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.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Akouos, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
00973J101
(CUSIP Number)
August 25, 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:
☐ 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 persons 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).
1 |
NAMES OF REPORTING PERSONS
Pivotal bioVenture Partners Fund I, L.P. | |||||
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
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN |
1 |
NAMES OF REPORTING PERSONS
Pivotal bioVenture Partners Fund I G.P., L.P. | |||||
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
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
PN |
1 |
NAMES OF REPORTING PERSONS
Pivotal bioVenture Partners Fund I U.G.P., Ltd. | |||||
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
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
Pivotal Partners Ltd | |||||
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
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
Pivotal Life Sciences Holdings Limited | |||||
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
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
Nan Fung Group Holdings Limited | |||||
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
British Virgin Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
NF Investment Holdings Limited | |||||
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
British Virgin Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
Nan Fung Life Sciences Holdings Limited | |||||
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
British Virgin Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
NFLS Beta Limited | |||||
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
British Virgin Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
1 |
NAMES OF REPORTING PERSONS
NFLS Platform Holdings Limited | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☒
| |||||
3 | SEC USE ONLY
| |||||
4 | xA0;CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
6 | SHARED VOTING POWER
1,794,088 | |||||
7 | SOLE DISPOSITIVE POWER
0 | |||||
8 | SHARED DISPOSITIVE POWER
1,794,088 |
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,088 | |||||
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
4.9% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
Item 1(a). | Name of Issuer: |
Akouos, Inc. (the Issuer)
Item 1(b). | Address of Issuers Principal Executive Offices: |
645 Summer Street, Suite 200
Boston, MA 02210
Item 2(a). | Names of Persons Filing: |
The name of the persons filing this report (the Reporting Persons) are:
(i) | Pivotal bioVenture Partners Fund I, L.P. (Pivotal) |
(ii) | Pivotal bioVenture Partners Fund I G.P., L.P. (Pivotal GP) |
(iii) | Pivotal bioVenture Partners Fund I U.G.P., Ltd. (the Ultimate General Partner) |
(iv) | Pivotal Partners Ltd (Pivotal Partners) |
(v) | Pivotal Life Sciences Holdings Limited (Pivotal Life Sciences) |
(vi) | Nan Fung Group Holdings Limited (NFGHL) |
(vii) | NF Investment Holdings Limited (NFIHL) |
(viii) | Nan Fung Life Sciences Holdings Limited (Nan Fung Life Sciences) |
(ix) | NFLS Beta Limited |
(x) | NFLS Platform Holdings Limited |
I tem 2(b). | Address of Principal Business Office or, if None, Residence: |
The address of the principal business office of Pivotal, Pivotal GP and the Ultimate General Partner is:
501, Second Street, Suite 200
San Francisco, CA 94107
The registered office address of Pivotal Partners and Pivotal Life Sciences is:
Cricket Square, Hutchins Drive, PO Box 2681, Grand Cayman, KY1-1111, Cayman Islands
The address of the principal business office of NFGHL is:
23rd Floor, Nan Fung Tower,
88 Connaught Road C & 173 Des Voeux Road C, Central, Hong Kong.
The registered office address of NFIHL is:
Vistra Corporate Services Centre, Wickhams Cay II,
Road Town, Tortola, VG1110, British Virgin Islands.
Item 2(c). | Citizenship: |
Pivotal | Cayman Islands | |||||
Pivotal GP | Cayman Islands | |||||
The Ultimate General Partner | Cayman Islands | |||||
Pivotal Partners | Cayman Islands |
Pivotal Life Sciences | Cayman Islands | |||||
NFGHL | British Virgin Islands | |||||
NFIHL | British Virgin Islands | |||||
Nan Fung Life Sciences | British Virgin Islands | |||||
NFLS | British Virgin Islands | |||||
NFLS Platform | Cayman Islands |
Item 2(d). | Title of Class of Securities: |
Common Stock, par value $0.0001 (Common Stock)
Item 2(e). | CUSIP Number: |
00973J101
Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
Not applicable.
Item 4. | Ownership. |
The information required by this item with respect to each Reporting Person is set forth in Rows 5 through 9 and 11 of the cover page to this Schedule 13G. The ownership percentages are based on 36,899,235 outstanding shares of Common Stock as reported in the Issuers Form 10-Q filed August 15, 2022.
Pivotal directly holds 1,794,088 shares of Common Stock. Pivotal GP is the general partner of Pivotal. The Ultimate General Partner is the general partner of Pivotal GP. The Ultimate General Partner is wholly-owned by Pivotal Partners. Pivotal Partners is wholly-owned by Pivotal Life Sciences. Pivotal Life Sciences is wholly-owned by Nan Fung Life Sciences, and Nan Fung Life Sciences is wholly owned by NFIHL, which is wholly owned by NFGHL. The members of the Executive Committee of NFGHL make investment decisions with respect to the securities of the Issuer held by Pivotal. Mr. Kam Chung Leung, Mr. Frank Kai Shui Seto, Mr. Vincent Sai Sing Cheung, Mr. Pui Kuen Cheung, Mr. Kin Ho Kwok, Ms. Vanessa Tih Lin Cheung, Mr. Meng Gao and Mr. Chun Wai Nelson Tang are the members of the Executive Committee of NFGHL.
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 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. |
Not applicable.
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Date: August 25, 2022
PIVOTAL BIOVENTURE PARTNERS FUND I, L.P. | ||
By: PIVOTAL BIOVENTURE PARTNERS FUND I G.P., L.P. | ||
Its General Partner, | ||
By: PIVOTAL BIOVENTURE PARTNERS FUND I U.G.P., LTD. | ||
Its General Partner, | ||
By: | /s/ Robert Hopfner | |
Robert Hopfner | ||
Authorized Signatory | ||
PIVOTAL BIOVENTURE PARTNERS FUND I G.P., L.P. | ||
By: PIVOTAL BIOVENTURE PARTNERS FUND I U.G.P., LTD | ||
Its General Partner, | ||
By: | /s/ Robert Hopfner | |
Robert Hopfner | ||
Authorized Signatory | ||
PIVOTAL BIOVENTURE PARTNERS FUND I U.G.P., LTD. | ||
By: | /s/ Robert Hopfner | |
Robert Hopfner | ||
Authorized Signatory | ||
PIVOTAL PARTNERS LTD | ||
By: | /s/ Sun Xintong | |
Name: | Sun Xintong | |
Title: | Director | |
PIVOTAL LIFE SCIENCES HOLDINGS LIMITED | ||
By: | /s/ Sun Xintong | |
Name: | Sun Xintong | |
Title: | Director |
NAN FUNG GROUP HOLDINGS LIMITED | ||
By: | /s/ Tang Chun Wai Nelson | |
Tang Chun Wai Nelson | ||
Director | ||
NF INVESTMENT HOLDINGS LIMITED | ||
By: | /s/ Tang Chun Wai Nelson | |
Tang Chun Wai Nelson Director | ||
NAN FUNG LIFE SCIENCES HOLDINGS LIMITED | ||
By: | /s/ Sun Xintong | |
Sun Xintong Director | ||
NFLS BETA LIMITED | ||
By: | /s/ Sun Xintong | |
Sun Xintong Director | ||
NFLS PLATFORM HOLDINGS LIMITED | ||
By: | /s/ Sun Xintong | |
Sun Xintong Director |