Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
NuCana plc
(Name of Issuer)
American Depositary Shares and Ordinary Shares
(Title of Class of Securities)
67022C106**
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ 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. |
| ** | CUSIP number 67022C106 has been assigned to the American Depositary Shares of the Company, which are quoted on the Nasdaq Global Select Market under the symbol “NCNA.” Each American Depositary Share represents 1 Ordinary Share. |
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).
Persons who respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.
13G
| CUSIP No. 67022C106 |
Page 1 of 1 |
| 1. |
Names of Reporting Persons.
Harvard Management Company, Inc. | |||||
| 2. | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only
| |||||
| 4. | Citizenship or Place of Organization
Massachusetts | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5. | Sole Voting Power
1,678,239 Ordinary Shares | ||||
| 6. | Shared Voting Power
0 | |||||
| 7. | Sole Dispositive Power
1,678,239 Ordinary Shares | |||||
| 8. | Shared Dispositive Power
0 | |||||
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,678,239 Ordinary Shares | |||||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares ☐
| |||||
| 11. | Percent of Class Represented by Amount in Row (9)
3.30%1 | |||||
| 12. | Type of Reporting Person
EP | |||||
| 1 | Based on 50,828,339 Ordinary Shares outstanding as of September 16, 2020, as reported in the Issuer’s Form 6-K filed with the Securities and Exchange Commission (the “SEC”) on September 16, 2020. |
13G
CUSIP No. 67022C106
ITEM 1.
| (a) | Name of Issuer: NuCana plc |
| (b) | Address of Issuer’s Principal Executive Offices: 3 Lochside Way, Edinburgh EH12 9DT, United Kingdom |
ITEM 2.
| (a) | Name of Person Filing: |
Harvard Management Company, Inc.
| (b) | Address of Principal Business Office, or if None, Residence: |
600 Atlantic Avenue, Boston, MA 02210
| (c) | Citizenship: Massachusetts |
| (d) | Title of Class of Securities: Ordinary Shares (“Ordinary Shares”) represented by American Depositary Shares (“ADS”), each of which represents one Ordinary Share. |
| (e) | CUSIP Number: 67022C106 |
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
| (a) |
☐ |
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). | ||
| (b) |
☐ |
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). | ||
| (c) |
☐ |
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). | ||
| (d) |
☐ |
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). | ||
| (e) |
☐ |
An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); | ||
| (f) |
☒ |
An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); | ||
| (g) |
☐ |
A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); | ||
| (h) |
☐ |
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||
| (i) |
☐ |
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) |
☐ |
Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). |
ITEM 4. OWNERSHIP.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount be neficially owned: 1,678,239 Ordinary Shares, represented by 1,678,239 ADS. The Ordinary Shares beneficially owned may be exchanged into ADS on a one-for one basis. |
| (b) | Percent of class: 3.30% |
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: 1,678,239 Ordinary Shares (represented by 1,678,239 ADS) |
| (ii) | Shared power to vote or to direct the vote: 0 |
| (iii) | Sole power to dispose or to direct the disposition of: 1,678,239 Ordinary Shares (represented by 1,678,239 ADS) |
| (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 ☒.
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.
[The rest of the page is intentionally left blank]
ITEM 10. CERTIFICATIONS.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Dated: February 12, 2021 | ||
| HARVARD MANAGEMENT COMPANY, INC. | ||
| By: | /S/ KATHRYN I. MURTAGH | |
| Name: | Kathryn I. Murtagh | |
| Title: | Authorized Signatory | |