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.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Artiva Biotherapeutics, Inc.
(Name of Issuer)
Common Stock, $0.0001 par value per share
(Title of Class of Securities)
04317A107
(CUSIP Number)
September 30, 2024
(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)
Continued on following pages
Page 1 of 10 Pages
Exhibit Index: Page 10
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SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
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Page 2 of 10 Pages
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1
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NAMES OF REPORTING PERSONS
|
|
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||
|
venBio Global Strategic Fund III, L.P.
|
|
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|||
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||||
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
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||
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(a)☐
|
|
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|||
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(b)☐
|
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|||
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3
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SEC USE ONLY
|
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||
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|||
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||||
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Cayman Islands
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|||
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||||
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
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||||
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6
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SHARED VOTING POWER
|
|
|
||
| 1,519,971 |
|
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|||
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||||
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7
|
SOLE DISPOSITIVE POWER
|
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0
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|||
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||||
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8
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SHARED DISPOSITIVE POWER
|
|
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||
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1,519,971
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|||
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||||
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
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||
|
1,519,971
|
|
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|||
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||||
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
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||
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☐
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|||
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||||
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
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6.3%
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|||
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||||
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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|
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PN
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|||
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||||
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SCHEDULE 13G
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CUSIP No. 04317A107
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Page 3 of 10 Pages
|
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1
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NAMES OF REPORTING PERSONS
|
|
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||
|
venBio Global Strategic GP III, L.P.
|
|
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|||
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||||
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
||
|
(a)☐
|
|
|
|||
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(b)☐
|
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|||
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3
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SEC USE ONLY
|
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||
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|||
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||||
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Cayman Islands
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|
|||
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|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
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6
|
SHARED VOTING POWER
|
|
|
||
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1,519,971
|
|
|
|||
|
|
|
||||
|
7
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SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
6.3%
|
|
|
|||
|
|
|
||||
|
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
PN, HC
|
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|||
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||||
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SCHEDULE 13G
|
|
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CUSIP No. 04317A107
|
Page 4 of 10 Pages
|
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1
|
NAMES OF REPORTING PERSONS
|
|
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||
|
venBio Global Strategic GP III, Ltd.
|
|
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|||
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||||
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
||
|
(a)☐
|
|
|
|||
|
(b)☐
|
|
|
|||
|
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|
|||
|
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||||
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
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||
|
Cayman Islands
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
6.3%
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
CO, HC
|
|
|
|||
|
|
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||||
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 5 of 10 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Robert Adelman
|
|
|
|||
|
|
|
||||
|
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 of America
|
|
|
|||
|
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|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
6.3%
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
IN, HC
|
|
|
|||
|
|
|
||||
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 6 of 10 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
|
Corey Goodman
|
|
|
|||
|
|
|
||||
|
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 of America
|
|
|
|||
|
|
|
||||
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
|
0
|
|
|
|||
|
|
|
||||
|
6
|
SHARED VOTING POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
|
0
|
|
|
|||
|
|
|
||||
|
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
|
1,519,971
|
|
|
|||
|
|
|
||||
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
|
☐
|
|
|
|||
|
|
|
||||
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
|
6.3%
|
|
|
|||
|
|
|
||||
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
|
IN, HC
|
|
|
|||
|
|
|
||||
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 7 of 10 Pages
|
| Item 1(a). |
Name of Issuer
|
Artiva
Biotherapeutics, Inc. (the “Issuer”)
| Item 1(b). |
Address of Issuer’s Principal Executive Offices
|
5505 Morehouse Drive, Suite 100, San Diego, CA 92121
| Item 2(a). |
Names of Persons Filing
|
This Statement is filed on behalf of the following persons (collectively, the “Reporting Persons”):
| i. |
venBio Global Strategic Fund III, L.P. (“Fund III”);
|
| ii. |
venBio Global Strategic GP III, L.P. (“General Partner III);
|
| iii. |
venBio Global Strategic GP III, Ltd. (“GP Ltd. III”);
|
| iv. |
Robert Adelman (“Mr. Adelman”); and
|
| v. |
Corey Goodman (“Mr. Goodman”).
|
This Statement relates to Shares (as defined herein) directly beneficially owned by Fund III. General Partner III is the sole general partner of Fund III, and GP Ltd. III is the
sole general partner of General Partner III. Mr. Adelman and Mr. Goodman are directors of GP Ltd. III (collectively, the “Directors”). Accordingly, each of General Partner III, GP Ltd. III, and the Directors may be deemed to indirectly beneficially
own the Shares reported herein. Dr. Aaron Royston is also a director of GP Ltd. III but disclaims beneficial ownership over the securities held by Fund III.
| Item 2(b). |
Address of Principal Business Office or, if None, Residence
|
The address of the principal business office of each Reporting Person is c/o venBio Partners, LLC, 1700 Owens Street, Suite 595, San Francisco, CA 94158.
| Item 2(c). |
Citizenship
|
Each of Fund III and General Partner III is a Cayman Islands exempted limited partnership. GP Ltd. III is a Cayman Islands
exempted company. Each of the Directors is a citizen of the United States of America.
| Item 2(d). |
Title of Class of Securities
|
Common Stock, $0.0001 par value per share (the “Shares”)
| Item 2(e). |
CUSIP Number
|
04317A107
| 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:
|
This Item 3 is not applicable.
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 8 of 10 Pages
|
|
Item 4.
|
Ownership
|
| Item 4(a). |
Amount Beneficially Owned
|
As of September 30, 2024, each of the Reporting Persons may be deemed to beneficially own 1,519,971 Shares.
| Item 4(b). |
Percent of Class
|
The percentages set forth in Line 11 of the cover sheets are based on 24,287,144 Shares outstanding as of August 15, 2024, as reported in the Issuer's quarterly
report on Form 10-Q, filed with the Securities and Exchange Commission on August 29, 2024.
| Item 4(c). |
Number of shares as to which such person has:
|
| (i) |
sole power to vote or to direct the vote: See Line 5 of cover sheets.
|
| (ii) |
shared power to vote or to direct the vote: See Line 6 of cover sheets.
|
| (iii) |
sole power to dispose or to direct the disposition of: See Line 7 of cover sheets.
|
| (iv) |
shared power to dispose or to direct the disposition of: See Line 8 of cover sheets.
|
Each Reporting Person disclaims beneficial ownership of such securities except for the Shares, if any, such Reporting Person holds of record.
| Item 5. |
Ownership of Five Percent or Less of a Class
|
This Item 5 is not applicable.
| Item 6. |
Ownership of More than Five Percent on Behalf of Another Person
|
This Item 6 is 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
|
See disclosure in Item 2 hereof.
| Item 8. |
Identification and Classification of Members of the Group
|
This Item 8 is not applicable.
| Item 9. |
Notice of Dissolution of Group
|
This Item 9 is not applicable.
| Item 10. |
Certification
|
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.
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 9 of 10 Pages
|
SIGNATURES
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: November 14, 2024
|
|
|
|
| |
VENBIO GLOBAL STRATEGIC FUND III, L.P.
|
|
|
| |
|
|
|
| |
By:
|
VENBIO GLOBAL STRATEGIC GP III, L.P.
General Partner
|
|
| |
By:
|
VENBIO GLOBAL STRATEGIC GP III, LTD.
General Partner
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
|
|
|
| |
VENBIO GLOBAL STRATEGIC GP III, L.P.
|
|
|
| |
By:
|
VENBIO GLOBAL STRATEGIC GP III, LTD.
General Partner
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
|
|
|
| |
VENBIO GLOBAL STRATEGIC GP III, LTD.
|
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
By:
|
*
|
|
| |
Title:
|
Director
|
|
| |
*
|
|
|
| |
Corey Goodman
|
|
|
| |
* | |
|
| |
Robert Adelman
|
|
|
| |
|
|
|
| |
*By:
|
/s/ David Pezeshki
|
|
| |
|
David Pezeshki
|
|
| |
|
As attorney-in-fact
|
|
This Schedule 13G was executed by David Pezeshki on behalf of the individuals listed above pursuant to a Power of Attorney, a copy of which is attached as Exhibit 2.
|
SCHEDULE 13G
|
|
|
CUSIP No. 04317A107
|
Page 10 of 10 Pages
|
EXHIBIT INDEX
|
Ex.
|
|
Page No.
|
|
|
|
|
|
Joint Filing Agreement
|
11
|
|
| 2 | Power of Attorney regarding filings under the Securities Exchange Act of 1934, as amended. | 12 |