美国

证券交易委员会

华盛顿特区 20549

 

 

13D日程表

根据1934年证券交易法

（修订编号__）*

 

 

Opus 遺傳學公司。

(发行人名称)

普通股，每股面值0.0001美元

(证券类别)

67577R102

(CUSIP号码)

罗素·凯利，董事总经理

基金会与视网膜变性基金

223 S. West Street, Suite 900

Raleigh, NC 27603

(919) 610-2064

(收件人姓名、地址和电话号码)

2024年10月22日

(需要提交此声明的事件日期)

 

 

如果申报人先前曾根据表格13G提交过申报书，以报告本表格13D所涉及的收购情况，并且因为 §§ 240.13d-1(e), 240.13d-1(f) 或者 240.13d-1(g) 请勾选以下方框 ☐。

 

 

单张债券:以纸质格式提交的时间表，应包括已签署的原件和五份副本，其中包括所有附件。 请参阅规则13d-7(b)以获取应抄送副本的其他各方。§240.13d-7 请参阅其他需要发送副本的相关方。

 

 

 

*	在本表格的首次申报中填写本封面剩余部分，涉及某类证券主题，并填写任何后续修改信息的修改，这些信息会改变之前封面提供的披露。

此封面其余部分所需的信息不得视为《证券交易法》（“法案”）第18条的“已备案”，也不受该法案该部分责任的约束，但应受到该法案的所有其他规定的约束（但请参阅注解）。

 

 

 

CUSIP编号		67577R102

 

1		报告人名称   基金会抗击失明性视网膜退化基金
2		如果是小组的成员，请勾选相应的选项 （a）☐（b）☒
3		仅供SEC使用
4		所有基金类型的资金来源   所有基金类型
5		16,768,580（1）    ☐
6		公民身份或组织地点   特拉华州。

持有人数 每个报告人持有的受益股份数量 受益者 所有权归属 每个 报告的 每个报告人持有的受益股份数量 随同				7		唯一表决权    0
				8		共同投票权    2,564,752(1)
				9		单独处置权    0
				10		共同处置权    2,564,752(1)

11		每个报告人拥有的受益股份总额    2,564,752
12		如果行(11)中的累计数量不包括某些股票，请勾选该选项    ☐
13		表示占该类别的百分比 在行(11)中的金额    8.16%(2)
14		报告人类型    CO，OO

 

(1)	由股值为$0.00001的共享普通股（“普通股”）组成，共2,564,752股Opus Genetics Inc.的普通股，一家特拉华州公司（“发行人”）。不包括6,927.419股A系列股。 无表决权 每股面值$0.0001的可转换优先股（“优先股”）。在获得必要的股东批准后，每股优先股将自动转换为1,000股普通股。

(2)	这个百分比是基于2024年10月22日披露给申报人的发行人已发行的31,435,507股普通股。

CUSIP编号		67577R102

 

1		报告人名称   基金类型：Foundation Fighting Blindness，Inc。
2		如果是小组的成员，请勾选相应的选项 （a）☐（b）☒
3		仅供SEC使用
4		所有基金类型的资金来源   所有基金类型
5		16,768,580（1）    ☐
6		公民身份或组织地点   马里兰

持有人数 每个报告人持有的受益股份数量 受益者 所有权归属 每个 报告的 每个报告人持有的受益股份数量 随同				7		唯一表决权    0
				8		共同投票权    2,564,752(3)
				9		单独处置权    0
				10		共同处置权    2,564,752(3)

11		每个报告人拥有的受益股份总额    2,564,752
12		如果行(11)中的累计数量不包括某些股票，请勾选该选项    ☐
13		表示占该类别的百分比 在行(11)中的金额    8.16%(4)
14		报告人类型   CO

 

(3)	由发行人共2,564,752股普通股组成。不包括6,927.419优先股。 在对优先股进行必要的股东批准后，每股优先股将自动转换为1,000股普通股。

(4)	该比例基于截至2024年10月22日，发行人向报告人披露的31,435,507股普通股。

附表 13D

 

第 1 项。

证券和发行人。

本附表13D声明涉及发行人的普通股。发行人的主要执行办公室位于 密歇根州法明顿希尔斯市格兰德河大道37000号120号套房

 

第 2 项。

身份和背景

(a) 本附表13D是根据规则提交的 13d-1 法规 13D-G 根据代表抗盲基金会视网膜退化基金的1934年证券交易法（“该法”），501（c）（3） 非营利 组织（“RDF”）和防盲基金会有限公司，a 501 (c) (3) 非营利 组织（“FFB”，统称为 “申报人”）。FfB 是的唯一成员 RDF，并可能被视为受益拥有RDF直接拥有的证券。RDF有权投票和处置RDF直接拥有的任何证券。RDF董事会做出有关证券的投票和投资决策 由RDF持有，对于超过一定门槛的交易，需获得FfB董事会的某些批准权。

(b) RDF的主要营业地址是北卡罗来纳州罗利市南西街223号900套房 27603。FfB的主要营业地址是马里兰州哥伦比亚市奥克兰米尔斯路6925号 #701 21045。

(c) 卢旺达国防军的主要业务是进行与特派团有关的投资。FfB的主要业务是为慈善目的服务。

(d) — (e) 在过去五年中，申报人及其所知的董事、执行官、普通合伙人和 成员：(i) 未在任何刑事诉讼（不包括交通违规行为或类似轻罪）中被定罪；也没有（ii）不是具有司法管辖权的司法或行政机构的民事诉讼的当事方，以及 此类诉讼的结果是受一项判决、法令或最终命令的约束，该判决、法令或最终命令禁止或授权受联邦或州证券法约束的活动，或认定任何违反此类法律的行为。

(f) RDF是特拉华州的非股票公司，FfB是马里兰州的非股份公司。

有关附表13D指令C所要求的有关上述申报人的执行官和董事的信息，请参阅 载于本文所附的附表一，并以引用方式纳入此处。

 

第 3 项。

资金或其他对价的来源和金额

根据Ocuphire Pharma, Inc.截至2024年10月22日的协议和合并计划（“合并协议”） （“发行人”）、Opus Genetics Inc.（“目标”）、特拉华州的一家公司Orange Merger Sub I, Inc.，以及发行人（“第一合并子公司”）的全资子公司特拉华州有限责任公司Orange Merger Sub II, LLC 责任公司，以及发行人的全资子公司（“第二合并子公司”），根据该子公司（a）第一合并子公司与目标公司合并并入目标，目标公司作为发行人的全资子公司幸存（ “第一次合并”）和（b）在第一次合并完成后，目标公司将与第二次合并子公司合并并入第二次合并子公司，第二合并子公司作为发行人的全资子公司存活（“第二次合并”） 以及第一次合并，即 “合并”）。首次合并后，发行人的名称更改为 “Opus Genetics, Inc.”

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.