Intellia Therapeutics Inc (NASDAQ:NTLA): Samuel Isaly’s OrbiMed Advisors filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
OrbiMed Advisors | 0 | 2,537,684 | 0 | 2,537,684 | 2,537,684 | 5.99% |
OrbiMed Capital GP V | 0 | 1,943,388 | 0 | 1,943,388 | 1,943,388 | 4.59% |
OrbiMed Global Healthcare GP | 0 | 594,296 | 0 | 594,296 | 594,296 | 1.40% |
Samuel D. Isaly | 0 | 2,537,684 | 0 | 2,537,684 | 2,537,684 | 5.99% |
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Page 1 of 13 – SEC Filing
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Under the Securities Exchange Act of 1934
INTELLIA THERAPEUTICS, INC.
COMMON STOCK
OrbiMed Capital GP V LLC
Samuel D. Isaly
601 Lexington Avenue, 54th Floor
New York, NY 10022
Telephone: (212) 739-6400
Authorized to Receive Notices and Communications)
November 6, 2017
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Page 2 of 13 – SEC Filing
CUSIP No. 45826J105 | Page 2 of 15 Pages |
1 | NAME OF REPORTING PERSONS OrbiMed Advisors LLC | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | |||
3 | SEC USE ONLY | |||
4 | SOURCE OF FUNDS (See Instructions) AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ☐ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | ||
8 | SHARED VOTING POWER 2,537,684 | |||
9 | SOLE DISPOSITIVE POWER 0 | |||
10 | SHARED DISPOSITIVE POWER 2,537,684 | |||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,537,684 | |||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.99%* | |||
14 | TYPE OF REPORTING PERSON (See Instructions) IA |
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Page 3 of 13 – SEC Filing
CUSIP No. 45826J105 | Page 3 of 15 Pages |
1 | NAME OF REPORTING PERSONS OrbiMed Capital GP V LLC | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | |||
3 | SEC USE ONLY | |||
4 | SOURCE OF FUNDS (See Instructions) AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ☐ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | ||
8 | SHARED VOTING POWER 1,943,388 | |||
9 | SOLE DISPOSITIVE POWER 0 | |||
10 | SHARED DISPOSITIVE POWER 1,943,388 | |||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,943,388 | |||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.59%* | |||
14 | TYPE OF REPORTING PERSON (See Instructions) OO |
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Page 4 of 13 – SEC Filing
CUSIP No. 45826J105 | Page 4 of 15 Pages |
1 | NAME OF REPORTING PERSONS OrbiMed Global Healthcare GP LLC | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | |||
3 | SEC USE ONLY | |||
4 | SOURCE OF FUNDS (See Instructions) AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ☐ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | ||
8 | SHARED VOTING POWER 594,296 | |||
9 | SOLE DISPOSITIVE POWER 0 | |||
10 | SHARED DISPOSITIVE POWER 594,296 | |||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 594,296 | |||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.40%* | |||
14 | TYPE OF REPORTING PERSON (See Instructions) OO |
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Page 5 of 13 – SEC Filing
CUSIP No. 45826J105 | Page 5 of 15 Pages |
1 | NAME OF REPORTING PERSONS Samuel D. Isaly | |||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☐ | |||
3 | SEC USE ONLY | |||
4 | SOURCE OF FUNDS (See Instructions) AF | |||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | ☐ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 | ||
8 | SHARED VOTING POWER 2,537,684 | |||
9 | SOLE DISPOSITIVE POWER 0 | |||
10 | SHARED DISPOSITIVE POWER 2,537,684 | |||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,537,684 | |||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) | ☐ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.99%* | |||
14 | TYPE OF REPORTING PERSON (See Instructions) IN |
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Page 6 of 13 – SEC Filing
Item 1. | Security and Issuer |
Item 2. | Identity and Background |
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Page 7 of 13 – SEC Filing
Item 3. | Source and Amount of Funds or Other Consideration |
Item 4. | Purpose of Transaction |
Item 5. | Interest in Securities of the Issuer |
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Page 8 of 13 – SEC Filing
Seller | Date of Transaction | Transaction | Number of Shares | Price Per Share* |
OPI V | November 1, 2017 | Sold | 14,034 | $29.15 |
OGH | November 1, 2017 | Sold | 4,266 | $29.15 |
OPI V | November 1, 2017 | Sold | 1,103 | $30.30 |
OGH | November 1, 2017 | Sold | 335 | $30.30 |
OPI V | November 2, 2017 | Acquired upon the exercise of stock options | 6,039 | $18 |
OGH | November 2, 2017 | Acquired upon the exercise of stock options | 1,804 | $18 |
OPI V | November 2, 2017 | Sold | 6,039 | $22.50 |
OGH | November 2, 2017 | Sold | 1,804 | $22.50 |
OPI V | November 3, 2017 | Sold | 42,964 | $22.00 |
OGH | November 3, 2017 | Sold | 13,057 | $22.00 |
OPI V | November 6, 2017 | Sold | 16,670 | $21.58 |
OGH | November 6, 2017 | Sold | 5,067 | $21.58 |
OPI V | November 7, 2017 | Sold | 15,032 | $21.14 |
OGH | November 7, 2017 | Sold | 4,568 | $21.14 |
OPI V | November 8, 2017 | Sold | 5,675 | $19.86 |
OGH | November 8, 2017 | Sold | 1,725 | $19.86 |
Item 6. | Contracts, Arrangements, Understandings or Relationship with Respect to Securities of the Issuer |
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Page 9 of 13 – SEC Filing
Item 7. | Materials to Be Filed as Exhibits |
Exhibit | Description |
1. | Joint Filing Agreement among OrbiMed Advisors LLC, OrbiMed Capital GP V LLC, OrbiMed Global Healthcare GP LLC and Samuel D. Isaly |
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Page 10 of 13 – SEC Filing
OrbiMed Advisors LLC | ||||
By: | /s/ Samuel D. Isaly | |||
Name: | Samuel D. Isaly | |||
Title: | Managing Member | |||
OrbiMed Capital GP V LLC | ||||
By: | OrbiMed Advisors LLC its Managing Member | |||
By: | /s/ Samuel D. Isaly | |||
Name: | Samuel D. Isaly | |||
Title: | Managing Member | |||
OrbiMed Global Healthcare GP LLC | ||||
By: | OrbiMed Advisors LLC its Managing Member | |||
By: | /s/ Samuel D. Isaly | |||
Name: | Samuel D. Isaly | |||
Title: | Managing Member | |||
Samuel D. Isaly | ||||
By: | /s/ Samuel D. Isaly | |||
Name: | Samuel D. Isaly |
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Page 11 of 13 – SEC Filing
Name | Position with Reporting Person | Principal Occupation |
Samuel D. Isaly | Managing Member | Managing Member OrbiMed Advisors LLC |
Carl L. Gordon | Member | Member OrbiMed Advisors LLC |
Sven H. Borho German and Swedish Citizen | Member | Member OrbiMed Advisors LLC |
Jonathan T. Silverstein | Member | Member OrbiMed Advisors LLC |
W. Carter Neild | Member | Member OrbiMed Advisors LLC |
Geoffrey C. Hsu | Member | Member OrbiMed Advisors LLC |
Evan D. Sotiriou | Chief Financial Officer | Chief Financial Officer OrbiMed Advisors LLC |
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Page 12 of 13 – SEC Filing
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Page 13 of 13 – SEC Filing
Exhibit | Description |
1. | Joint Filing Agreement among OrbiMed Advisors LLC, OrbiMed Capital GP V LLC, OrbiMed Global Healthcare GP LLC, and Samuel D. Isaly |
14