Amended Statement of Beneficial Ownership (sc 13d/a)
22 Novembro 2021 - 1:09PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
(Rule 13d-101)
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Odonate
Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.01 par value
(Title of Class of Securities)
676079106
(CUSIP Number)
David A. Brown
Alston & Bird LLP
950 F Street, N.W.
Washington, DC 20004-1404
202-239-3463
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 17, 2021
(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 ☐.
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*
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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.
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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).
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CUSIP No. 676079106
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SCHEDULE 13D
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1
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NAMES OF REPORTING PERSONS
Boxer Capital, LLC
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (See Instructions)
(a) ☒ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (See
Instructions)
WC
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5
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CHECK IF DISCLOSURE OF
LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
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6
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
4,607,086
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9
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SOLE DISPOSITIVE POWER
0
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10
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SHARED DISPOSITIVE POWER
4,607,086
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,607,086
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12
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐
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13
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (11)
12.0%*
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14
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TYPE OF REPORTING PERSON
(See Instructions)
OO
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*
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Based on 38,490,336 shares of the Issuer’s Common Stock outstanding as of October 29, 2021 as set
forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2021.
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CUSIP No. 676079106
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SCHEDULE 13D
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1
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NAMES OF REPORTING PERSONS
Boxer Asset Management Inc.
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (See Instructions)
(a) ☒ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (See
Instructions)
AF
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5
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CHECK IF DISCLOSURE OF
LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
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6
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Bahamas
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
4,607,086
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9
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SOLE DISPOSITIVE POWER
0
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10
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SHARED DISPOSITIVE POWER
4,607,086
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,607,086
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12
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CHECK IF THE AGGREGATE
AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐
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13
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (11)
12.0%*
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14
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TYPE OF REPORTING PERSON
(See Instructions)
CO
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*
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Based on 38,490,336 shares of the Issuer’s Common Stock outstanding as of October 29, 2021 as set
forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2021.
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CUSIP No. 676079106
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SCHEDULE 13D
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1
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NAMES OF REPORTING PERSONS
Aaron I. Davis
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (See Instructions)
(a) ☒ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (See
Instructions)
PF
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5
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CHECK BOX IF DISCLOSURE OF
LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
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6
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United States of
America
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
445,756
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8
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SHARED VOTING POWER
0
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9
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SOLE DISPOSITIVE POWER
445,756
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10
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SHARED DISPOSITIVE POWER
0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
445,756
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12
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CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐
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13
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (11)
1.2%*
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14
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TYPE OF REPORTING PERSON
(See Instructions)
IN
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*
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Based on 38,490,336 shares of the Issuer’s Common Stock outstanding as of October 29, 2021 as set
forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2021.
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CUSIP No. 676079106
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SCHEDULE 13D
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1
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NAMES OF REPORTING PERSONS
Joe Lewis
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP (See Instructions)
(a) ☒ (b) ☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (See
Instructions)
AF
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5
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CHECK BOX IF DISCLOSURE OF
LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐
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6
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United
Kingdom
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
4,607,086
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9
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SOLE DISPOSITIVE POWER
0
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10
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SHARED DISPOSITIVE POWER
4,607,086
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,607,086
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12
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CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
☐
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13
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (11)
12.0%*
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14
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TYPE OF REPORTING PERSON
(See Instructions)
IN
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*
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Based on 38,490,336 shares of the Issuer’s Common Stock outstanding as of October 29, 2021 as set
forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2021.
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CUSIP No. 676079106
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SCHEDULE 13D
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This Amendment No. 3 (“Amendment No. 3”) amends and supplements the
statement on Schedule 13D filed on December 8, 2017 (the “Original Filing”) by Boxer Capital, LLC (“Boxer Capital”), Boxer Asset Management (“Boxer Management”), Aaron I. Davis, and Joe Lewis (together with Boxer
Capital, Boxer Management and Mr. Davis, the “Reporting Persons”), as amended by Amendment No. 1, filed by the Reporting Persons on December 27, 2018 and Amendment No. 2, filed by the Reporting Persons on
September 1, 2020. The Original Filing, as amended, remains in effect except to the extent that it is amended, restated or superseded by information contained in this Amendment No. 3. Capitalized terms used and not defined in this
Amendment No. 3 have the meanings set forth in the Original Filing, as amended.
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Item 5.
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Interest in Securities of the Issuer.
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Item 5 is hereby amended and restated in its entirety as follows:
(a) The Reporting Persons may be deemed to beneficially own, in the aggregate, 5,052,842 shares of Common Stock, representing 13.1% of the
Issuer’s outstanding Common Stock. Boxer Capital, Boxer Management and Joe Lewis beneficially own 4,607,086 shares of Common Stock, which represents 12.0% of the Issuer’s outstanding Common Stock. Aaron I. Davis beneficially owns 445,756
shares of Common Stock, which represents 1.2% of the Issuer’s outstanding Common Stock. All percentages are based on 38,490,336 shares of the Issuer’s Common Stock outstanding as of October 29, 2021 as set forth in the Issuer’s
quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2021.
(b) With respect to any rights or powers to vote, or to direct the vote of, or to dispose of, or direct the disposition of, the Common Stock
owned by the Reporting Persons:
(i) Sole power to vote or direct the vote:
Aaron I. Davis has the sole power to vote or to direct the vote of the 445,756 shares of Common Stock he beneficially
owns.
(ii) Shared power to vote or to direct the vote:
Boxer Capital, Boxer Management and Joe Lewis have shared power to vote or to direct the vote of the 4,607,086 shares of Common
Stock they beneficially own.
(iii) Sole power to dispose or to direct the disposition of:
Aaron I. Davis has the sole power to dispose or to direct the disposition of the 445,756 shares of Common Stock he beneficially
owns.
(iv) Shared power to dispose or to direct the disposition of:
Boxer Capital, Boxer Management and Joe Lewis have shared power to dispose or to direct the disposition of the 4,607,086 shares
of Common Stock they beneficially own.
(c) Other than as set forth below, the Reporting Persons have not engaged in any transactions in
the Common Stock in the past 60 days.
(i) Aaron I. Davis effected the following transactions in the Common Stock in the last 60 days:
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Date
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Transaction
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Shares of Common Stock
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Price Per
Share
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11/17/2021
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Sale
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170,000
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$
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2.2334
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(1)
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11/19/2021
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Sale
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30,000
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$
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1.9165
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(1)
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Reflects the weighted average sale price. The range of prices for such transaction is $1.97 to $2.95.
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(2)
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Reflects the weighted average sale price. The range of prices for such transaction is $1.84 to $1.96.
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(ii) Boxer Capital effected the following transactions in the Common Stock in the last 60 days.
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CUSIP No. 676079106
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SCHEDULE 13D
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Date
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Transaction
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Shares of Common Stock
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Price Per
Share
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11/17/2021
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Sale
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600,000
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$
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2.1654
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(1)
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11/18/2021
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Sale
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250,000
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$
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1.9490
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11/19/2021
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Sale
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150,000
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$
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1.8419
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(1)
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Reflects the weighted average sale price. The range of prices for such transaction is $2.0026 to $2.4018.
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(d) No other person has the right to receive or the power to direct the receipt of dividends, or proceeds of sale of
such securities outlined in this report.
(e) Not applicable.
Item 7. Material to Be Filed as Exhibits.
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Exhibit 1
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Joint Filing Agreement, dated December 8, 2017, among Boxer Capital, Boxer Management, Joe Lewis and Aaron I. Davis, incorporated by reference to Exhibit 99.1 to the Schedule 13D filed by the Reporting Persons on
December 8, 2017.
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CUSIP No. 676079106
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SCHEDULE 13D
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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: November 22, 2021
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BOXER CAPITAL, LLC
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By:
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/s/Aaron I. Davis
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Name:
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Aaron I. Davis
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Title:
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Chief Executive Officer
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BOXER ASSET MANAGEMENT INC.
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By:
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/s/ Jason Callender
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Name:
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Jason Callender
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Title:
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Director
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JOSEPH C. LEWIS
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By:
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/s/ Joseph C. Lewis
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Joseph C. Lewis, Individually
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AARON I. DAVIS
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By:
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/s/ Aaron I. Davis
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Aaron I. Davis, Individually
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