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, DC 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Codiak Biosciences, Inc.
| (Name of Issuer) |
|
Common Stock, par value $0.0001 per share |
| (Title of Class of Securities) |
192010106 |
| (CUSIP Number) |
|
|
| 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:
x Rule 13d-1(b)
o Rule 13d-1(c)
o 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.
This Schedule 13G/A amends and restates the Schedule 13G filed in February, 2023.
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. 192010106
|
SCHEDULE 13G/A
|
Page 2
of 9 Pages
|
|
1
|
NAME OF REPORTING PERSONS
Laurion Capital Management LP
|
|||
|
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
Delaware
|
|||
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
||
|
6
|
SHARED VOTING POWER
3,713,300**
|
|||
|
7
|
SOLE DISPOSITIVE POWER
|
|||
|
8
|
SHARED DISPOSITIVE POWER
3,713,300**
|
|||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,713,300**
|
|||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o
|
||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.6%
|
|||
|
12
|
TYPE OF REPORTING PERSON
PN, IA
|
|||
** Includes 1,700,000 shares of Common Stock underlying warrants that are exercisable within 60 days of December 31, 2022.
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CUSIP No. 192010106
|
SCHEDULE 13G/A
|
Page
3 of 9 Pages
|
|
1
|
NAME OF REPORTING PERSONS
Benjamin Alexander Smith
|
|||
|
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
United States
|
|||
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
||
|
6
|
SHARED VOTING POWER
3,713,300**
|
|||
|
7
|
SOLE DISPOSITIVE POWER
|
|||
|
8
|
SHARED DISPOSITIVE POWER
3,713,300**
|
|||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o
|
||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.6%
|
|||
|
12
|
TYPE OF REPORTING PERSON
IN
|
|||
** Includes 1,700,000 shares of Common Stock underlying warrants that are exercisable within 60 days of December 31, 2022.
|
CUSIP No. 192010106
|
SCHEDULE 13G/A
|
Page 4
of 9 Pages
|
|
1
|
NAME OF REPORTING PERSONS
Janaka Sheehan Maduraperuma
|
|||
|
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
United Kingdom
|
|||
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
|
||
|
6
|
SHARED VOTING POWER
3,713,300**
|
|||
|
7
|
SOLE DISPOSITIVE POWER
|
|||
|
8
|
SHARED DISPOSITIVE POWER
3,713,300**
|
|||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o
|
||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.6%
|
|||
|
12
|
TYPE OF REPORTING PERSON
IN
|
|||
** Includes 1,700,000 shares of Common Stock underlying warrants that are exercisable within 60 days of December 31, 2022.
|
CUSIP No. 192010106
|
SCHEDULE 13G/A
|
Page 5
of 9 Pages
|
| Item 1. | (a) Name of Issuer |
Codiak Biosciences, Inc.
| (b) Address of Issuer’s Principal Executive Offices |
35 Cambridgepark Drive, Suite 500
Cambridge, MA 02140
| Item 2. | (a) Name of Person Filing |
This statement is filed by:
(i) Laurion Capital Management LP ("Laurion Capital"), a Delaware limited partnership, and the investment adviser to certain funds and accounts (the "Laurion Funds"), with respect to the shares of Common Stock (as defined in Item 2(d) below) directly held by the Laurion Funds;
(ii) Mr. Benjamin Alexander Smith ("Mr. Smith"), the co-managing member of Laurion Capital GP LLC, the general partner of Laurion Capital, with respect to the shares of Common Stock directly held by the Laurion Funds.
(iii) Mr. Janaka Sheehan Maduraperuma ("Mr. Maduraperuma"), the co-managing member of Laurion Capital GP LLC, the general partner of Laurion Capital, with respect to the shares of Common Stock directly held by the Laurion Funds.
The foregoing persons are hereinafter sometimes collectively referred to as the "Reporting Persons."
The filing of this statement should not be construed as an admission that any of the forgoing persons or any Reporting Person is, for the purposes of Section 13 of the Act, the beneficial owner of the shares of Common Stock reported herein.
| (b) Address of Principal Business Office, or, if none, Residence |
The address of the business office of each of the Reporting Persons is 360 Madison Avenue, Suite 1900, New York, NY 10017.
| (c) Citizenship |
Laurion Capital is a Delaware limited partnership. Mr. Smith is a citizen of the United States. Mr. Maduraperuma is a citizen of the United Kingdom.
| (d) Title of Class of Securities |
Common Stock, par value $0.0001 per share (the “Common Stock”)
| (e) CUSIP No.: |
192010106
|
CUSIP
No. 192010106
|
SCHEDULE 13G/A
|
Page 6
of 9 Pages
|
Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), 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) | o | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |
| (e) | x | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | |
| (f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |
| (g) | x | A parent holding company or control person in accordance with §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) | ¨ | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); | |
| (k) | ¨ | A group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: | |
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CUSIP
No. 192010106
|
SCHEDULE 13G/A
|
Page
7 of 9 Pages
|
Item 4. Ownership
The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each of the Reporting Persons and is incorporated herein by reference.
The ownership percentages set forth herein are calculated based on (i) 36,829,626 shares of outstanding Common Stock, as reported in the Issuer’s report on Form 10-Q filed with the Securities and Exchange Commission on November 3, 2022, plus (ii) the shares of Common Stock underlying warrants held by each Reporting Person that are exercisable within 60 days of December 31, 2022, which are treated as converted into Common Stock only for the purpose of computing the Reporting Person’s beneficial ownership percentage pursuant to Rule 13d-3 of the Securities Exchange Act of 1934.
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
See Item 2. The Laurion Funds have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock reported herein. Laurion Capital Master Fund Ltd., a Laurion Fund, has the right to receive or the power to direct the receipt of dividends or the proceeds from the sale of more than 5% of the shares of Common Stock.
Item 7. Identification and Classification of the Subsidiary which 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
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certifications
By signing below each Reporting Person certifies that, to the best of his or its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired 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.
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CUSIP
No. 192010106
|
SCHEDULE 13G/A
|
Page 8
of 9 Pages
|
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: March 3, 2023
LAURION CAPITAL MANAGEMENT LP
|
|||
| By: | /s/ Jason Riesel | ||
| Name: | Jason Riesel | ||
| Title: | General Counsel & CCO | ||
| By: | /s/ Benjamin Alexander Smith | ||
| Name: | Benjamin Alexander Smith | ||
| By: | /s/ Janaka Sheehan Maduraperuma | ||
| Name: | Janaka Sheehan Maduraperuma | ||
|
CUSIP No. 192010106
|
SCHEDULE 13G/A
|
Page 9
of 9 Pages
|
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on SCHEDULE 13G/A (including any and all amendments thereto) with respect to the shares of Common Stock of Research Alliance Corp. II, and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings.
The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on SCHEDULE 13G/A and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of March 3, 2023.
LAURION CAPITAL MANAGEMENT LP
|
|||
| By: | /s/ Jason Riesel | ||
| Name: | Jason Riesel | ||
| Title: | General Counsel & CCO | ||
| By: | /s/ Benjamin Alexander Smith | ||
| Name: | |||
| By: | /s/ Janaka Sheehan Maduraperuma | ||
| Name: | Janaka Sheehan Maduraperuma | ||