Amended Statement of Beneficial Ownership (sc 13d/a)
August 03 2020 - 4:13PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of
1934
(Amendment No. 5)*
AUTOLUS THERAPEUTICS PLC
|
(Name of Issuer)
|
|
American Depositary Shares, each representing one ordinary share, nominal value $0.000042 per share, and
ordinary shares, nominal value $0.000042 per share
|
(Title of Class of Securities)
|
|
05280R100**
|
(CUSIP Number)
|
|
c/o Lubomír Král
|
PPF a.s.
|
Evropská 2690/17
|
P.O. Box 177
|
160 41 Praha 6
|
Czech Republic
|
Tel: (+420) 224 174 067
|
|
With copies to:
|
Colin Diamond
|
White & Case LLP
|
1221 Avenue of the Americas
|
New York, NY 10020-1095
|
+1 (212) 819 8200
|
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
|
|
July 31, 2020
|
(Date of Event which Requires Filing of this Statement)
|
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box ☐.
Note: Schedules filed in paper format shall include a
signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are
to be sent.
* The remainder of this cover page shall be filled
out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures provided in a prior cover page.
** There is no CUSIP number assigned to the Ordinary
Shares. CUSIP number 05280R100 has been assigned to the American Depositary Shares (“ADSs”) of the Company, which are
quoted on the Nasdaq Global Select Market under the symbol “AUTL.” Each ADS represents 1 Ordinary Share.
The information required on the remainder of this cover page
shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended
(“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No. 05280R100
1
|
NAMES OF REPORTING PERSONS
|
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
PETR KELLNER
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☐
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
AF
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
Czech Republic
|
|
|
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
13,697,945*
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
13,697,945*
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
13,697,945*
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
26.2%**
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
IN
|
|
|
|
|
|
*
|
Consists of 13,697,945 American Depositary Shares representing
Ordinary Shares with a nominal value of $0.000042 per share (the “ADSs”), of Autolus Therapeutics plc (the “Issuer”)
held of record by PPF Capital Partners Fund B.V. (“PPF Capital”). See Item 2 of this Amendment No. 5 of the Schedule
13D for information on the reporting person’s indirect beneficial ownership of the ADSs.
|
|
**
|
This percentage is calculated based on 52,247,932 ordinary shares
outstanding (including ordinary shares in the form of ADSs) as of March 31, 2020 (as set forth in the Issuer’s Form 6-K filed
with the U.S. Securities and Exchange Commission (the “SEC”) on May 7, 2020).
|
CUSIP No. 05280R100
1
|
NAMES OF REPORTING PERSONS
|
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
PPF GROUP N.V.
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☐
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
AF
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
The Netherlands
|
|
|
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
0
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
13,697,945*
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
13,697,945*
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
13,697,945*
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
26.2%**
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
CO
|
|
|
|
|
|
*
|
Consists of 13,697,945 ADSs representing Ordinary Shares of the
Issuer held of record by PPF Capital. See Item 2 of this Amendment No. 5 of the Schedule 13D for information on the reporting person’s
indirect beneficial ownership of the ADSs.
|
|
**
|
This percentage is calculated based on 52,247,932 ordinary shares
outstanding (including ordinary shares in the form of ADSs) as of March 31, 2020 (as set forth in the Issuer’s Form 6-K filed
with the SEC on May 7, 2020).
|
CUSIP No. 05280R100
1
|
NAMES OF REPORTING PERSONS
|
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
PPF CAPITAL PARTNERS FUND B.V.
|
|
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
|
(b)
|
☐
|
|
|
3
|
SEC USE ONLY
|
|
|
|
|
|
|
|
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
WC
|
|
|
|
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
|
|
|
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
The Netherlands
|
|
|
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
13,697,945*
|
|
|
|
|
8
|
SHARED VOTING POWER
|
|
|
0
|
|
|
|
|
9
|
SOLE DISPOSITIVE POWER
|
|
|
13,697,945*
|
|
|
|
|
10
|
SHARED DISPOSITIVE POWER
|
|
|
0
|
|
|
|
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
13,697,945*
|
|
|
|
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
|
|
|
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
26.2%**
|
|
|
|
|
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
CO
|
|
|
|
|
|
*
|
Consists of 13,697,945 ADSs representing Ordinary Shares of the
Issuer held of record by the reporting person.
|
|
**
|
This percentage is calculated based on 52,247,932 ordinary shares
outstanding (including ordinary shares in the form of ADSs) as of March 31, 2020 (as set forth in the Issuer’s Form 6-K filed
with the SEC on May 7, 2020).
|
EXPLANATORY NOTE
Pursuant to Rule 13d-2 under the U.S. Securities
Exchange Act of 1934, as amended (the “Act”), this Amendment No. 5 to the Schedule 13D (the “Amendment No. 5”)
amends and supplements certain items of the Schedule 13D related to the Ordinary Shares, nominal value $0.000042 per share (the
“Ordinary Shares”) represented by American Depositary Shares (the “ADSs”), each of which represents one
Ordinary Share, of Autolus Therapeutics plc, a public limited company incorporated under the laws of England and Wales (the “Issuer”),
filed with the U.S. Securities and Exchange Commission (the “SEC”) on January 24, 2020 (the “Original Schedule
13D”). The Reporting Persons originally filed a Schedule 13G related to the Ordinary Shares on September 16, 2019 which was
amended by Amendment No. 1 to the Schedule 13G on September 20, 2019 to change the Reporting Persons. The Original Schedule 13D
was filed by the same Reporting Persons on January 24, 2020 upon the Reporting Persons acquiring beneficial ownership equal to
20% or more of the Ordinary Shares, as amended by Amendment No. 1 to the Original Schedule 13D filed on April 22, 2020, Amendment
No. 2 to the Original Schedule 13D filed on June 15, 2020, Amendment No. 3 to the Original Schedule 13D filed on July 6, 2020
and Amendment No. 4 to the Original Schedule 13D on July 20, 2020. All capitalized terms contained but not otherwise defined herein
shall have the meanings ascribed to such terms in the Original Schedule 13D.
Item 3. Source and Amount of Funds or Other Consideration.
In transactions between July 20, 2020 and July 31, 2020, the Reporting
Person made open market purchases, acquiring in the aggregate 604,370 ADSs of the Issuer, using
cash on hand. In making these purchases, the Reporting Person acquired an aggregate of approximately 1.1% of the total number
of Ordinary Shares of the Issuer issued and outstanding. The Reporting Person undertakes to provide to the Issuer, any holder of
ADSs or Ordinary Shares of the Issuer or the Staff of the SEC, upon request, full information regarding the prices of the ADSs
purchased.
Item 5. Interest in Securities of the Issuer.
(a) Aggregate number and percentage of securities
PPF Capital is the owner of record of 13,697,945 Ordinary Shares
represented by ADSs beneficially owned, or 26.2% of the Ordinary Shares of the Issuer. Each of the Reporting Persons, as a result
of the relationships described in Item 2, may be deemed to directly or indirectly beneficially own the Ordinary Shares held by
PPF Capital. Each of the Reporting Persons disclaims beneficial ownership in all Ordinary Shares reported herein, except to the
extent of its respective pecuniary interest therein.
See also rows 11 and 13 of the cover pages to, and Item 2 of, this
Amendment No. 5 for the aggregate number of Ordinary Shares beneficially owned by each of the Reporting Persons. The ownership
percentages reported in this Amendment No. 5 are based on 52,247,932 ordinary shares outstanding (including ordinary shares in
the form of ADSs) as of March 31, 2020 (as set forth in the Issuer’s Form 6-K filed with the SEC on May 7, 2020).
(b) Power to vote and dispose
See rows 7 through 10 of the cover pages to, and Item 2 of, this
Amendment No. 5 for the number of Ordinary Shares beneficially owned by each of the Reporting Persons as to which there is sole
or shared power to vote or to direct the vote, and sole or shared power to dispose or to direct the disposition.
(c) Transactions within the past 60 days
The reported share amounts for the Reporting Persons reflect amounts
as of the date hereof. Other than as disclosed herein, the Reporting Persons have not effected any transactions in the Ordinary
Shares or the ADSs of the Issuer during the past 60 days.
(d) Certain rights of other persons
Not applicable.
(e) Date ceased to be a 5% owner
Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships
with Respect to Securities of the Issuer.
Except as otherwise disclosed herein and the Joint Filing Agreement
attached as Exhibit 99.1 to the Original Schedule 13D, there are no contracts, arrangements, understandings or relationships
among the Reporting Persons and any other person with respect to any securities of the Issuer.
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: August 3, 2020
|
PETR KELLNER
|
|
|
|
|
/s/ Lubomír Král
|
|
|
By:
|
Lubomír Král
|
|
|
Title:
|
Attorney-in-Fact
|
|
|
|
PPF GROUP N.V.
|
|
|
|
|
/s/ Lubomír Král
|
|
|
By:
|
Lubomír Král
|
|
|
Title:
|
Attorney-in-Fact
|
|
|
|
PPF CAPITAL PARTNERS FUND B.V.
|
|
|
|
|
/s/ Lubomír Král
|
|
|
By:
|
Lubomír Král
|
|
|
Title:
|
Attorney-in-Fact
|
6
Autolus Therapeutics (NASDAQ:AUTL)
Historical Stock Chart
From Aug 2024 to Sep 2024
Autolus Therapeutics (NASDAQ:AUTL)
Historical Stock Chart
From Sep 2023 to Sep 2024