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 |
|---|---|---|---|---|---|---|
| Viking Global Investors | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Performance | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Equities | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Equities II | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| VGE III Portfolio Ltd | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Long Fund GP | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Long Fund Master Ltd | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Opportunities GP | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Opportunities Portfolio GP | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Viking Global Opportunities Illiquid Investments Sub-Master | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| O. Andreas Halvorsen | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| David C. Ott | 0 | 0 | 0 | 16,013,540 | 16,013,540 | 29.1% |
| Daniel S. Sundheim | 0 | 0 | 0 | 0 | 0 | 0.0% |
Follow Andreas Halvorsen's Viking Global
Page 1 of 17 – SEC Filing
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934
AMENDMENT NO. 1*
| Arbutus Biopharma Corporation |
| (Name of Issuer) |
| Common Shares, no par value |
| (Title of Class of Securities) |
| 03879J100 |
| (CUSIP Number) |
| Eric Komitee General Counsel 55 Railroad Avenue Greenwich, Connecticut 06830 203-863-5062 |
| (Name, Authorized |
| June 12, 2017 |
| (Date of Event which Requires Filing of this Statement) |
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note.
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7
for other parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 16 Pages)
______________________
* 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 disclosures provided in a prior cover page.
The information required on 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).
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 2 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 2 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Investors LP | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON PN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer (as defined below) on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the Securities and Exchange Commission (the “SEC”) on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 3 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 3 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Performance 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON OO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 4 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 4 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Equities LP | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON PN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 5 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 5 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Equities II LP | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON PN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 6 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 6 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS VGE III Portfolio Ltd. | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON CO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 7 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 7 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Long Fund 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON OO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 8 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 8 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Long Fund Master Ltd. | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON CO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 9 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 9 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Opportunities 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON OO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 10 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 10 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Opportunities Portfolio 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON OO | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 11 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 11 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Viking Global Opportunities Illiquid Investments Sub-Master | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON PN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 12 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 12 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS O. Andreas Halvorsen | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION Norway | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON IN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 13 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 13 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS David C. Ott | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 16,013,540 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 16,013,540 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 29.1%* | |||||
| 14 | TYPE OF REPORTING PERSON IN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 14 of 17 – SEC Filing
| CUSIP No. 03879J100 | 13D | Page 14 of 16 Pages |
| 1 | NAMES OF REPORTING PERSONS Daniel S. Sundheim | |||||
| 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) OO (See Item 3) | |||||
| 5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) | o | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY PERSON WITH | 7 | SOLE VOTING POWER 0 | ||||
| 8 | SHARED VOTING POWER 0 | |||||
| 9 | SOLE DISPOSITIVE POWER 0 | |||||
| 10 | SHARED DISPOSITIVE POWER 0 | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 0 | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) | o | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0%* | |||||
| 14 | TYPE OF REPORTING PERSON IN | |||||
| * | The calculation assumes that there are a total of 55,024,557 Common Shares outstanding as of April 30, 2017, as reported by the Issuer on its Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 4, 2017. |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 15 of 17 – SEC Filing
This Amendment No. 1 (the “Amendment”)
amends and supplements the Schedule 13D filed by the Reporting Persons on July 13, 2016 (the “Original Schedule 13D”)
with respect to the Common Shares of the Issuer. Capitalized terms used in this Amendment and not otherwise defined shall have
the same meanings ascribed to them in the Original Schedule 13D.
Item 4. Purpose of Transaction
This Amendment amends the Original Schedule
13D to add the following paragraph immediately prior to the first paragraph of Item 4 of the Original Schedule 13D:
“As of June 12, 2017, Daniel S. Sundheim
has ceased to serve as Chief Investment Officer of VGI and no longer serves as an Executive Committee Member of Viking Global Partners
LLC (the general partner of VGI), VGP, VLFGP and Opportunities GP. Therefore, Mr. Sundheim no longer beneficially owns any
Common Shares of the Issuer.”
| Page 15 of 16 Pages |
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Follow Arbutus Biopharma Corp (NASDAQ:ABUS)
Page 16 of 17 – SEC Filing
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: June 14, 2017
| By: /s/ O. Andreas Halvorsen | |
| By: O. Andreas Halvorsen – individually and as an Executive Committee | |
| By: /s/ David C. Ott | |
| By: David C. Ott – individually and as an Executive Committee Member |
| By: /s/Daniel S. Sundheim | |
| By: Daniel S. Sundheim |
| Page 16 of 16 Pages |
