Initial Statement of Beneficial Ownership (3)
September 07 2021 - 5:05PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Column Group II GP, LP |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/25/2021
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3. Issuer Name and Ticker or Trading Symbol
eFFECTOR Therapeutics, Inc. [EFTR]
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(Last)
(First)
(Middle)
1 LETTERMAN DRIVE, BLDG D, SUITE, DM-900 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
SAN FRANCISCO, CA 94129
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4309329 (1)(2) | I | See Footnote (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On August 25, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of May 26, 2021 (the "Merger Agreement"), by and among the Issuer (f/k/a Locust Walk Acquisition Corp.), Locust Walk Merger Sub, Inc. ("Merger Sub"), and eFFECTOR Therapeutics, Inc. ("Old eFFECTOR" and "Issuer"), Merger Sub merged with and into Old eFFECTOR with Old eFFECTOR surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Old eFFECTOR was automatically cancelled and converted into approximately 0.09657 (the "Exchange Ratio") shares of common stock of the Issuer. |
(2) | Represents 4,109,329 shares of the Issuer's common stock received in connection with the Merger and 200,000 shares of the Issuer's common stock that were acquired in a private placement which closed concurrently with the Merger. |
(3) | The securities are directly held by The Column Group II, LP ("TCG II LP"). The Column Group II GP, LP ("TCG II GP") is the general partner of TCG II LP and may be deemed to have voting, investment and dispositive power with respect to these securities. The managing partners of TCG II GP are David Goeddel and Peter Svennilson (collectively, the "TCG II GP Managing Partners"). The TCG II GP Managing Partners may be deemed to share voting and investment power with respect to such shares. TCG II GP and each of the TCG II GP Managing Partners disclaim beneficial ownership of these shares, except to the extent of their respective pecuniary interest in such shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Column Group II GP, LP 1 LETTERMAN DRIVE, BLDG D, SUITE DM-900 SAN FRANCISCO, CA 94129 |
| X |
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Svennilson Peter 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO, CA 94129 |
| X |
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COLUMN GROUP II, LP 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO, CA 94129 |
| X |
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GOEDDEL DAVID V 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO, CA 94129 |
| X |
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Signatures
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/s/ The Column Group II GP, LP /s/ James Evangelista, Attorney-in-Fact | | 9/7/2021 |
**Signature of Reporting Person | Date |
/s/ The Column Group II, LP. by The Column Group II GP, LP, its general partner /s/ James Evangelista Attorney-in-Fact | | 9/7/2021 |
**Signature of Reporting Person | Date |
/s/ James Evangelista Attorney-in-Fact for David Goeddel | | 9/7/2021 |
**Signature of Reporting Person | Date |
/s/ James Evangelista Attorney-in-Fact for Peter Svennilson | | 9/7/2021 |
**Signature of Reporting Person | Date |
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