UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 7)1
Calithera Biosciences, Inc.
|
(Name of Issuer)
|
Common Stock, $0.0001 par value per share
|
(Title of Class of
Securities)
|
December 31, 2022
|
(Date
of Event Which Requires Filing of this Statement)
|
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
1
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.
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).
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
Biotechnology Value Fund, L.P. |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
276,601 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
276,601 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
276,601 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
5.7% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
PN |
|
(1) Includes 23,625 Shares (as defined below) underlying certain
Short Term Warrants (as defined below). The Short Term Warrants are
subject to the Warrants Blocker (as defined below).
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF I GP LLC |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
276,601 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
276,601 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
276,601 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
5.7% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
OO |
|
(1) Includes 23,625 Shares underlying certain Short Term Warrants.
The Short Term Warrants are subject to the Warrants Blocker.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
Biotechnology Value Fund II, L.P. |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
181,483 |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
181,483 |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
181,483 |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
3.7% |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
PN |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF II GP LLC |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
181,483 |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
181,483 |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
181,483 |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
3.7% |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
OO |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
Biotechnology Value Trading Fund OS LP |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Cayman Islands |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
22,907 |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
22,907 |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
22,907 |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
Less than 1% |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
PN |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF Partners OS Ltd. |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Cayman Islands |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
22,907 |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
22,907 |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
22,907 |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
Less than 1% |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
CO |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF GP Holdings LLC |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
458,084 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
458,084 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
458,084 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
9.4% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
OO |
|
(1) Includes 23,625 Shares underlying certain Short Term Warrants.
The Short Term Warrants are subject to the Warrants Blocker.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF Partners L.P. |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
488,367 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
9.99% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
PN, IA |
|
(1) Includes 23,625 Shares underlying certain Short Term Warrants.
The Short Term Warrants are subject to the Warrants Blocker.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
BVF Inc. |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
Delaware |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
488,367 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
9.99% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
CO |
|
(1) Includes 23,625 Shares underlying certain Short Term Warrants.
The Short Term Warrants are subject to the Warrants Blocker.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
|
NAME OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
Mark N. Lampert |
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☒ |
|
|
|
|
(b)
☐ |
|
|
|
|
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
|
|
|
|
|
|
|
United States |
|
NUMBER OF |
|
5 |
|
SOLE VOTING
POWER |
|
SHARES |
|
|
|
|
|
BENEFICIALLY |
|
|
|
|
0 |
|
OWNED BY |
|
6 |
|
SHARED VOTING
POWER |
|
EACH |
|
|
|
|
|
REPORTING |
|
|
|
|
488,367 (1) |
|
PERSON WITH |
|
7 |
|
SOLE DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
0 |
|
|
|
8 |
|
SHARED DISPOSITIVE
POWER |
|
|
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
9 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
488,367 (1) |
|
|
10 |
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES |
☐ |
|
|
|
|
|
|
|
|
|
|
|
|
11 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) |
|
|
|
|
|
|
|
|
|
|
9.99% (1) |
|
|
12 |
|
TYPE OF REPORTING PERSON |
|
|
|
|
|
|
|
|
|
|
IN |
|
(1) Includes 23,625 Shares underlying certain Short Term Warrants.
The Short Term Warrants are subject to the Warrants Blocker.
|
Item 1(a). |
Name of Issuer: |
Calithera Biosciences, Inc., a Delaware corporation (the
“Issuer”).
|
Item 1(b). |
Address of Issuer’s Principal
Executive Offices: |
343 Oyster Point Blvd., Suite 200
South San Francisco, California 94080
|
Item 2(a). |
Name of Person Filing |
|
Item 2(b). |
Address of Principal Business
Office or, if None, Residence |
Biotechnology Value Fund, L.P. (“BVF”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF I GP LLC (“BVF GP”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Biotechnology Value Fund II, L.P. (“BVF2”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF II GP LLC (“BVF2 GP”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Biotechnology Value Trading Fund OS LP (“Trading Fund OS”)
PO Box 309 Ugland House
Grand Cayman, KY1-1104
Cayman Islands
Citizenship: Cayman Islands
BVF Partners OS Ltd. (“Partners OS”)
PO Box 309 Ugland House
Grand Cayman, KY1-1104
Cayman Islands
Citizenship: Cayman Islands
BVF GP Holdings LLC (“BVF GPH”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF Partners L.P. (“Partners”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
BVF Inc.
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: Delaware
Mark N. Lampert (“Mr. Lampert”)
44 Montgomery St., 40th Floor
San Francisco, California 94104
Citizenship: United States
Each of the foregoing is referred to as a “Reporting Person” and
collectively as the “Reporting Persons.”
|
Item 2(d). |
Title of Class of
Securities: |
Common Stock, par value $0.0001 per share (the “Shares”).
13089P507
|
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: |
|
|
/x/ |
Not applicable. |
|
|
|
|
|
(a) |
/
/ |
Broker or dealer registered under Section 15 of the Exchange
Act. |
|
|
|
|
|
(b) |
/
/ |
Bank as defined in Section 3(a)(6) of the Exchange Act. |
|
|
|
|
|
(c) |
/
/ |
Insurance company as defined in Section 3(a)(19) of the Exchange
Act. |
|
|
|
|
|
(d) |
/
/ |
Investment company registered under Section 8 of the Investment
Company Act. |
|
|
|
|
|
(e) |
/
/ |
An
investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). |
|
|
|
|
|
(f) |
/
/ |
An
employee benefit plan or endowment fund in accordance with Rule
13d-1(b)(1)(ii)(F). |
|
|
|
|
|
(g) |
/
/ |
A
parent holding company or control person in accordance with Rule
13d-1(b)(1)(ii)(G). |
|
|
|
|
|
(h) |
/
/ |
A
savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act. |
|
|
|
|
|
(i) |
/
/ |
A
church plan that is excluded from the definition of an investment
company under Section 3(c)(14) of the Investment Company Act. |
|
|
|
|
|
(j) |
/
/ |
A
non-U.S. institution, in accordance with Rule
13d-1(b)(1)(ii)(J). |
|
|
|
|
|
(k) |
/
/ |
Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a
non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J),
please specify the type of institution: ____ |
|
(a) |
Amount beneficially owned: |
As of the close of business on December 31, 2022, the Reporting
Persons held an aggregate of 92,130 warrants that are immediately
exercisable and expire 18 months from the date of issuance (the
“Short Term Warrants”). The Short Term Warrants held by the
Reporting Persons are exercisable for an aggregate of 92,130
Shares. Each Short Term Warrant is exercisable for one Share at an
exercise price of $10.80 per Share (as adjusted from the original
exercise price of $0.54 per Share following the Issuer’s 20:1
reverse stock split as disclosed in the Issuer’s Current Report on
Form 8-K filed with the Securities and Exchange Commission on June
14, 2022). The exercise of the Short Term Warrants are subject to
the limitations of the Warrants Blocker (as defined and described
below). As of December 31, 2022, the Warrants Blocker limited the
exercise of the Short Term Warrants by the Reporting Persons to
23,625 out of 92,130 Shares underlying the Short Term Warrants
owned by the Reporting Persons in the aggregate. In providing
beneficial ownership herein, the Reporting Persons have assumed
that certain of the Short Term Warrants held by BVF will be
exercised.
As of the close of business on December 31, 2022, the Reporting
Persons held an aggregate of 92,130 warrants that are immediately
exercisable and expire 5 years from the date of issuance (the “Long
Term Warrants” and together with the Short Term Warrants, the
“Warrants”). The Long Term Warrants held by the Reporting Persons
are exercisable for an aggregate of 92,130 Shares. Each Long Term
Warrant is exercisable for one Share at an exercise price of $10.80
per Share (as adjusted from the original exercise price of $0.54
per Share following the Issuer’s 20:1 reverse stock split as
disclosed in the Issuer’s Current Report on Form 8-K filed with the
Securities and Exchange Commission on June 14, 2022). The exercise
of the Long Term Warrants are subject to the limitations of the
Warrants Blocker. As of December 31, 2022, the Warrants Blocker
limited the exercise of the Long Term Warrants by the Reporting
Persons to 0 out of 92,130 Shares underlying the Long Term Warrants
owned by the Reporting Persons in the aggregate. In providing
beneficial ownership herein, the Reporting Persons have assumed
that none of the Long Term Warrants held by the Reporting Persons
will be exercised.
Under the terms of the Warrants, a holder of the Warrants will not
have the right to exercise any portion of the Warrants it holds if
such holder, together with its affiliates and any other person
acting as a group together with the holder or any of its affiliates
or as otherwise calculated in accordance with Section 13(d) of the
Securities Exchange Act of 1934, as amended, would beneficially own
in excess of 4.99% or 9.99% (at the election of the holder) of the
number of Shares outstanding immediately after giving effect to
such exercise (the “Warrants Blocker”); provided, however, that
each holder may increase or decrease the Warrants Blocker by giving
notice to the Issuer, with any such increase not taking effect
until the sixty-first (61st) day after such notice is
delivered to the Issuer but not to any percentage in excess of
9.99%. The 9.99% Warrants Blocker currently applies to the Warrants
held by the Reporting Persons.
As of the close of business on December 31, 2022, (i) BVF
beneficially owned 276,601 Shares, including 23,625 Shares
underlying Short Term Warrants held by it, and excluding 30,853
Shares underlying the remaining Short Term Warrants held by it and
54,478 Shares underlying certain Long Term Warrants held by it;
(ii) BVF2 beneficially owned 181,483 Shares, excluding 36,942
Shares underlying certain Short Term Warrants held by it and 36,942
Shares underlying certain Long Term Warrants held by it and (iii)
Trading Fund OS beneficially owned 22,907 Shares.
BVF GP, as the general partner of BVF, may be deemed to
beneficially own the 276,601 Shares beneficially owned by BVF.
BVF2 GP, as the general partner of BVF2, may be deemed to
beneficially own the 181,483 Shares beneficially owned by BVF2.
Partners OS, as the general partner of Trading Fund OS, may be
deemed to beneficially own the 22,907 Shares beneficially owned by
Trading Fund OS.
BVF GPH, as the sole member of each of BVF GP and BVF2 GP, may be
deemed to beneficially own the 458,084 Shares beneficially owned in
the aggregate by BVF and BVF2.
Partners, as the investment manager of BVF, BVF2 and Trading Fund
OS, and the sole member of Partners OS, may be deemed to
beneficially own the 488,367 Shares beneficially owned in the
aggregate by BVF, BVF2 and Trading Fund OS and held in a certain
Partners managed account (the “Partners Managed Account”),
including 7,376 Shares held in the Partners Managed Account, and
excluding 710 Shares underlying certain Short Term Warrants held in
the Partners Managed Account and 710 Shares underlying certain Long
Term Warrants held in the Partners Managed Account.
BVF Inc., as the general partner of Partners, may be deemed to
beneficially own the 488,367 Shares beneficially owned by
Partners.
Mr. Lampert, as a director and officer of BVF Inc., may be deemed
to beneficially own the 488,367 Shares beneficially owned by BVF
Inc.
The foregoing should not be construed in and of itself as an
admission by any Reporting Person as to beneficial ownership of any
Shares owned by another Reporting Person. BVF GP disclaims
beneficial ownership of the Shares beneficially owned by BVF. BVF2
GP disclaims beneficial ownership of the Shares beneficially owned
by BVF2. Partners OS disclaims beneficial ownership of the Shares
beneficially owned by Trading Fund OS. BVF GPH disclaims beneficial
ownership of the Shares beneficially owned by BVF and BVF2. Each of
Partners, BVF Inc. and Mr. Lampert disclaims beneficial ownership
of the Shares beneficially owned by BVF, BVF2 Trading Fund OS and
held in the Partners Managed Account, and the filing of this
statement shall not be construed as an admission that any such
person or entity is the beneficial owner of any such
securities.
The following percentages are based upon a denominator that is the
sum of: (i) 4,865,257 Shares outstanding as of November 9, 2022, as
disclosed in the Issuer’s Quarterly Report on Form 10-Q filed with
the Securities and Exchange Commission on November 14, 2022, and
(ii) 23,625 Shares underlying certain of the Short Term Warrants
held by the Reporting Persons, as applicable.
As of the close of business on December 31, 2022, (i) BVF
beneficially owned approximately 5.7% of the outstanding Shares,
(ii) BVF2 beneficially owned approximately 3.7% of the outstanding
Shares, (iii) Trading Fund OS beneficially owned less than 1% of
the outstanding Shares, (iv) BVF GP may be deemed to beneficially
own approximately 5.7% of the outstanding Shares, (v) BVF2 GP may
be deemed to beneficially own approximately 3.7% of the outstanding
Shares, (vi) Partners OS may be deemed to beneficially own less
than 1% of the outstanding Shares, (vii) BVF GPH may be deemed to
beneficially own approximately 9.4% of the outstanding Shares, and
(viii) each of Partners, BVF Inc. and Mr. Lampert may be deemed to
beneficially own approximately 9.99% of the outstanding Shares
(less than 1% of the outstanding Shares are held in the Partners
Managed Account).
|
(c) |
Number of shares as to which such
person has: |
|
(i) |
Sole power to vote or to direct the
vote |
See Cover Pages Items 5-9.
|
(ii) |
Shared power to vote or to direct
the vote |
See Cover Pages Items 5-9.
|
(iii) |
Sole power to dispose or to direct
the disposition of |
See Cover Pages Items 5-9.
|
(iv) |
Shared power to dispose or to
direct the disposition of |
See Cover Pages Items 5-9.
|
Item 5. |
Ownership of Five Percent or
Less of a Class. |
Not Applicable.
|
Item 6. |
Ownership of More than Five
Percent on Behalf of Another Person. |
BVF GP, BVF GPH, Partners, BVF Inc. and Mr. Lampert share voting
and dispositive power over the Shares beneficially owned by BVF.
BVF GPH, Partners, BVF Inc. and Mr. Lampert share voting and
dispositive power over the Shares beneficially owned by BVF2.
Partners, BVF Inc. and Mr. Lampert share voting and dispositive
power over the Shares beneficially owned by Trading Fund OS and
held in the Partners Managed Account.
|
Item 7. |
Identification and
Classification of the Subsidiary That Acquired the Security Being
Reported on by the Parent Holding Company or Control
Person. |
Not Applicable.
|
Item 8. |
Identification and
Classification of Members of the Group. |
See Exhibit 99.1 to Amendment No. 3 to the Schedule 13G filed with
the Securities and Exchange Commission on February 14, 2020.
|
Item 9. |
Notice of Dissolution of
Group. |
Not Applicable.
By signing below each of the undersigned certifies that, to the
best of its knowledge and belief, the securities referred to above
were not acquired and are not held for the purpose of or with the
effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or
effect.
SIGNATURE
After reasonable inquiry and to the best of his knowledge and
belief, each of the undersigned certifies that the information set
forth in this statement is true, complete and correct.
Dated: February 14, 2023
BIOTECHNOLOGY VALUE FUND, L.P. |
|
BIOTECHNOLOGY VALUE TRADING FUND OS LP |
|
|
|
|
By: |
BVF I GP LLC, its general partner |
|
By: |
BVF Partners L.P., its investment
manager |
|
|
|
By: |
BVF Inc., its general partner |
By: |
/s/ Mark N. Lampert
|
|
|
|
|
Mark N. Lampert |
|
By: |
/s/ Mark N. Lampert |
|
Chief Executive Officer |
|
|
Mark N. Lampert |
|
|
|
|
President |
|
|
|
|
|
BVF I GP LLC |
|
|
|
|
|
|
BVF GP HOLDINGS LLC |
By: |
/s/ Mark N. Lampert |
|
|
|
Mark N. Lampert |
|
By: |
/s/ Mark N. Lampert |
|
Chief Executive Officer |
|
|
Mark N. Lampert |
|
|
|
|
Chief Executive Officer |
|
|
|
|
|
BIOTECHNOLOGY VALUE FUND II, L.P. |
|
|
|
|
|
BVF PARTNERS L.P. |
By: |
BVF II GP LLC, its general partner |
|
|
|
|
|
By: |
BVF Inc., its general partner |
By: |
/s/ Mark N. Lampert
|
|
|
|
|
Mark N. Lampert |
|
By: |
/s/ Mark N. Lampert |
|
Chief Executive Officer |
|
|
Mark N. Lampert |
|
|
|
|
President |
|
|
|
|
|
BVF II GP LLC |
|
|
|
|
|
|
BVF INC. |
By: |
/s/ Mark N. Lampert |
|
|
|
Mark N. Lampert |
|
By: |
/s/ Mark N. Lampert |
|
Chief Executive Officer |
|
|
Mark N. Lampert |
|
|
|
|
President |
|
|
|
|
|
BVF PARTNERS OS LTD. |
|
|
|
|
|
|
/s/ Mark N.
Lampert |
By: |
BVF Partners L.P., its sole member |
|
MARK N. LAMPERT |
By: |
BVF Inc., its general partner |
|
|
|
|
|
|
|
By: |
/s/ Mark N. Lampert
|
|
|
|
Mark N. Lampert |
|
|
|
President |
|
|
|
Calithera Biosciences (NASDAQ:CALA)
Historical Stock Chart
From May 2023 to Jun 2023
Calithera Biosciences (NASDAQ:CALA)
Historical Stock Chart
From Jun 2022 to Jun 2023