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 (“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).
SCHEDULE 13D
CUSIP No. 00847X104
1
|
|
Name of reporting person:
CELGENE SWITZERLAND LLC
|
2
|
|
Check the appropriate box if a member of a group*
(a)
¨
(b)
x
|
3
|
|
SEC use only
|
4
|
|
Source of funds*
WC
|
5
|
|
Check box
if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
¨
|
6
|
|
Citizenship or place of organization
Delaware, U.S.A.
|
Number of
shares
beneficially
owned by
each
reporting
person
with
|
|
7
|
|
Sole voting power
-0-
|
|
8
|
|
Shared voting power
624,575
|
|
9
|
|
Sole dispositive power
-0-
|
|
10
|
|
Shared dispositive power
624,575
|
11
|
|
Aggregate amount beneficially owned by each reporting person
624,575
|
12
|
|
Check box
if the aggregate amount in Row (11) excludes certain shares*
¨
|
13
|
|
Percent of class represented by amount in Row (11)
1.1%
(1)
|
14
|
|
Type of reporting person*
OO
|
|
(1)
|
The percentage ownership is based upon 55,707,542 shares
of Common Stock outstanding as of January 23, 2018, which includes (a) 48,617,989 shares of Common Stock outstanding as of September
30, 2017, as reported by Agios in its prospectus filed with the Securities and Exchange Commission on January 18, 2018, and (b)
7,089,553 shares of Common Stock issued by Agios in the Offering.
|
SCHEDULE 13D
CUSIP No. 00847X104
1
|
|
Name of reporting person:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITY ONLY)
CELGENE EUROPEAN INVESTMENT COMPANY LLC
90-0587060
|
2
|
|
Check the appropriate box if a member of a group*
(a)
¨
(b)
x
|
3
|
|
SEC use only
|
4
|
|
Source of funds*
WC
|
5
|
|
Check box
if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
¨
|
6
|
|
Citizenship or place of organization
Delaware, U.S.A.
|
Number of
shares
beneficially
owned by
each
reporting
person
with
|
|
7
|
|
Sole voting power
-0-
|
|
8
|
|
Shared voting power
4,010,926
|
|
9
|
|
Sole dispositive power
-0-
|
|
10
|
|
Shared dispositive power
4,010,926
|
11
|
|
Aggregate amount beneficially owned by each reporting person
4,010,926
|
12
|
|
Check box
if the aggregate amount in Row (11) excludes certain shares*
¨
|
13
|
|
Percent of class represented by amount in Row (11)
7.2%
(1)
|
14
|
|
Type of reporting person*
OO (limited liability company)
|
|
(1)
|
The percentage ownership is based upon 55,707,542 shares of Common Stock outstanding as of January
23, 2018, which includes (a) 48,617,989 shares of Common Stock outstanding as of September 30, 2017, as reported by Agios in its
prospectus filed with the Securities and Exchange Commission on January 18, 2018, and (b) 7,089,553 shares of Common Stock issued
by Agios in the Offering.
|
SCHEDULE 13D
CUSIP No.
00847X104
1
|
|
Name of reporting person:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITY ONLY)
CELGENE ALPINE INVESTMENT CO., LLC
45-4054818
|
2
|
|
Check the appropriate box if a member of a group*
(a)
¨
(b)
x
|
3
|
|
SEC use only
|
4
|
|
Source of funds*
WC
|
5
|
|
Check box
if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
¨
|
6
|
|
Citizenship or place of organization
Delaware, U.S.A.
|
Number of
shares
beneficially
owned by
each
reporting
person
with
|
|
7
|
|
Sole voting power
-0-
|
|
8
|
|
Shared voting power
708,333
|
|
9
|
|
Sole dispositive power
-0-
|
|
10
|
|
Shared dispositive power
708,333
|
11
|
|
Aggregate amount beneficially owned by each reporting person
708,333
|
12
|
|
Check box
if the aggregate amount in Row (11) excludes certain shares*
¨
|
13
|
|
Percent of class represented by amount in Row (11)
1.3%
(1)
|
14
|
|
Type of reporting person*
OO (limited liability company)
|
|
(1)
|
The percentage ownership is based upon 55,707,542 shares of Common Stock outstanding as of January
23, 2018, which includes (a) 48,617,989 shares of Common Stock outstanding as of September 30, 2017, as reported by Agios in its
prospectus filed with the Securities and Exchange Commission on January 18, 2018, and (b) 7,089,553 shares of Common Stock issued
by Agios in the Offering.
|
SCHEDULE 13D
CUSIP No. 00847X104
1
|
|
Name of reporting person:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITY ONLY)
CELGENE CORPORATION
22-2711928
|
2
|
|
Check the appropriate box if a member of a group*
(a)
¨
(b)
x
|
3
|
|
SEC use only
|
4
|
|
Source of funds*
WC
|
5
|
|
Check box
if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
¨
|
6
|
|
Citizenship or place of organization
Delaware, U.S.A.
|
Number of
shares
beneficially
owned by
each
reporting
person
with
|
|
7
|
|
Sole voting power
1,374,599
|
|
8
|
|
Shared voting power
5,343,834
|
|
9
|
|
Sole dispositive power
1,374,599
|
|
10
|
|
Shared dispositive power
5,343,834
|
11
|
|
Aggregate amount beneficially owned by each reporting person
6,718,433
|
12
|
|
Check box
if the aggregate amount in Row (11) excludes certain shares*
¨
|
13
|
|
Percent of class represented by amount in Row (11)
12.1%
(1)
|
14
|
|
Type of reporting person*
CO
|
|
(1)
|
The percentage ownership is based upon 55,707,542 shares of Common Stock outstanding as of January
23, 2018, which includes (a) 48,617,989 shares of Common Stock outstanding as of September 30, 2017, as reported by Agios in its
prospectus filed with the Securities and Exchange Commission on January 18, 2018, and (b) 7,089,553 shares of Common Stock issued
by Agios in the Offering.
|
This
Amendment No. 4 amends the Schedule 13D (the “
Schedule 13D
”) filed with the Securities and Exchange Commission
(the “
Commission
”) on August 6, 2013 by Celgene European Investment Company LLC, Celgene Alpine Investment Co.,
LLC (“
Celgene Alpine
”) and Celgene Corporation (“
Celgene
”), as amended by Amendment No. 1
thereto filed with the Commission on April 30, 2014, as amended by Amendment No. 2 thereto filed with the Commission on December
17, 2014, and as amended by Amendment No. 3 thereto filed with the Commission on April 24, 2017, with respect to common stock,
par value $0.0001 per share (“
Common Stock
”), of Agios Pharmaceuticals, Inc., a Delaware corporation (“
Agios
”).
Capitalized terms used, but not defined herein, have the meanings ascribed to them in the Schedule 13D.
Item 1.
|
Security and Issuer
.
|
No modification.
Item 2.
|
Identity and Background
.
|
Item
2 is hereby amended and supplemented by adding the Schedule A hereto.
During the past five years, none of the Reporting
Persons, nor, to the knowledge of the Reporting Persons, any of the persons listed on Schedule A hereto, has been (i) convicted
in a criminal proceeding (excluding traffic violations and similar misdemeanors), or (ii) a party to a civil proceeding of a judicial
or administrative body of competent jurisdiction and as a result of such proceeding 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 laws
or finding any violation with respect to such laws.
Item 3.
|
Source and Amount of Funds or Other Consideration
.
|
No modification.
Item 4.
|
Purpose of Transaction
.
|
Item 4 is hereby amended and supplemented
by adding the following:
On January
23, 2018, Agios completed its underwritten public offering (the “
Offering
”) of
7,089,553
shares
of Common Stock at a public offering price of $67.00 per share, and Celgene purchased (the “
Purchase
”)
851,154
shares of Common Stock at a purchase price of $67.00 per share in the Offering for investment
purposes. Following the Offering and the Purchase, Celgene beneficially owns
1,374,599
shares
of Common Stock and Celgene shares beneficial ownership of an aggregate of
6,718,433
shares
of Common Stock, collectively representing approximately 12.1% of the shares of Common Stock outstanding as of January 23, 2018,
which includes (a) 48,617,989 shares of Common Stock outstanding as of September 30, 2017, as reported by Agios in its prospectus
filed with the Commission on January 18, 2018, and (b)
7,089,553
shares of Common
Stock issued by Agios in the Offering.
Item 5.
|
Interest in Securities of the Issuer
.
|
Item 5(a)-(c) is hereby amended
and restated as follows:
On
January 23, 2018, Agios completed the Offering and Celgene completed the Purchase. Following the Offering and the Purchase, Celgene
beneficially owns
1,374,599
shares of Common Stock and Celgene shares beneficial ownership
of an aggregate of
6,718,433
shares of Common Stock, collectively representing approximately
12.1% of the shares of Common Stock outstanding as of January 23,2018, which includes (a) 48,617,989 shares of Common Stock
outstanding as of September 30, 2017, as reported by Agios in its prospectus filed with the Commission on January 18, 2018,
and (b)
7,089,553
shares of Common Stock issued by Agios in the Offering.
Item 6.
|
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
.
|
Item 6 is hereby amended and supplemented by adding the following:
In connection with the Offering, Celgene and the underwriters of
the Offering entered into a letter agreement (the “
Lock-up Agreement
”), pursuant to which Celgene agreed not
to, among other things, offer, pledge, sell or transfer any Agios securities for a period of 60 days after the date of the final
prospectus relating to the Offering without the consent of the underwriters of the Offering, subject to certain limited exceptions.
A copy of the Form of Lock-up Agreement
is filed as an exhibit to this Amendment and incorporated herein by reference.
Item 7.
|
Material to Be Filed as Exhibits
.
|
Item 7 is hereby amended and supplemented by adding the following:
Exhibit 7 – Form of Lock-up Agreement.
SIGNATURE
After reasonable inquiry and to the best of
its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
|
CELGENE SWITZERLAND LLC
|
|
|
Date: January 23, 2018
|
By:
|
/s/ Kevin Mello
|
|
|
Kevin Mello
|
|
|
Manager
|
|
|
|
|
CELGENE EUROPEAN INVESTMENT COMPANY LLC
|
|
|
Date: January 23, 2018
|
By:
|
/s/ Kevin Mello
|
|
|
Kevin Mello
|
|
|
Manager
|
|
|
|
|
CELGENE ALPINE INVESTMENT CO., LLC
|
|
|
Date: January 23, 2018
|
By:
|
/s/ Kevin Mello
|
|
|
Kevin Mello
|
|
|
Manager
|
|
|
|
|
CELGENE CORPORATION
|
|
|
Date: January 23, 2018
|
By:
|
/s/ Peter N. Kellogg
|
|
|
Peter N. Kellogg
|
|
|
Executive Vice President and
|
|
|
Chief Financial Officer
|
SCHEDULE A
Name, business address, present principal
occupation or employment and place of citizenship of the directors and executive officers of the Reporting Persons
The name, business address and present principal occupation or employment
of each of the directors and executive officers of the Reporting Persons are set forth below. The business address of each director
and executive officer is c/o 86 Morris Avenue, Summit, New Jersey 07901. Unless otherwise indicated, each director and executive
officer is a citizen of the United States.
CELGENE CORPORATION — BOARD OF DIRECTORS
Name and Position
|
|
Present Principal Occupation or Employment
|
|
|
|
Robert J. Hugin
Executive Chairman
|
|
Executive Chairman of Celgene Corporation
|
|
|
|
Mark J. Alles
Chief Executive Officer
|
|
Chief Executive Officer of Celgene Corporation
|
|
|
|
Richard W. Barker, D.Phil.
Director (Citizen of the United Kingdom)
|
|
Director of the Centre for Accelerating Medical Innovations; Chairman of the Health Innovation Network of South London, UK; Chairman of International Health Partners; Chairman of Image Analysis Group
|
|
|
|
Michael W. Bonney
Director
|
|
Formerly Chief Executive Officer and a director of Cubist Pharmaceuticals Inc.; Chairman of the Board of Alnylam Pharmaceuticals, Inc.; member of the Board of Directors of Global Blood Therapeutics, Inc.; Trustee of the Tekla complex of life sciences and dedicated funds; Board of Trustee Chair of Bates College
|
|
|
|
Michael D. Casey
Director
|
|
Formerly Chairman, President, Chief Executive Officer and a director of Matrix Pharmaceutical, Inc.; Director of Abaxis, Inc.
|
|
|
|
Carrie S. Cox
Director
|
|
Chairman of the Board of Directors and Chief Executive Officer of Humacyte, Inc.; member of Board of Directors of Texas Instruments; member of Board of Directors of Cardinal Health, Inc.
|
|
|
|
Michael A. Friedman, M.D.
Director
|
|
Emeritus Chief Executive Officer of City of Hope; member of Board of Directors of MannKind Corporation; member of Board of Directors of Smith & Nephew plc; member of the Board of Directors of Intuitive Surgical, Inc.; member of Board of Trustees of Tulane University
|
|
|
|
Julia A. Haller, M.D.
Director
|
|
Ophthalmologist-in-Chief of the Wills Eye Hospital, Philadelphia, PA; Professor and Chair of the Department of Ophthalmology at Jefferson Medical College of Thomas Jefferson University and Thomas Jefferson University Hospitals
|
|
|
|
Gilla Kaplan, Ph.D.
Director
|
|
Director of the Global Health Program, Tuberculosis, at the Bill and Melinda Gates Foundation
|
|
|
|
James J. Loughlin
Director
|
|
Formerly National Director of the Pharmaceuticals Practice at KPMG LLP; member of Board of Directors of each of Edge Therapeutics, Inc.
|
|
|
|
Ernest Mario, Ph.D.
Director
|
|
Chairman of the Board of each of Soleno Therapeutics Inc. (formerly Capnia, Inc.) and Chimerix Inc.; member of the Board of Directors of Tonix Pharmaceutical Holding Corp.
|
CELGENE CORPORATION — EXECUTIVE OFFICERS
Name
|
|
Title
|
|
|
|
Robert J. Hugin
|
|
Executive Chairman
|
|
|
|
Mark J. Alles
|
|
Chief Executive Officer
|
|
|
|
Peter N. Kellogg
|
|
Executive Vice President and Chief Financial Officer
|
|
|
|
Scott A. Smith
|
|
President and Chief Operating Officer
|
|
|
|
Terrie Curran
|
|
President, Inflammation & Immunology
|
|
|
|
Rupert Vessey
|
|
President, Research and Early Development
|
|
|
|
Nadim Ahmed
|
|
President, Hematology & Oncology
|
|
|
|
Gerald Masoudi
|
|
Executive Vice President, General Counsel and Corporate Secretary
|
|
|
|
CELGENE SWITZERLAND LLC
Name
|
|
Present
Principal Occupation or Employment
|
|
|
Kevin Mello
(Citizen of Bermuda)
|
|
Manager of Celgene Switzerland LLC
|
CELGENE EUROPEAN INVESTMENT COMPANY LLC
Name
|
|
Present
Principal Occupation or Employment
|
|
|
Kevin Mello
(Citizen of Bermuda)
|
|
Manager of Celgene European Investment Company LLC
|
CELGENE ALPINE INVESTMENT CO., LLC
Name
|
|
Present
Principal Occupation or Employment
|
|
|
Kevin Mello
(Citizen of Bermuda)
|
|
Manager of Celgene Alpine Investment Co., LLC
|