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
(修订编号。)
Dianthus Therapeutics公司 |
(发行人名称) |
普通股,每股0.001美元面值 |
(证券种类名称) |
252828108 | ||
(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并不被视为根据《1934年证券交易法》(“法案”)18条的“已备案”或其他受到该法案该条款责任制约的内容,但将受到该法案的所有其他规定的约束(但请参见注释)。
页面 1 9之1 |
CUSIP编号:252828108 | ||
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
1,746,667 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
1,746,667 |
9 |
每位报告人受益拥有的合计数量
1,746,667 |
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
6.0% |
12 |
报告人类型(请参阅说明)
IA,PN |
页面 2 9之1 |
CUSIP编号:252828108 | ||
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
1,455,000 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
1,455,000 |
9 |
每位报告人受益拥有的合计数量
1,455,000 |
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
5.0% |
12 |
报告人类型(请参阅说明)
OO,PN |
页面 3 9之1 |
CUSIP编号:252828108 | ||
1 |
报告人的名称 报告人的纳税人识别号码(仅限实体)
八角私人机会基金II 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
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
291,667 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
291,667 |
9 |
每位报告人受益拥有的合计数量
291,667 |
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
1.0% |
12 |
报告人类型(请参阅说明)
OO,PN |
页面 4 9之1 |
CUSIP编号:252828108 | ||
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
1,746,667 | |
7 |
具有唯一处理权
0 | |
8 |
具有共同处理权
1,746,667 |
9 |
每位报告人受益拥有的合计数量
1,746,667 |
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
6.0% |
12 |
报告人类型(请参阅说明)
HC,印度 |
页面 5 9之1 |
项目1(a)。 | 发行人名称: |
Dianthus Therapeutics公司 | |
项目1(b)。 | 发行人主要执行办公室的地址: |
7 帝国广场,43号rd 楼,纽约,纽约10036 | |
项目2(a)。 | 申报人姓名: |
此声明由以下各方联合提交:
Octagon Capital Advisors LP("Octagon") 八角形投资控股企业基金有限合伙("控股企业 基金") Octagon私人机会基金II LP(" 私人 基金 II") 汪嘉,作为八角形的主要受益所有人("嘉先生")
上述每个被称为"报告人" 集体称为"报告人"
Octagon担任主基金和私人基金II的投资经理。贾先生是Octagon的管理成员。由于这些关系,Octagon和贾先生可能被认定为受益拥有主基金和私人基金II直接拥有的发行人普通股。
| |
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是一家特拉华州有限合伙。主要基金是在开曼群岛成立的免税有限合伙。第二私募基金是特拉华州有限合伙。贾先生是中国公民。 | |
第2(d)项。 | 证券种类名称: |
普通股,$0.001面值("普通股" | |
第2(e)项。 | CUSIP编号: 252828108 |
Page 6 of 9 |
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) | o | Broker or dealer registered under Section 15 of the Act; | |
(b) | o | Bank as defined in Section 3(a)(6) of the Act; | |
(c) | o | Insurance company as defined in Section 3(a)(19) of the Act; | |
(d) | o | Investment company registered under Section 8 of the Investment Company Act of 1940; | |
(e) | x | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); | |
(f) | o | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); | |
(g) | x | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); | |
(h) | o | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
(i) | o | 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; | |
(j) | o | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); | |
(k) | o | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
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: | 1,746,667 | ||
(b) |
Percent of Class: |
6.0% | ||
The percentage reported on this Schedule 13G is calculated based upon 29,354,320 Common Stock outstanding as of August 6, 2024, as reported in the Form 10-Q filed by the Issuer on August 8, 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: | 1,746,667 | ||
(iii) | sole power to dispose or to direct the disposition of: | 0 | ||
(iv) | shared power to dispose or to direct the disposition of: | 1,746,667 |
Page 7 of 9 |
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, the Private Fund II and other accounts. Mr. Jia is the control person of Octagon. The Master Fund holds the Common Stock for the benefit of its investors. The Private Fund II holds the Common Stock for the benefit of its investors. The Master Fund, the Private Fund II 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 Stock. | |
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 8 of 9 |
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 | |
OCTAGON PRIVATE OPPORTUNITIES FUND II 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 |
Page 9 of 9