アメリカ合衆国

証券取引委員会

ワシントンD.C. 20549

 

 

スケジュール13D

証券取引法に基づく

(修正番号_) *

 

 

Opus 遺伝子株式会社

（発行会社名）

普通株式、1株あたりの額面0.0001ドル

（証券の種類のタイトル）

67577R102

（CUSIP 番号）

ラッセル・ケリー、取締役

Foundation Fighting Blindness Retinal Degeneration Fund

223 S. West Street、Suite 900

Raleigh、NC 27603

(919) 610-2064

(通知やその他のものを受け取る人の名前、住所、電話番号)

2024年10月22日

（この報告書の提出を必要とするイベントの日付）

 

 

取引がこの13D書類の主題である取得を通知するために以前に13G書式で声明を提出した場合、および§§に基づいてこのスケジュールを提出している場合 240.13d-1(e), 240.13d-1(f)Call of Duty240.13d-1(g), 以下のボックスをチェックしてください。

 

 

注:書面で提出されるスケジュールには、署名入りのオリジナルと全ての添付書類を含むスケジュールのコピー（5部）が含まれています。 参照：§240.13d-7 その他の受取人に送付されるべき当事者に対する規則

 

 

 

*	このカバーページの残りの部分は、証券法第13条の書類の初回提出に関する報告書に関して記入する必要があり、事前のカバーページで提供された開示内容を変更する情報を含む、後に提出される修正情報に関して記入する必要があります。

このカバーページの残り部分に記載されている情報は、証券取引法第18条の目的として「提出された」と見なされるものではなく、またそうした法令の責任を負うものではないが、法のその他の規定の対象となります（ただし、注を参照してください）。

 

 

 

CUSIP番号		67577R102

 

1		報告者名   失明予防財団網膜変性ファンド
2		グループのメンバーである場合、適切なボックスをチェックしてください （a）☐（b）☒
3		SECは内部使用のみ
4		すべて投信のソース   OO
5		（注文を参照してください）   ☐
6		国籍または組織の所在地   デラウェア州

保有する数 株式数 報告者ごとの実質保有株数 所有している者によって EACH 報告 個人 持株権の独占投票権を持つ者				7		唯一の投票権    0
				8		共同議決権    2,564,752(1)
				9		単独の排他的権利    0
				10		共有可能な力    2,564,752(1)

11		各報告者によって恩恵を受ける総額の所有分 の合計    2,564,752
12		11行目の一連の金融商品数に特定の株式を除外する場合はチェックボックスをマークしてください   ☐
13		AMOUNT IN ROW(11)の株式比率は 37.5％*です    8.16%(2)
14		報告者のタイプ    CO, OO

 

(1)

Consists of 2,564,752 shares of common stock, $0.00001 par value per share (the “Common Stock”) of Opus Genetics Inc., a Delaware Corporation (the “Issuer”). Does not include 6,927.419 shares of Series A 議決権を持たない 普通株式1株当たり$0.0001の譲渡可能優先株式（以下「優先株式」）。 優先株式の換金が株主総会の必要な承認を得て、各々の優先株式は自動的に普通株式1,000株に換金されます。

(2)	この割合は、発行者が報告者に開示した2024年10月22日現在の31,435,507株の普通株式に基づいています。

CUSIP番号		67577R102

 

1		報告者名   視覚障害を撲滅する財団、インク。
2		グループのメンバーである場合、適切なボックスをチェックしてください （a）☐（b）☒
3		SECは内部使用のみ
4		すべて投信のソース   OO
5		（注文を参照してください）   ☐
6		国籍または組織の所在地   メリーランド

保有する数 株式数 報告者ごとの実質保有株数 所有している者によって EACH 報告 個人 持株権の独占投票権を持つ者				7		唯一の投票権    0
				8		共同議決権    2,564,752(3)
				9		単独の排他的権利    0
				10		共有可能な力    2,564,752(3)

11		各報告者によって恩恵を受ける総額の所有分 の合計    2,564,752
12		11行目の一連の金融商品数に特定の株式を除外する場合はチェックボックスをマークしてください   ☐
13		AMOUNT IN ROW(11)の株式比率は 37.5％*です    8.16%(4)
14		報告者のタイプ   CO

 

(3)	発行者の普通株式256,752株から成り立っています。6,927.419優先株を含みません。 優先株の変換に関する株主の承認およびその後、各優先株は自動的に1,000株の普通株に換算されます。

(4)	この割合は、2024年10月22日現在、発行者が開示した31,435,507株の普通株に基づいています。

スケジュール 13D

 

アイテム 1.

セキュリティと発行者。

別表13Dのこの記述は、発行者の普通株式に関するものです。発行者の主幹部の所在地は 37000グランドリバーアベニュー、スイート120ファーミントンヒルズ、ミシガン州。

 

アイテム 2.

アイデンティティと背景

(a) このスケジュール13Dは規則に従って提出されています 13d-1 規制の 13D-G 1934年の証券取引法（以下「法」）に基づき、失明撲滅協会網膜変性基金501（c）（3）を代表して 非営利団体 組織（「RDF」）とファウンデーション・ファイティング・ブラインドネス株式会社、a 501（c）（3） 非営利団体 組織（「FFB」、総称して「報告者」）。FFbは、の唯一のメンバーです RDFであり、RDFが直接所有する証券を有利に所有していると見なされる場合があります。RDFには、RDFが直接所有する有価証券の議決権を行使して処分する権限があります。RDFの取締役会は、証券に関する議決権行使と投資決定を行います RDFが保有しています。一定の基準を超える取引に関しては、FFbの取締役会の特定の承認権が必要です。

(b) RDFの主な勤務先住所は、ノースカロライナ州ローリーの南西通り223番地、スイート900 27603です。FfBの主要な会社住所は、メリーランド州コロンビア21045のオークランドミルズロード6925です。#701

(c) RDFの主な事業は、ミッション関連の投資を行うことです。FfBの主な事業は慈善目的を果たすことです。

(d) — (e) 過去5年間、報告者、および彼らの知る限りでは、その取締役、執行役員、ゼネラルパートナー、 メンバー：（i）刑事訴訟（交通違反または同様の軽犯罪を除く）で有罪判決を受けたことがない。また、（ii）管轄権を有する司法機関または行政機関の民事訴訟の当事者でもありません。 そのような手続きの結果、連邦または州の証券法の将来の違反を禁止したり、対象となる活動を禁止または義務付けたり、そのような法律に関する違反を発見したりする判決、法令、または最終命令の対象となります。

(f) RDFはデラウェア州の非株式法人で、FfBはメリーランド州の非株式法人です。

前述の報告者の執行役員および取締役に関して、スケジュール13Dの指示Cで義務付けられている情報については、参照してください は、本書に添付されている別表Iに基づいて作成され、参照により本書に組み込まれています。

 

アイテム 3.

資金源と金額またはその他の対価

2024年10月22日付けのOcuphire Pharma社間の合意および合併計画（「合併契約」）に従って （「発行者」）、Opus Genetics Inc.（以下「ターゲット」）、デラウェア州の企業であるOrange Merger Sub I, Inc.、および発行者の完全子会社（「First Merger Sub」）、Orange Merger Sub II, LLC、デラウェア州の有限会社 責任会社、および発行体の完全子会社（「Second Merger Sub」）。これに基づき、（a）第1合併サブは対象企業と合併し、対象者は発行体の完全子会社として存続します（ 「第一次合併」）と（b）第一次合併の完了後、対象者は第二次合併サブと合併し、第二次合併サブは発行体の完全子会社として存続します（「第二次合併」） そして第一次合併（「合併」）と合わせて。第一次合併後の発行者の名前は「オーパス・ジェネティクス株式会社」に変更されました。

In accordance with the Merger Agreement, in exchange for the shares of the Target held by the Reporting Persons, at the effective time of the First Merger, RDF received (i) 2,564,752 shares of Common Stock and (ii) 6,927.419 shares of Preferred Stock. Contingent upon and following stockholder approval of the conversion of the Preferred Stock, each share of Preferred Stock will automatically convert into 1,000 shares of Common Stock.

In connection with the Mergers, on October 22, 2024, the Issuer filed a Certificate of Designation of Preferences, Rights and Limitations of the Series A Non-Voting Convertible Preferred Stock with the Secretary of State of the State of Delaware (the “Certificate of Designation”). The Certificate of Designation provides for the issuance of shares of the Preferred Stock.

Holders of the Preferred Stock are entitled to receive dividends on shares of the Preferred Stock (on an as-if-converted-to-Common-Stock basis) equal to and in the same form, and in the same manner, as dividends (other than dividends on shares of the Common Stock payable in the form of Common Stock) actually paid on shares of the Common Stock when, as and if such dividends (other than dividends payable in the form of Common Stock) are paid on shares of the Common Stock. In addition to any dividends payable as described above, commencing on October 15, 2025, holders of the Preferred Stock will be entitled to receive when, as and if declared by the Board, cumulative quarterly cash dividends of $26.00 per share of Preferred Stock; provided such quarterly cash dividend due on October 15, 2025 shall be $15.26. Any such dividends will be payable quarterly in arrears on January 15, April 15, July 15 and October 15 of each year, commencing with the first payment on October 15, 2025.

Except as otherwise required by law, the Preferred Stock have no voting rights. However, as long as any shares of Preferred Stock are outstanding, the Issuer will not, without the affirmative vote of the holders of a majority of the then outstanding shares of the Preferred Stock: (i) alter or change adversely the powers, preferences or rights given to the Preferred Stock or alter or amend the Certificate of Designation, amend or repeal any provision of, or add any provision to, the Certificate of Incorporation or the Bylaws, or file any articles of amendment, certificate of designations, preferences, limitations and relative rights of any series of Preferred Stock, if such action would adversely alter or change the preferences, rights, privileges or powers of, or restrictions provided for the benefit of the Preferred Stock, regardless of whether any of the foregoing actions will be by means of amendment to the Certificate of Incorporation or by merger, consolidation or otherwise, (ii) issue further shares of Preferred Stock or increase or decrease (other than by conversion) the number of authorized shares of Preferred Stock, (iii) amend, in any manner that would be reasonably likely to prevent, impede or materially delay the stockholder approval of the conversion of the Preferred Stock (the “Conversion Proposal”) or the Automatic Conversion (as defined in the Certificate of Designation), or terminate or transfer any support agreements, (iv) amend Sections 4.02, 4.03 or 4.07 of the Merger Agreement in any manner that would be reasonably likely to prevent, impede or materially delay the stockholder approval of the Conversion Proposal or (v) enter into any agreement with respect to any of the foregoing.

Following stockholder approval of the Conversion Proposal, each share of Preferred Stock is automatically convertible into shares of Common Stock into 1,000 shares of Common Stock, subject to certain limitations.

The foregoing description of the Merger Agreement is not complete and is qualified in its entirety by reference to the complete text of the Merger Agreement, a copy of which is attached hereto as Exhibit 1 and is incorporated herein by reference. The foregoing description of the Preferred Stock does not purport to be complete and is qualified in its entirety by reference to the Certificate of Designation, a copy of which is attached hereto as Exhibit 2 and is incorporated herein by reference.

Item 4.

Purpose of Transaction.

The Reporting Persons obtained beneficial ownership of 2,564,752 shares of Common Stock, in addition to the 6,927.419 shares of Preferred Stock at the effective time of the First Merger, as described in Item 3. Neither the Reporting Persons, nor any of their executive officers or directors as listed on Schedule I, have any present plans or proposals that relate to or would result in: (i) the acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer; (ii) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of the Issuer’s subsidiaries; (iii) a sale or transfer of a material amount of assets of the Issuer or any of the Issuer’s subsidiaries; (iv) any change in the present board of directors or management of the Issuer; (v) any material change in the present capitalization or dividend policy of the Issuer; (vi) any other material change in the Issuer’s business or corporate structure; (vii) changes in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (viii) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (ix) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (x) any action similar to any of those enumerated above.

 

Item 5.

Interest in Securities of the Issuer.

(a) See rows (11) and (13) of the cover pages to this Schedule 13D for the aggregate number of shares of Common Stock and percentage of the Common Stock beneficially owned by the Reporting Persons. The percentage used in this Schedule 13D is calculated based upon approximately 31,435,507 shares of Common Stock outstanding as of October 22, 2024, as disclosed by the Issuer to the Reporting Persons.

(b) See rows (7) through (10) of the cover pages to this Schedule 13D for the number of shares of Common Stock to which the Reporting Persons have the sole or shared power to vote or direct the vote and sole or shared power to dispose or to direct the disposition.

(c) Reference is made to the discussion in Item 3. The transaction described in this Item 5(c) was reported on a Form 3 filed on or about the date hereof with the SEC pursuant to Section 16 of the Act and is available on the SEC’s website at www.sec.gov. The information reported in the filing is expressly incorporated herein.

(d) No other person is known by the Reporting Persons or by the Reporting Persons’ executive officers or directors as listed on Schedule I hereto to have the right to receive or the power to direct the receipt from, or the proceeds from the sale of, any shares of Common Stock or Preferred Stock beneficially owned by the Reporting Persons.

(e) Not Applicable.

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

In addition to the relationships between the Reporting Persons described in Item 2 above and the Merger Agreement and Certificate of Designations described in Item 5, the following contracts or arrangements are in place with respect to the securities of the issuer.

Lock-Up Agreements

Concurrently and in connection with the execution of the Merger Agreement, certain of the Target’s securityholders and all of the directors and officers of the Issuer entered into lock-up agreements, pursuant to which each such securityholder is subject to a 180-day lock-up on the sale or transfer of shares of Common Stock, including those shares received by the Reporting Persons in the Merger.

The description of the Lock-Up Agreements contained in this Item 6 is qualified in its entirety by reference to the full text of the form of Lock-up Agreement filed as Exhibit B to the Merger Agreement, a copy of which is filed with this Schedule 13D as Exhibit 3 and incorporated by reference herein.

Registration Rights Agreement

In connection with the Merger Agreement, the Issuer entered into a Registration Rights Agreement (the “Registration Rights Agreement”) with certain of the Target’s securityholders (the “Selling Securityholders”), including the Reporting Persons. Pursuant to the Registration Rights Agreement, the Issuer will prepare and file a resale registration statement covering the shares of Common Stock and shares of Common Stock underlying the Preferred Stock issued to the Issuer’s securityholders upon the closing of the Mergers (the “Registrable Securities”) with the SEC within 120 calendar days following the date of the Merger Agreement or such later date agreed to by the holders holding no less than a majority of the then outstanding Registrable Securities.

The description of the Registration Rights Agreement contained in this Item 6 is qualified in its entirety by reference to the full text of the form of Registration Rights Agreement filed as Exhibit F to the Merger Agreement, a copy of which is filed with this Schedule 13D as Exhibit 4 and incorporated by reference herein.

Joint Filing Agreement

Pursuant to Rule 13d-1(k) promulgated under the Exchange Act, the Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13D as Exhibit 5, with respect to the joint filing of this Schedule 13D and any amendment or amendments thereto.

Other than as described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the Reporting Persons and any other person with respect to the securities of the Issuer.

 

Item 7.

Materials to be Filed as Exhibits.

 

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 29, 2024				FOUNDATION FIGHTING BLINDNESS RETINAL DEGENERATION FUND
				By:		/s/ Russell Kelley
				Name:		Russell Kelley
				Title:		Managing Director
				FOUNDATION FIGHTING BLINDNESS, INC.
				By:		/s/ Jason Menzo
				Name:		Jason Menzo
				Title:		Chief Executive Officer

Schedule I

Information with Respect to Executive Officers and Directors of the Reporting Persons

The following sets forth the name and title as to each of the executive officers and directors of the Reporting Persons. Unless otherwise specified, the principal employer of each such individual is Retinal Degeneration Fund or Foundation Fighting Blindness, Inc and each such individual identified below is a citizen of the United States. To the knowledge of the undersigned, during the last five years, no such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), and no such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities law or finding any violation with respect to such laws except as reported in Item 2(d) and (e) of this Schedule 13D.

 

Retinal Degeneration Fund		Business Address: 223 S. West Street, Suite 900 Raleigh, NC 27603
Directors:		Title:
Adrienne Graves, PhD		Director, Chair
Anthony P. Adamis, MD		Director
Catherine Bowes Rickman, PhD		Director; Professor of Ophthalmology and Cell Biology Duke Eye Center
Jose-Alain Sahel, MD		Director; Professor and Chairman Department of Ophthalmology, Eye & Ear Foundation University of Pittsburg School of Medicine
Karen Petrou		Director; Co-Founder and Managing Partner Federal Financial Analytics
Jean Bennett, MD, PhD		Director;
Jacque Duncan, MD		Director; Ophthalmologist University of California at San Francisco Medical Center
Jonathan Steinberg, MD		Director; Professor of Medicine University of Rochester School of Medicine & Dentistry
David Brint		Director; Chief Executive Officer Brinshore Development Company
Mark S. Blumenkranz, MD, MMS		Director; Co-Director Stanford University Ophthalmic Innovation Program
Kelly Lisbakken		Director; Managing Director and Head of Biopharma Investment Banking Wedbush PacGrow
Warren Thaler, MBA		Director
Executive Officers:		Title:
Rusty Kelley, PhD, MBA		Managing Director, RD Fund
Jason Menzo		Chief Executive Officer, Foundation Fighting Blindness
Peter Ginsberg		Chief Operating Officer, Foundation Fighting Blindness

Foundation Fighting Blindness		Business Address: 6925 Oakland Mills Road, #701 Columbia, MD 21045
Directors:		Title:
David Brint		Director; Chief Executive Officer Brinshore Development Company
Scott Burt		Director; President and Chief Executive Officer Health Plan Fiduciary Guides
Darren DeVoue		Director Chief Executive Officer Transcend Solution Group
Laura Fietta*		Director; Co-Founder and Owner Fietta Law
Adrienne Graves, PhD		Director
Gordon Gund		Director, Co-Founder, Chair Emeritus Chairman and Chief Executive Officer Gund Investment Corporation
Robert Heidenberg		Director; President and Chief Executive Officer Heidenberg Properties Group
Suber Huang, MD		Director; Chief Executive Officer Future Vision Foundation
Marsha D. Link, PhD		Director; Principal Link Consulting
Laura Manfre		Director;
Bradford Manning		Director; Co-Founder Two Blind Brothers LLC
Janine Marks Nixon		Director; Co-Founder, Chief Giving Officer Nixon Visions Foundation
Evan Mittman		Director
George Peinado		Director; President GAP Investments
Martha Steele		Director
Joshua Steinberg		Director
Board Executive Committee
Karen Petrou		Board Chair; Co-Founder and Managing Partner Federal Financial Analytics

Jason Morris		Executive Vice Chair; Chief Operating Officer Courtesy Products
Haynes Lea		Board Secretary Attorney Robinson, Bradshaw & Hinson, PA
Jeffrey Freed		Chair, Audit & Risk Co-Founder, Former Managing Partner Arlington Capital Partners
Steve Apler		Chair, Development Managing Director Stifel Financial
David Nixon		Finance & Investment, and Treasurer Executive Chairman InformedDNA
Warren Thaler		Chair, Nominating & Governance
Jonathan Steinberg, MD		Chair, Science Professor of Medicine University of Rochester School of Medicine & Dentistry
Maryrose Sylvester		Chair, At Large

 

*	Ms. Fietta, a citizen of the United Kingdom, is not a US citizen.