Amended Statement of Ownership (sc 13g/a)

Date : 01/25/2019 @ 4:33PM
Source : Edgar (US Regulatory)
Stock : Affimed NV (AFMD)
Quote : 2.88  -0.18 (-5.88%) @ 10:46PM
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Amended Statement of Ownership (sc 13g/a)

 

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION 

Washington, D.C. 20549  

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 3)*

 

 

Affimed N.V.
(Name of Issuer)
 
Common shares, nominal value €0.01 per share
(Title of Class of Securities)
 
N01045108
(CUSIP Number)
 
December 31, 2015 (with ownership information dated as of January 25, 2019)
(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

o Rule 13d-1(b)

 

o Rule 13d-1(c)

 

x Rule 13d-1(d)

 

  *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 the disclosures provided in a prior cover page.

 

The information required in 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).

 

 

    

 

 

CUSIP No. N01045108 13G  
 
1.

NAMES OF REPORTING PERSONS

 

Novo Nordisk A/S

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)            o
    (b)            o
   
3.

SEC USE ONLY

 

 

4.

CITIZENSHIP OR PLACE OF ORGANIZATION

 

The Kingdom of Denmark

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5.

SOLE VOTING POWER

 

123,323

6.

SHARED VOTING POWER

 

0

7.

SOLE DISPOSITIVE POWER

 

123,323

8.

SHARED DISPOSITIVE POWER

 

0

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

123,323

10.

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES

o            

 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.2% based on 62,430,000 outstanding common shares

12.

TYPE OF REPORTING PERSON

 

CO

  

Item 1(a). Name of Issuer:

 

Affimed N.V.

 

Item 1(b). Address of Issuer’s Principal Executive Offices:

 

Technologiepark, Im Neuenheimer Feld 582

 

69120 Heidelberg, Germany

 

Item 2(a). Name of Person Filing:

 

Novo Nordisk A/S

 

Item 2(b). Address of Principal Business Office or, if None, Residence:

 

Novo Allé, DK-2880 Bagsværd, Denmark

 

Item 2(c). Citizenship:

 

The Kingdom of Denmark

 

Item 2(d). Title of Class of Securities:

 

Common shares, nominal value €0.01 per share

 

Item 2(e). CUSIP Number:

 

N01045108

 

Item 3. If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

 

NOT APPLICABLE

 

(a) o Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
     
(b) o Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);
     
(c) o Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);
     
(d) o Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
     
(e) o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
     
(f) o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
     
(g) o A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
     
(h) o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i) o A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j) o A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
     
(k) o Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 

Item 4. Ownership.

 

Provide the following information regarding the aggregate number and percentage of the class of securities of issuer identified in Item 1.

 

  (a) Amount beneficially owned: 123,323 

 

  (b) Percent of class: 0.2% based on 62,430,000 outstanding common shares

 

  (c) Number of shares as to which such person has:

 

  (i) Sole power to vote or to direct the vote:  123,323
  (ii) Shared power to vote or to direct the vote: 0
  (iii) Sole power to dispose or to direct the disposition of: 123,323
  (iv) Shared power to dispose or to direct the disposition of:  0

 

Item 5. Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x .

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

 

NOT APPLICABLE

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

 

NOT APPLICABLE

 

Item 8. Identification and Classification of Members of the Group.

 

NOT APPLICABLE

 

Item 9. Notice of Dissolution of Group.

 

NOT APPLICABLE

 

Item 10. Certifications.

 

NOT APPLICABLE 

 

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.

 

  January 25, 2019  
  (Date)  
     
  /s/ Karsten Munk Knudsen  
  (Signature)  
     
  Karsten Munk Knudsen, Chief Financial Officer  
  (Name/Title)  

 

 

 

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