證券交易委員會
華盛頓,DC 20549
13D附表
根據1934年證券交易法
(第五次修訂)*
Janux Therapeutics,Inc。
(發行人名稱)
普通股,每股面值0.001美元
(證券類別的名稱)
47103J 105
(CUSIP編號)
Jay Lichter,博士。
Avalon Ventures
1134 Kline Street
我們是GRI生物公司,一家特拉華州公司的法律顧問,就與證券交易委員會(以下簡稱「委員會」)根據1933年修正案的證券法(以下簡稱「法案」)通過的S-3表格(文件編號333-279348)相關的某些事項以及與該表格相關的供銷補充協議和於2024年5月16日的招股說明書(以下簡稱「基準招股說明書」)以及於2024年7月19日的關於發行最高爲1,038,886美元的股票(以下簡稱「股票」)的補充招股說明書(以下簡稱「招股說明書補充」)的申報文件進行了諮詢。這些股票是公司根據2024年5月20日與H.C. Wainwright & Co.,LLC(以下簡稱「銷售協議」)之間達成的市場交易協議出售的。
(858) 348-2180
如果申報人此前已在表格13G上報告本表13D的對象所涉及的獲取情況,並且
因爲規則13d-l(e)、13d-l(f)或13d-l(g)的緣故而報告此表格,請打勾此框☐。
)
2024年10月18日
(需要提交本聲明的事項的日期)
如果提交人此前已根據13G表格提交陳述以報告此13D表所述收購,並且出於240.13d-1(e)、240.13d-1(f) 或 240.13d-1(g)而提交此表格,請在下方勾選。¨
單張債券提交紙質格式的計劃應包括簽署的原件和五份副本,包括所有附件。有關副本的發送對象,請參閱第13d-7條規則。
* 本封面剩餘部分將用於有關證券主體類別的報告人首次提交此表格,以及任何後續修正包含可能改變之前封面提供信息的修訂。
本封面上所需的其餘信息不應被視爲《證券交易法》第18條的「已提交」文件或受此法規定的責任,但應受到該法其他條款的約束(請參見注釋)。
CUSIP編號47103J 105 | |||
1. | 報告人姓名 Avalon Ventures XI,L.P. | ||
2. | 如屬於一組成員,請勾選適用的框(見說明書) 業務所得財務報表¨ 概括財務信息x (1) | ||
3. | 僅供SEC使用 | ||
4. | 資金來源(見說明書) 未知 | ||
5. | 檢查是否根據2(d)或2(e)項的規定需要披露法律訴訟事項¨ | ||
6. | 公民身份或組織地點 特拉華州 | ||
數量 股份 實際控制權 每個受益人擁有 每一個 報告人 持有人 |
7. | 單獨表決權 0 | |
8. | 共同表決權 2,071,799股(2) | ||
9. | 唯一決策權 0 | ||
10. | 共同決策權 2,071,799股(2) | ||
11. | 每個報告人擁有的股份總金額 2,071,799股(2) | ||
12. | 檢查一下第(11)行的總金額是否不包括某些股份(請參閱說明)¨ | ||
13. | 佔第11行金額比例的班級百分比(%) 4.0% (3) | ||
14. | 報告人類型 (見說明) PN | ||
(1) | 本13D安排由Avalon Ventures XI, L.P.(「Avalon Ventures」),Avalon BioVentures SPV I, L.P.(「ABV SPV」), Avalon BioVentures I, LP(「ABV I」), Avalon Ventures XI GP LLC(「Avalon XI GP」), ABV SPV I GP LLC(「ABV SPV GP」), Avalon BioVentures GP, LLC (「ABV GP」), Kevin Kinsella(「Kinsella」), Richard Levandov(「Levandov」), Braden Bohrmann(「Bohrmann」), Jay Lichter博士(「Lichter」), Tighe Reardon(「Reardon」), Sergio G. Duron博士(「Duron」)和Sanford J. Madigan博士(「Madigan」和Avalon Ventures,ABV SPV,ABV I,Avalon XI GP,ABV SPV GP,ABV GP,Kinsella,Levandov,Bohrmann,Lichter,Reardon和Duron合稱爲「報告人」。報告人明確聲明不符合本13D安排「集團」的身份。 |
(2) | 股份由Avalon Ventures持有。Avalon XI GP是Avalon Ventures的普通合夥人,可能被視爲對Avalon Ventures持有的股份具有投票和投資權力。Kinsella、Levandov、Bohrmann和Lichter是Avalon XI GP的管理成員,並與Avalon Ventures持有的股份共享投票和投資權力。 |
(3) | 這一百分比是根據2024年8月5日在證券交易委員會(「SEC」)於2024年8月7日提交的發行人季度報告中披露的52164498股普通股基礎上計算的,經調整以反映此處描述的期權行權和根據SEC規則13d-3進一步調整。 |
2
CUSIP編號47103J 105 | |||
1. | 報告人姓名 Avalon BioVentures SPV I, L.P. | ||
2. | 如屬於一組成員,請勾選適用的框(見說明書) 業務所得財務報表¨ 概括財務信息x (1) | ||
3. | 僅供SEC使用 | ||
4. | 資金來源(見說明書) 未知 | ||
5. | 檢查是否根據2(d)或2(e)項的規定需要披露法律訴訟事項¨ | ||
6. | 公民身份或組織地點 特拉華州 | ||
數量 股份 實際控制權 每個受益人擁有 每一個 報告人 持有人 |
7. | 單獨表決權 0 | |
8. | 共同表決權 2,115,373股(2) | ||
9. | 唯一決策權 0 | ||
10. | 共同決策權 2,115,373股 (2) | ||
11. | 每個報告人擁有的股份總金額 2,115,373股 (2) | ||
12. | 檢查一下第(11)行的總金額是否不包括某些股份(請參閱說明)¨ | ||
13. | 佔第11行金額比例的班級百分比(%) 4.0% (3) | ||
14. | 報告人類型 (見說明) PN | ||
(1) | 此13D表格由報告人提交。 報告人明確聲明不作爲本13D表格目的「組」的身份。 |
(2) | ABV SPV持有股份。ABV SPV GP是ABV SPV的普通合夥人,可能被視爲對ABV SPV持有的股份具有投票和投資權力。Lichter和Reardon是ABV SPV GP的管理成員,就ABV SPV持有的股份分享投票和投資權力。 |
(3) | 此百分比是根據2024年8月5日在SEC提交的發行人 於2024年8月7日提交給SEC的10-Q表格中披露的共計52,164,498股流通普通股計算得出的,根據此處描述的期權行使進行調整,並根據SEC規則13d-3進行進一步調整。 |
3
CUSIP編號47103J 105 | |||
1. | 報告人姓名 Avalon BioVentures I, LP | ||
2. | 如屬於一組成員,請勾選適用的框(見說明書) 業務所得財務報表¨ 概括財務信息x (1) | ||
3. | 僅供SEC使用 | ||
4. | 資金來源(見說明書) 未知 | ||
5. | 檢查是否根據2(d)或2(e)項的規定需要披露法律訴訟事項¨ | ||
6. | 公民身份或組織地點 特拉華州 | ||
數量 股份 實際控制權 每個受益人擁有 每一個 報告人 持有人 |
7. | 單獨表決權 0 | |
8. | 共同表決權 401,321股(2) | ||
9. | 唯一決策權 0 | ||
10. | 共同決策權 401,321股 (2) | ||
11. | 每個報告人擁有的股份總金額 401,321股 (2) | ||
12. | 檢查一下第(11)行的總金額是否不包括某些股份(請參閱說明)¨ | ||
13. | 佔第11行金額比例的班級百分比(%) 0.8% (3) | ||
14. | 報告人類型 (見說明) PN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Shares are held by ABV I. ABV GP is the general partner of ABV I and may be deemed to have voting and investment power with respect to the shares held by ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
4
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Avalon Ventures XI GP LLC | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 0 | |
8. | Shared Voting Power 2,071,799 shares (2) | ||
9. | Sole Dispositive Power 0 | ||
10. | Shared Dispositive Power 2,071,799 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,071,799 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 4.0% (3) | ||
14. | Type of Reporting Person (See Instructions) OO | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Shares are held by Avalon Ventures. Avalon XI GP is the general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
5
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons ABV SPV I GP LLC | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 0 | |
8. | Shared Voting Power 2,115,373 shares (2) | ||
9. | Sole Dispositive Power 0 | ||
10. | Shared Dispositive Power 2,115,373 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,115,373 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 4.0% (3) | ||
14. | Type of Reporting Person (See Instructions) OO | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Shares are held by ABV SPV. ABV SPV GP is the general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV. Lichter and Reardon are the managing members of ABV SPV GP and share voting and investment power with respect to the shares held by ABV SPV. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
6
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Avalon BioVentures GP, LLC | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 0 | |
8. | Shared Voting Power 401,321 shares (2) | ||
9. | Sole Dispositive Power 0 | ||
10. | Shared Dispositive Power 401,321 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 401,321 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 0.8% (3) | ||
14. | Type of Reporting Person (See Instructions) OO | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Shares are held by ABV I. ABV GP is the general partner of ABV I and may be deemed to have voting and investment power with respect to the shares held by ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
7
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Kevin Kinsella | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 | |
8. | Shared Voting Power 2,071,799 shares (2) | ||
9. | Sole Dispositive Power 0 | ||
10. | Shared Dispositive Power 2,071,799 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,071,799 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 4.0% (3) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 2,071,799 shares of Common Stock held by Avalon Ventures. Avalon XI GP is the general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
8
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Richard Levandov | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 5,651 shares | |
8. | Shared Voting Power 2,071,799 shares (2) | ||
9. | Sole Dispositive Power 5,651 shares | ||
10. | Shared Dispositive Power 2,071,799 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,077,450 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 4.0% (3) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 2,071,799 shares of Common Stock held by Avalon Ventures. Avalon XI GP is the general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
9
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Braden Bohrmann | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 0 | |
8. | Shared Voting Power 2,071,799 shares (2) | ||
9. | Sole Dispositive Power 0 | ||
10. | Shared Dispositive Power 2,071,799 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,071,799 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 4.0% (3) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 2,071,799 shares of Common Stock held by Avalon Ventures. Avalon XI GP is the general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
10
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Jay Lichter, Ph.D. | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 50,233 shares (2) | |
8. | Shared Voting Power 4,588,493 shares (3) | ||
9. | Sole Dispositive Power 50,233 shares (2) | ||
10. | Shared Dispositive Power 4,588,493 shares (3) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,638,726 shares (2) (3) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 8.9% (4) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 43,960 shares of Common Stock issuable within 60 days of the date of the filing of this Schedule 13D upon exercise of stock options held by Lichter. |
(3) | Includes (i) 2,071,799 shares of Common Stock held by Avalon Ventures; (ii) 2,115,373 shares of Common Stock held by ABV SPV; and (iii) 401,321 shares of Common Stock held by ABV I. Avalon XI GP is the general partner of Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. ABV SPV GP is the general partner of ABV SPV. Lichter and Reardon are the managing members of ABV SPV GP and share voting and investment power with respect to the shares held by ABV SPV. ABV GP is the general partner of ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(4) | This percentage is calculated based on the sum of (i) 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024; and (ii) 43,960 shares of Common Stock issuable within 60 days of the date of the filing of this Schedule 13D upon exercise of stock options, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
11
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Tighe Reardon | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 333,381 shares (2) | |
8. | Shared Voting Power 2,516,694 shares (3) | ||
9. | Sole Dispositive Power 313,365 shares (2) | ||
10. | Shared Dispositive Power 2,516,694 shares (3) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 2,850,075 shares (2) (3) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 5.5% (4) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 202,482 shares of Common Stock issuable upon the exercise of stock options held by Reardon that are vested or will vest within 60 days of the date of the filing of this Schedule 13D. Also includes 20,016 shares of Common Stock issuable upon early exercise of stock options held by Reardon that will not vest within 60 days of the date of the filing of this Schedule 13D, for which he is considered to have voting, but not dispositive, power. |
(3) | Includes (i) 2,115,373 shares of Common Stock held by ABV SPV and (ii) 401,321 shares of Common Stock held by ABV I. ABV SPV GP is the general partner of ABV SPV. Lichter and Reardon are the managing members of ABV SPV GP and share voting and investment power with respect to the shares held by ABV SPV. ABV GP is the general partner of ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(4) | This percentage is calculated based on the sum of (i) 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024; and (ii) 222,498 shares of Common Stock issuable within 60 days of the date of the filing of this Schedule 13D upon exercise of stock options, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
12
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Sergio G. Duron, Ph.D. | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 57,874 shares | |
8. | Shared Voting Power 401,321 shares (2) | ||
9. | Sole Dispositive Power 57,874 shares | ||
10. | Shared Dispositive Power 401,321 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 459,195 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 0.9% (3) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 401,321 shares of Common Stock held by ABV I. ABV GP is the general partner of ABV I and may be deemed to have voting and investment power with respect to the shares held by ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
13
CUSIP No. 47103J 105 | |||
1. | Names of Reporting Persons Sanford Madigan, Ph.D. | ||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x (1) | ||
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 United States | ||
Number of Shares Beneficially Owned by Each Reporting Person With |
7. | Sole Voting Power 67,634 shares | |
8. | Shared Voting Power 401,321 shares (2) | ||
9. | Sole Dispositive Power 67,634 shares | ||
10. | Shared Dispositive Power 401,321 shares (2) | ||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person 468,955 shares (2) | ||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ¨ | ||
13. | Percent of Class Represented by Amount in Row (11) 0.9% (3) | ||
14. | Type of Reporting Person (See Instructions) IN | ||
(1) | This Schedule 13D is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13D. |
(2) | Includes 401,321 shares of Common Stock held by ABV I. ABV GP is the general partner of ABV I and may be deemed to have voting and investment power with respect to the shares held by ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(3) | This percentage is calculated based on 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024, as adjusted to reflect the exercise of stock options described herein and as further adjusted pursuant to SEC Rule 13d-3. |
14
Explanatory Note: This Amendment No. 5 (“Amendment No. 5”), which amends the Schedule 13D filed with the Securities and Exchange Commission (the “SEC”) on June 25, 2021 and amended on November 16, 2023, March 4, 2024, June 5, 2024 and September 16, 2024 (the “Original Schedule 13D”) filed on behalf of Avalon Ventures XI, L.P. (“Avalon Ventures”), Avalon BioVentures SPV I, L.P. (“ABV SPV”), Avalon BioVentures I, LP (“ABV I”), Avalon Ventures XI GP LLC (“Avalon XI GP”), ABV SPV I GP LLC (“ABV SPV GP”), Avalon BioVentures GP, LLC (“ABV GP”), Kevin Kinsella (“Kinsella”), Richard Levandov (“Levandov”), Braden Bohrmann (“Bohrmann”), Jay Lichter, Ph.D (“Lichter”), Tighe Reardon (“Reardon”), Sergio G. Duron, Ph.D. (“Duron”) and Sanford J. Madigan, Ph.D. (“Madigan” and, with Avalon Ventures, ABV SPV, ABV I, Avalon XI GP, ABV SPV GP, ABV GP, Kinsella, Levandov, Bohrmann, Lichter, Reardon and Duron, collectively, the “Reporting Persons”) relates to the common stock, $0.001 par value per share (the “Common Stock”), of Janux Therapeutics, Inc., a Delaware corporation (the “Issuer”). Capitalized terms used but not defined herein have the meanings given to such terms in the Original Schedule 13D.
Item 4. | Purpose of Transaction |
Item 4 of the Statement is hereby amended and supplemented as follows:
At 11:59 pm ET on October 15, 2024, the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended, expired. All closing conditions were satisfied, and the transactions contemplated by the Stock Purchase Agreement were consummated, on October 18, 2024.
Item 5. | Interest in Securities of the Issuer |
Item 5 of the Statement is hereby amended and restated as follows:
(a)– (b). | The following information with respect to the ownership of the Common Stock of the Issuer by the persons filing this statement on Schedule 13D is provided as of October 21, 2024: |
Reporting Persons | Shares Held Directly | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Beneficial Ownership | Percentage of Class (6) | |||||||||||||||||||||
Avalon Ventures (1) | 2,071,799 | 2,071,799 | 2,071,799 | 2,071,799 | 4.0 | % | ||||||||||||||||||||||
ABV SPV (2) | 2,115,373 | 2,115,373 | 2,115,373 | 2,115,373 | 4.0 | % | ||||||||||||||||||||||
ABV I (3) | 401,321 | 401,321 | 401,321 | 401,321 | 0.8 | % | ||||||||||||||||||||||
Avalon XI GP (1) | 2,071,799 | 2,071,799 | 2,071,799 | 4.0 | % | |||||||||||||||||||||||
ABV SPV GP (2) | 2,115,373 | 2,115,373 | 2,115,373 | 4.0 | % | |||||||||||||||||||||||
ABV GP (3) | 401,321 | 401,321 | 401,321 | 0.8 | % | |||||||||||||||||||||||
Kinsella (1) | 2,071,799 | 2,071,799 | 2,071,799 | 4.0 | % | |||||||||||||||||||||||
Levandov (1) | 5,651 | 5,651 | 2,071,799 | 5,651 | 2,071,799 | 2,077,450 | 4.0 | % | ||||||||||||||||||||
Bohrmann (1) | 2,071,799 | 2,071,799 | 2,071,799 | 4.0 | % | |||||||||||||||||||||||
Lichter (1) (2) (3) (4) | 50,233 | 50,233 | 4,588,493 | 50,233 | 4,588,493 | 4,638,726 | 8.9 | % | ||||||||||||||||||||
Reardon (2) (3) (5) | 333,381 | 333,381 | 2,516,694 | 313,365 | 2,516,694 | 2,850,075 | 5.5 | % | ||||||||||||||||||||
Duron (3) | 57,874 | 57,874 | 401,321 | 57,874 | 401,321 | 459,195 | 0.9 | % | ||||||||||||||||||||
Madigan (3) | 67,634 | 67,634 | 401,321 | 67,634 | 401,321 | 468,955 | 0.9 | % |
(1) | Includes 2,071,799 shares of Common Stock held by Avalon Ventures. Avalon XI GP is the general partner of Avalon Ventures and may be deemed to have voting and investment power with respect to the shares held by Avalon Ventures. Kinsella, Levandov, Bohrmann and Lichter are the managing members of Avalon XI GP and share voting and investment power with respect to the shares held by Avalon Ventures. |
(2) | Includes 2,115,373 shares of Common Stock held by ABV SPV. ABV SPV GP is the general partner of ABV SPV and may be deemed to have voting and investment power with respect to the shares held by ABV SPV. Lichter and Reardon are the managing members of ABV SPV GP and share voting and investment power with respect to the shares held by ABV SPV. |
15
(3) | Includes 401,321 shares of Common Stock held by ABV I. ABV GP is general partner of ABV I and may be deemed to have voting and investment power with respect to the shares held by ABV I. Lichter, Reardon, Duron and Madigan are the managing members of ABV GP and share voting and investment power with respect to the shares held by ABV I. |
(4) | Includes 43,960 shares of Common Stock issuable within 60 days of the date of the filing of this Schedule 13D upon exercise of stock options held by Lichter. |
(5) | Includes 202,482 shares of Common Stock issuable upon the exercise of stock options held by Reardon that are vested or will vest within 60 days of the date of the filing of this Schedule 13D. Also includes 20,016 shares of Common Stock issuable upon early exercise of stock options held by Reardon that will not vest within 60 days of the date of the filing of this Schedule 13D, for which he is considered to have voting, but not dispositive, power. |
(6) | This percentage is calculated based on the sum of (i) 52,164,498 shares of common stock outstanding as of August 5, 2024, as disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2024; and (ii) shares of Common Stock issuable upon exercise of stock options, as applicable. |
(c) | Schedule A sets forth all transactions with respect to the shares of Common Stock effected since the most recent amendment to this Schedule 13D by any Reporting Person and is incorporated herein by reference. |
(d) | No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, the shares of Common Stock beneficially owned by any of the Reporting Persons. |
(e) | Not applicable. |
Item 7. | Material to be Filed as Exhibits |
Item 7 of the Statement is hereby amended and supplemented as follows:
A. | Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. |
16
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.
Dated: October 22, 2024
AVALON VENTURES XI, L.P. | AVALON VENTURES XI GP LLC | |||
By: | /s/ Tighe Reardon | By: | /s/ Tighe Reardon | |
Name: Tighe Reardon | Name: Tighe Reardon | |||
Title: Authorized Signer | Title: Authorized Signer | |||
AVALON BIOVENTURES SPV I, L.P. | ABV SPV I GP LLC | |||
By: | /s/ Tighe Reardon | By: | /s/ Tighe Reardon | |
Name: Tighe Reardon | Name: Tighe Reardon | |||
Title: Authorized Signer | Title: Authorized Signer | |||
AVALON BIOVENTURES I, LP | AVALON BIOVENTURES GP, LLC | |||
By: | /s/ Tighe Reardon | By: | /s/ Tighe Reardon | |
Name: Tighe Reardon | Name: Tighe Reardon | |||
Title: Authorized Signer | Title: Authorized Signer | |||
/s/ Kevin Kinsella | /s/ Tighe Reardon | |||
Kevin Kinsella | Tighe Reardon | |||
/s/ Richard Levandov | /s/ Sergio Duron | |||
Richard Levandov | Sergio G. Duron, Ph.D. | |||
/s/ Braden Bohrmann | /s/ Sanford Madigan | |||
Braden Bohrmann | Sanford Madigan, Ph.D. | |||
/s/ Jay Lichter | ||||
Jay Lichter, Ph.D. |
ATTENTION | ||
Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001). |
17 |
SCHEDULE A
Transaction | Reporting Person | Date | No. Shares | Weighted Average Price ($) | Low Price ($) | High Price ($) | ||||||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 09/26/2024 | 49,497 | $ | 46.78 | $ | 46.50 | $ | 47.49 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 09/26/2024 | 9,592 | $ | 46.78 | $ | 46.50 | $ | 47.49 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 09/26/2024 | 50,539 | $ | 46.78 | $ | 46.50 | $ | 47.49 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 09/26/2024 | 40,803 | $ | 47.77 | $ | 47.50 | $ | 48.14 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 09/26/2024 | 7,908 | $ | 47.77 | $ | 47.50 | $ | 48.14 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 09/26/2024 | 41,661 | $ | 47.77 | $ | 47.50 | $ | 48.14 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 09/27/2024 | 45,894 | $ | 46.42 | $ | 46.25 | $ | 47.11 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 09/27/2024 | 8,894 | $ | 46.42 | $ | 46.25 | $ | 47.11 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 09/27/2024 | 46,861 | $ | 46.42 | $ | 46.25 | $ | 47.11 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 09/27/2024 | 1,511 | $ | 47.74 | $ | 47.28 | $ | 47.97 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 09/27/2024 | 293 | $ | 47.74 | $ | 47.28 | $ | 47.97 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 09/27/2024 | 1,542 | $ | 47.74 | $ | 47.28 | $ | 47.97 | |||||||||||||
Open Market Sale of Common Stock | Duron | 09/27/2024 | 2,525 | $ | 46.24 | $ | 46.24 | $ | 46.24 | |||||||||||||
Open Market Sale of Common Stock (1) | Lichter | 09/27/2024 | 1,826 | $ | 46.19 | $ | 46.11 | $ | 46.22 | |||||||||||||
Open Market Sale of Common Stock | Madigan | 09/27/2024 | 2,952 | $ | 46.00 | $ | 46.00 | $ | 46.00 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 09/27/2024 | 4,832 | $ | 46.73 | $ | 46.73 | $ | 46.73 | |||||||||||||
Open Market Sale of Common Stock (2) | Reardon | 09/27/2024 | 7,812 | $ | 45.92 | $ | 45.91 | $ | 46.16 | |||||||||||||
Open Market Sale of Common Stock | Duron | 09/30/2024 | 1,324 | $ | 46.60 | $ | 46.60 | $ | 46.60 | |||||||||||||
Open Market Sale of Common Stock (3) | Lichter | 09/30/2024 | 958 | $ | 46.24 | $ | 46.24 | $ | 46.31 | |||||||||||||
Open Market Sale of Common Stock | Madigan | 09/30/2024 | 1,548 | $ | 45.20 | $ | 45.20 | $ | 45.20 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 09/30/2024 | 2,537 | $ | 46.09 | $ | 46.09 | $ | 46.09 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 10/16/2024 | 60,179 | $ | 49.69 | $ | 49.50 | $ | 50.45 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 10/16/2024 | 11,657 | $ | 49.69 | $ | 49.50 | $ | 50.45 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 10/16/2024 | 61,445 | $ | 49.69 | $ | 49.50 | $ | 50.45 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 10/16/2024 | 29,474 | $ | 50.61 | $ | 50.46 | $ | 51.25 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 10/16/2024 | 5,710 | $ | 50.61 | $ | 50.46 | $ | 51.25 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 10/16/2024 | 30,094 | $ | 50.61 | $ | 50.46 | $ | 51.25 | |||||||||||||
Open Market Sale of Common Stock | Duron | 10/16/2024 | 15,159 | $ | 51.19 | $ | 50.94 | $ | 51.62 | |||||||||||||
Open Market Sale of Common Stock (4) | Lichter | 10/16/2024 | 10,957 | $ | 50.80 | $ | 50.76 | $ | 51.05 | |||||||||||||
Open Market Sale of Common Stock | Madigan | 10/16/2024 | 17,725 | $ | 51.12 | $ | 50.74 | $ | 51.55 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 10/16/2024 | 24,392 | $ | 51.07 | $ | 50.81 | $ | 51.53 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 10/16/2024 | 4,601 | $ | 53.00 | $ | 53.00 | $ | 53.00 | |||||||||||||
Open Market Sale of Common Stock (5) | Reardon | 10/16/2024 | 35,764 | $ | 50.55 | $ | 50.00 | $ | 50.98 | |||||||||||||
Open Market Sale of Common Stock (5) | Reardon | 10/16/2024 | 12,698 | $ | 51.43 | $ | 51.04 | $ | 51.83 | |||||||||||||
Open Market Sale of Common Stock | Duron | 10/17/2024 | 2,552 | $ | 49.66 | $ | 49.66 | $ | 49.66 | |||||||||||||
Open Market Sale of Common Stock (6) | Lichter | 10/17/2024 | 1,843 | $ | 50.02 | $ | 49.97 | $ | 50.18 | |||||||||||||
Open Market Sale of Common Stock | Madigan | 10/17/2024 | 3,024 | $ | 50.50 | $ | 50.50 | $ | 50.50 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 10/17/2024 | 4,784 | $ | 49.70 | $ | 49.70 | $ | 49.70 | |||||||||||||
Open Market Sale of Common Stock (7) | Reardon | 10/17/2024 | 8,158 | $ | 50.01 | $ | 50.00 | $ | 50.13 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 10/18/2024 | 102,732 | $ | 50.30 | $ | 50.00 | $ | 50.86 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 10/18/2024 | 19,900 | $ | 50.30 | $ | 50.00 | $ | 50.86 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 10/18/2024 | 104,892 | $ | 50.30 | $ | 50.00 | $ | 50.86 | |||||||||||||
Open Market Sale of Common Stock | Avalon Ventures | 10/18/2024 | 15,462 | $ | 51.18 | $ | 51.00 | $ | 51.97 | |||||||||||||
Open Market Sale of Common Stock | ABV I | 10/18/2024 | 2,995 | $ | 51.18 | $ | 51.00 | $ | 51.97 | |||||||||||||
Open Market Sale of Common Stock | ABV SPV | 10/18/2024 | 15,788 | $ | 51.18 | $ | 51.00 | $ | 51.97 | |||||||||||||
Private Sale of Common Stock | Avalon Ventures | 10/18/2024 | 541,824 | $ | 44.75 | $ | 44.75 | $ | 44.75 | |||||||||||||
Private Sale of Common Stock | ABV I | 10/18/2024 | 104,957 | $ | 44.75 | $ | 44.75 | $ | 44.75 | |||||||||||||
Private Sale of Common Stock | ABV SPV | 10/18/2024 | 553,219 | $ | 44.75 | $ | 44.75 | $ | 44.75 | |||||||||||||
Open Market Sale of Common Stock | Duron | 10/21/2024 | 3,368 | $ | 49.75 | $ | 49.75 | $ | 49.75 | |||||||||||||
Open Market Sale of Common Stock (8) | Lichter | 10/21/2024 | 2,434 | $ | 49.49 | $ | 49.46 | $ | 49.49 | |||||||||||||
Open Market Sale of Common Stock | Madigan | 10/21/2024 | 3,936 | $ | 50.00 | $ | 50.00 | $ | 50.00 | |||||||||||||
Open Market Sale of Common Stock | Reardon | 10/21/2024 | 6,324 | $ | 50.25 | $ | 50.25 | $ | 50.25 | |||||||||||||
Open Market Sale of Common Stock (9) | Reardon | 10/21/2024 | 10,769 | $ | 49.43 | $ | 49.40 | $ | 49.45 |
18 |
(1) | Immediately prior to the sales, Lichter received 345, 345, 828 and 234 shares of Common Stock upon the exercise of stock options at purchase prices of $10.73, $13.22, $17.00 and $39.80, respectively, for an aggregate purchase price of $31,651.95. |
(2) | Immediately prior to the sales, Reardon received 4,413, 1,260 and 2,139 shares of Common Stock upon the exercise of stock options at purchase prices of $10.59, $14.02 and $20.24, respectively, for an aggregate purchase price of $107,674.58. |
(3) | Immediately prior to the sales, Lichter received 181, 181, 434 and 123 shares of Common Stock upon the exercise of stock options at purchase prices of $10.73, $13.22, $17.00 and $39.80, respectively, for an aggregate purchase price of $16,608.35. |
(4) | Immediately prior to the sales, Lichter received 2,070, 2,070, 4,968 and 1,407 shares of Common Stock upon the exercise of stock options at purchase prices of $10.73, $13.22, $17.00 and $39.80, respectively, for an aggregate purchase price of $190,031.10. |
(5) | Immediately prior to the sales, Reardon received 27,241, 7,921 and 13,300 shares of Common Stock upon the exercise of stock options at purchase prices of $10.59, $14.02 and $20.24, respectively, for an aggregate purchase price of $668,617.65. |
(6) | Immediately prior to the sales, Lichter received 348, 348, 836 and 237 shares of Common Stock upon the exercise of stock options at purchase prices of $10.73, $13.22, $17.00 and $39.80, respectively, for an aggregate purchase price of $31,979.20. |
(7) | Immediately prior to the sales, Reardon received 4,586, 1,333 and 2,239 shares of Common Stock upon the exercise of stock options at purchase prices of $10.59, $14.02 and $20.24, respectively, for an aggregate purchase price of $112,553.42. |
(8) | Immediately prior to the sales, Lichter received 460, 460, 1,104 and 312 shares of Common Stock upon the exercise of stock options at purchase prices of $10.73, $13.22, $17.00 and $39.80, respectively, for an aggregate purchase price of $42,202.60. |
(9) | Immediately prior to the sales, Reardon received 6,054, 1,760 and 2,955 shares of Common Stock upon the exercise of stock options at purchase prices of $10.59, $14.02 and $20.24, respectively, for an aggregate purchase price of $148,572.04. |
19 |
Exhibit(s):
A | Joint Filing Agreement |
20 |