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. )*
F-Star Therapeutics, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
30315R107
(CUSIP Number)
May 7, 2021
(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. |
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).
Page 2 of 8
CUSIP No. 30315R107
| 1 |
Name of reporting persons.
Boxer Capital, LLC | |||||
| 2 | Check the appropriate box if a member of a group. (See instructions) (a) ☐ (b) ☒
| |||||
| 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.
-0- | ||||
| 6 | Shared voting power.
1,501,428 | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,501,428 | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,501,428 | |||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (see instructions).
☐ | |||||
| 11 | Percent of class represented by amount in row (9).
8.2%* | |||||
| 12 | Type of reporting person
OO | |||||
| * | Based on 18,385,832 shares of common stock outstanding after the Issuer’s offering of Common Stock, as set forth in the Issuer’s prospectus supplement filed with the U.S. Securities and Exchange Commission (“SEC”) on May 10, 2021 (the “Prospectus Supplement”), assuming no exercise of the underwriters’ option to purchase an additional 1,392,857 shares of common stock within 30 days of the date of the Prospectus Supplement. |
Page 3 of 8
CUSIP No. 30315R107
| 1 |
Name of reporting persons.
Boxer Asset Management Inc. | |||||
| 2 | Check the appropriate box if a member of a group. (See instructions) (a) ☐ (b) ☒
| |||||
| 3 | SEC use only.
| |||||
| 4 | Citizenship or place of organization.
Bahamas | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
1,501,428 | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,501,428 | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,501,428 | |||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (see instructions).
☐ | |||||
| 11 | Percent of class represented by amount in row (9).
8.2%* | |||||
| 12 | Type of reporting person
CO | |||||
| * | Based on 18,385,832 shares of common stock outstanding after the Issuer’s offering of Common Stock, as set forth in the Prospectus Supplement, assuming no exercise of the underwriters’ option to purchase an additional 1,392,857 shares of common stock within 30 days of the date of the Prospectus Supplement. |
Page 4 of 8
CUSIP No. 30315R107
| 1 |
Name of reporting persons.
Joe Lewis | |||||
| 2 | Check the appropriate box if a member of a group. (See instructions) (a) ☐ (b) ☒
| |||||
| 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.
-0- | ||||
| 6 | Shared voting power.
1,501,428 | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,501,428 | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,501,428 | |||||
| 10 | Check box if the aggregate amount in row (9) excludes certain shares (see instructions).
☐ | |||||
| 11 | Percent of class represented by amount in row (9).
8.2%* | |||||
| 12 | Type of reporting person
IN | |||||
| * | Based on 18,385,832 shares of common stock outstanding after the Issuer’s offering of Common Stock, as set forth in the Prospectus Supplement, assuming no exercise of the underwriters’ option to purchase an additional 1,392,857 shares of common stock within 30 days of the date of the Prospectus Supplement. |
Page 5 of 8
| Item 1(a). | Name of Issuer: |
F-Star Therapeutics, Inc. (the “Issuer”)
| Item 1(b). | Address of Issuer’s Principal Executive Offices: |
Eddeva B920 Babraham Research Campus
Cambridge, United Kingdom CB22 3AT
| Item 2(a). | Name of Person Filing: |
This Schedule 13G is jointly filed by Boxer Capital, LLC (“Boxer Capital”), Boxer Asset Management Inc. (“Boxer Management”) and Joe Lewis (together with Boxer Capital and Boxer Management, the “Reporting Persons”). Boxer Management is the managing member and majority owner of Boxer Capital. Joe Lewis is the sole indirect beneficial owner of and controls Boxer Management.
| Item 2(b). | Address of Principal Business Office, or, if none, Residence: |
The principal business address of Boxer Capital is: 12860 El Camino Real, Suite 300, San Diego, California 92130. The principal business address of Boxer Management and Joe Lewis is: Cay House, EP Taylor Drive N7776, Lyford Cay, New Providence, Bahamas.
| Item 2(c). | Citizenship: |
Boxer Capital is a limited liability company organized under the laws of Delaware. Boxer Management is a corporation organized under the laws of the Bahamas. Joe Lewis is a citizen of the United Kingdom.
| Item 2(d). | Title of Class of Securities: |
Common stock, par value $0.0001 per share (the “Common Stock”)
& #xA0;
| Item 2(e). | CUSIP Number: |
30315R107
| 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.
| Item 4. | Ownership. |
| (a) | Amount beneficially owned: |
The Reporting Persons beneficially own 1,501,428 shares of Common Stock.
| (b) | Percent of class: |
The number of shares of Common Stock beneficially owned by the Reporting Persons represents 8.2% of the Issuer’s outstanding Common Stock. All percentages are based on 18,385,832 shares of Common Stock outstanding after the Issuer’s offering of Common Stock, as set forth in the Issuer’s prospectus supplement filed with the U.S. Securities and Exchange Commission on May 10, 2021 (the “Prospectus Supplement”), assuming no exercise of the underwriters’ option to purchase an additional 1,392,857 shares of Common Stock within 30 days of the date of the Prospectus Supplement.
Page 6 of 8
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: |
None of the Reporting Persons has sole power to vote or to direct the vote of any shares of Common Stock.
| (ii) | Shared power to vote or to direct the vote: |
The Reporting Persons have shared power to vote or to direct the vote of the 1,501,428 shares of Common Stock they beneficially own.
| (iii) | Sole power to dispose or to direct the disposition of: |
None of the Reporting Persons has sole power to dispose or to direct the disposition of any shares of Common Stock.
| (iv) | Shared power to dispose or to direct the disposition of: |
The Reporting Persons have shared power to dispose or to direct the disposition of the 1,501,428 shares of Common Stock they beneficially own.
| 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. |
Only Boxer Capital has the right to receive dividends and the proceeds from the sale of the shares of Common Stock held by Boxer Capital.
| 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. | Certification. |
(c) By signing below I certify that, to the best of my 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, other than activities solely in connection with a nomination under § 240.14a-11.
Page 7 of 8
Exhibits
| 1 | Joint Filing Agreement, dated May 17, 2021, among the Reporting Persons. |
Page 8 of 8
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.
May 17, 2021
| BOXER CAPITAL, LLC | ||
| By: | /s/ Aaron I. Davis | |
| Name: | Aaron I. Davis | |
| Title: | Chief Executive Officer | |
| BOXER ASSET MANAGEMENT INC. | ||
| By: | /s/ Jason Callender | |
| Name: | Jason Callender | |
| Title: | Director | |
| JOSEPH C. LEWIS | ||
| /s/ Joseph C. Lewis | ||
| Joseph C. Lewis, Individually | ||