勾选适用的框(请参阅说明)
|
(a)o (b)o |
3 |
SEC® 仅限使用
| |
4 |
公民身份或组织地点
中国 |
持有的受益股份数量 每个报告人持有的受益股份数量 有益的 拥有人 每个报告人的: 持有: |
5 |
唯一拥有投票权的股份数量
0 |
6 |
具有共同投票权
11,202,000 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
11,202,000 |
9 |
每位报告人受益拥有的合计数量
11,202,000 |
10 |
如果第九行的合计金额不包括某些股票,请勾选方框(见说明书)
o |
11 |
第9行金额占整个类别的百分比
9.7% |
12 |
报告人类型(请参阅说明)
HC,印度 |
页面 4第8页 |
项目1(a)。 | 发行人名称: |
AlloVir,公司。 | |
项目1(b)。 | 发行人主要执行办公室的地址: |
1100 Winter Street, Waltham, MA 02451 | |
项目2(a)。 | 申报人姓名: |
此声明由以下各方联合提交:
八角资本顾问LP("八角") 八角投资控股基金LP("控股基金") 作为八角的实质受益人的井甲("井先生")
以上各方分别被称为"报告人",并合称"报告人"。
八角担任控股基金的投资经理。井先生是八角的管理成员。由于这些关系,八角和井先生各自可被视为直接拥有控股基金所直接拥有的发行人普通股的受益人。
| |
第2(b)项。 | 主要业务地点或居住地地址: |
每个报告人的办公地址为麦迪逊大道654号,21楼21世纪医疗改革法案 纽约,NY 10065 | |
第2(c)项。 | 国籍: |
Octagon是一个特拉华州有限合伙制企业。主基金是在开曼群岛成立的豁免有限合伙。贾先生是一名中国公民。 | |
第2(d)项。 | 证券种类名称: |
普通股,面值$0.0001(“普通股”) | |
第2(e)项。 | CUSIP编号: 019818103 |
页面 5第8页 |
第3项。 | 如果根据 240.13d-1(b) 或 240.13d-2(b) 或 (c)条规提交此声明,请检查提交人是以下哪种类型: | ||
(a) | o | 根据证券法第15条注册的经纪人或交易商; | |
(b) | o | 根据证券法第3(a)(6)条定义的银行; | |
(c) | o | 根据该法案第3(a)(19)条定义的保险公司; | |
(d) | o | 根据1940年投资公司法第8条注册的投资公司; | |
(e) | x | 根据13d-1(b)(1)(ii)(E)规则的投资顾问; | |
(f) | o | 根据13d-1(b)(1)(ii)(F)规则的员工福利计划或捐赠基金; | |
(g) | x | 根据13d-1(b)(1)(ii)(G)规则的母公司或控制人; | |
(h) | o | 根据联邦存款保险法第3(b)条规定的储蓄机构(12 U.S.C. 1813); | |
(i) | o | 它是一种教会计划,根据1940年投资公司法第3(c)(14)条被排除在投资公司的定义之外; | |
(j) | o | 根据240.13d-1(b)(1)(ii)(J)规则的非美国机构; | |
(k) | o | 根据第240.13d-1(b)(1)(ii)(K)规定, 按照非美国机构的要求进行申报,根据第240.13d-1(b)(1)(ii)(J)的规定,请指明机构类型: |
Item 4. | Ownership. | |||
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. | ||||
(a) | Amount Beneficially Owned: | 11,202,000 | ||
(b) | Percent of Class: | 9.7% | ||
The percentage reported on this Schedule 13G is calculated based upon 115,365,282 Common Shares outstanding as of August 2, 2024, as reported in the Form 10-Q filed by the Issuer on August 9, 2024. | ||||
(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: | 11,202,000 | ||
(iii) | sole power to dispose or to direct the disposition of: | 0 | ||
(iv) | shared power to dispose or to direct the disposition of: | 11,202,000 |
Page 6 of 8 |
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 o. | |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Octagon is the investment advisor to the Master Fund and other accounts. Mr. Jia is the control person of Octagon. The Master Fund holds the Common Shares for the benefit of its investors. The Master Fund and Octagon, for the benefit of its investors, have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Shares. | |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. |
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, other than activities solely in connection with a nomination under § 240.14a-11. |
Page 7 of 8 |
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: October 11, 2024 | OCTAGON CAPITAL ADVISORS LP | |
/s/ Ting Jia | ||
Name: | Ting Jia | |
Title: | Managing Member |
OCTAGON INVESTMENTS MASTER FUND LP | ||
By: Octagon Investments GP, LLC, its general partner | ||
/s/ Ting Jia | ||
Name: | Ting Jia | |
Title: | Managing Member | |
TING JIA
/s/ Ting Jia | ||
Name: | Ting Jia |
Pages 8 of 8