0001193125-16-457797.txt : 20160211 0001193125-16-457797.hdr.sgml : 20160211 20160210173734 ACCESSION NUMBER: 0001193125-16-457797 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20160211 DATE AS OF CHANGE: 20160210 GROUP MEMBERS: ACCESS INDUSTRIES MANAGEMENT, LLC GROUP MEMBERS: AI LOXO HOLDINGS 2 LLC GROUP MEMBERS: AI VALUE HOLDINGS LLC GROUP MEMBERS: LEN BLAVATNIK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Loxo Oncology, Inc. CENTRAL INDEX KEY: 0001581720 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 462996673 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88267 FILM NUMBER: 161406862 BUSINESS ADDRESS: STREET 1: 1 LANDMARK SQUARE, SUITE 1122 CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-653-3880 MAIL ADDRESS: STREET 1: 1 LANDMARK SQUARE, SUITE 1122 CITY: STAMFORD STATE: CT ZIP: 06901 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AI Loxo Holdings LLC CENTRAL INDEX KEY: 0001612221 IRS NUMBER: 272282976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O ACCESS INDUSTRIES, INC. STREET 2: 730 FIFTH AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-617-6100 MAIL ADDRESS: STREET 1: C/O ACCESS INDUSTRIES, INC. STREET 2: 730 FIFTH AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G/A 1 d150605dsc13ga.htm AMENDMENT NO. 1 TO SCHEDULE 13G Amendment No. 1 to Schedule 13G

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

Loxo Oncology, Inc.

(Name of Issuer)

Common Stock, $.0001 par value

(Title of Class of Securities)

548862101

(CUSIP Number)

December 31, 2015

(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)

x Rule 13d-1(d)

 

* 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 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 the section of the Act but shall be subject to all other provisions of that Act (however, see the Notes).

 

 

 

 

1 of 14

CUSIP No. 548862101  

 

  1   

NAMES OF REPORTING PERSONS

 

AI Loxo Holdings LLC

  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

 

    State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

    0

   6   

SHARED VOTING POWER

 

    0

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    0

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    0

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)

 

    0.00%1

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    OO (Limited Liability Company)

 

1  All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

2 of 14

CUSIP No. 548862101  

 

  1   

NAMES OF REPORTING PERSONS

 

AI Loxo Holdings 2 LLC

  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

 

    State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

    1,528,339

   6   

SHARED VOTING POWER

 

    0

   7   

SOLE DISPOSITIVE POWER

 

    1,528,339

   8   

SHARED DISPOSITIVE POWER

 

    0

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,528,339

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)

 

    7.97% 1

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    OO (Limited Liability Company)

 

1  All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

3 of 14

CUSIP No. 548862101  

 

  1   

NAMES OF REPORTING PERSONS

 

AI Value Holdings LLC

  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

 

    State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

    0

   6   

SHARED VOTING POWER

 

    0

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    0

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    0

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)

 

    0.00% 1

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    OO (Limited Liability Company)

 

1  All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

4 of 14

CUSIP No. 548862101  

 

  1   

NAMES OF REPORTING PERSONS

 

Access Industries Management, LLC

  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

 

    State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

    0

   6   

SHARED VOTING POWER

 

    1,528,339

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    1,528,339

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,528,339

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)

 

    7.97% 1

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    OO (Limited Liability Company)

 

1  All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

5 of 14

CUSIP No. 548862101  

 

  1   

NAMES OF REPORTING PERSONS

 

Len Blavatnik

  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

 

    United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

    0

   6   

SHARED VOTING POWER

 

    1,528,339

   7   

SOLE DISPOSITIVE POWER

 

    0

   8   

SHARED DISPOSITIVE POWER

 

    1,528,339

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    1,528,339

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)

 

    7.97% 1

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

    IN

 

1  All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

6 of 14

CUSIP No. 548862101

 

Item 1.

 

  (a) Name of Issuer:

Loxo Oncology, Inc. (the “Issuer”)

 

  (b) Address of Issuer’s Principal Executive Offices:

One Landmark Square, Suite 1122

Stamford, CT 06901

Item 2.

 

  (a) Name of Person Filing:

This filing is being made on behalf of:

AI Loxo Holdings LLC

AI Loxo Holdings 2 LLC

AI Value Holdings LLC

Access Industries Management, LLC

Len Blavatnik

 

  (b) Address of Principal Business Office or, if none, Residence

AI Loxo Holdings LLC

c/o Access Industries, Inc.

730 Fifth Avenue, 20th Floor

New York, NY 10019

AI Loxo Holdings 2 LLC

c/o Access Industries, Inc.

730 Fifth Avenue, 20th Floor

New York, NY 10019

AI Value Holdings LLC

c/o Access Industries, Inc.

730 Fifth Avenue, 20th Floor

New York, NY 10019

Access Industries Management, LLC

c/o Access Industries, Inc.

730 Fifth Avenue, 20th Floor

New York, NY 10019

Len Blavatnik

c/o Access Industries, Inc.

730 Fifth Avenue, 20th Floor

New York, NY 10019

 

7 of 14

  (c) Citizenship:

AI Loxo Holdings LLC is a limited liability company organized under the laws of the State of Delaware.

AI Loxo Holdings 2 LLC is a limited liability company organized under the laws of the State of Delaware.

AI Value Holdings LLC is a limited liability company organized under the laws of the State of Delaware.

Access Industries Management, LLC is a limited liability company organized under the laws of the State of Delaware.

Mr. Blavatnik is a citizen of the United States of America.

 

  (d) Title of Class of Securities:

Common Stock

 

  (e) CUSIP Number:

548862101

 

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:

 

(a)    ¨    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)    ¨    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)    ¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)    ¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
(e)    ¨    An investment adviser in accordance with §240.13d-1(b) (1)(ii)(E);
(f)    ¨    An employee benefit plan or endowment fund in accordance with §240.13d-1(b) (1)(ii)(F);
(g)    ¨    A parent holding company or control person in accordance with §240.13d-1(b) (1)(ii)(G);
(h)    ¨   

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)    ¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)    ¨    A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);
(k)    ¨    Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

Not Applicable.

 

8 of 14

Item 4. Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a) Amount beneficially owned:

See the responses to Item 9 on the attached cover pages.

1,528,339 shares of the Issuer’s Class A Common Stock are owned directly by AI Loxo Holdings 2 LLC (“AI Loxo 2”). Each of Access Industries Management, LLC (“AIM LLC”) and Len Blavatnik may be deemed to beneficially own the shares of common stock held directly by AI Loxo 2. AIM LLC and Len Blavatnik control Al Loxo 2 and, as a result, may be deemed to share voting and investment power over the shares beneficially owned by AI Loxo 2. Each of AIM LLC and Len Blavatnik, and each of their affiliated entities and the officers, partners, members and managers thereof, other than AI Loxo 2, disclaims beneficial ownership of the shares held by AI Loxo 2.

AI Loxo Holdings LLC (“AI Loxo”) and Al Value Holdings LLC (“Al Value”) no longer beneficially own any shares of the Issuer.

 

(b) Percent of class:

7.97%*

 

(c) Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote:

AI Loxo 2 has sole power to vote or direct the vote of 1,528,339 shares.

(ii) Shared power to vote or to direct the vote:

AIM LLC and Len Blavatnik may be deemed to have shared power to vote or direct the vote of 1,528,339 shares. Each of AIM LLC and Mr. Blavatnik disclaims such beneficial ownership of such shares.

AI Loxo and Al Value no longer beneficially own any shares of the Issuer.

(iii) Sole power to dispose or to direct the disposition:

AI Loxo 2 has sole power to dispose or direct the disposition of 1,528,339 shares.

 

* All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 19,187,436 shares of Common Stock issued and outstanding, as reported in the Issuer’s prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on November 12, 2015.

 

9 of 14

(iv) Shared power to dispose or to direct the disposition:

AIM LLC and Len Blavatnik may be deemed to have shared power to dispose or direct the disposition of 1,528,339 shares. Each of AIM LLC and Mr. Blavatnik disclaims such beneficial ownership of such shares.

 

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 x:†

AI Loxo and AI Value no longer beneficially own any shares of the Issuer.

 

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.

 

 

† For AI Loxo and AI Value only.

 

10 of 14

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.

Date: February 10, 2016

 

AI LOXO HOLDINGS LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
AI LOXO HOLDINGS 2 LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
AI VALUE HOLDINGS, LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
ACCESS INDUSTRIES MANAGEMENT, LLC    

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
   

*

    Signature
   

Len Blavatnik

    Name

 

* The undersigned, by signing his name hereto, executes this Schedule 13G pursuant to the Power of Attorney executed on behalf of Mr. Blavatnik (as filed with the SEC on February 13, 2015).

 

11 of 14

By:  

/s/ Alejandro Moreno

  Name: Alejandro Moreno
  Attorney-in-Fact

 

12 of 14

EX-99.1 2 d150605dex991.htm EX-99.1 EX-99.1

Exhibit 99.1

JOINT FILING AGREEMENT

The undersigned agree that this Schedule 13G dated February 10, 2016 relating to the Common Stock, par value $0.0001 of Loxo Oncology, Inc. shall be filed on behalf of the undersigned.

 

AI LOXO HOLDINGS LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President_

    Name/Title
AI LOXO HOLDINGS 2 LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
AI VALUE HOLDINGS, LLC     By: Access Industries Management, LLC, its Manager
   

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
ACCESS INDUSTRIES MANAGEMENT, LLC    

/s/ Alejandro Moreno

    Signature
   

Alejandro Moreno / Executive Vice President

    Name/Title
   

*

    Signature
   

Len Blavatnik

    Name

 

* The undersigned, by signing his name hereto, executes this Schedule 13G pursuant to the Power of Attorney executed on behalf of Mr. Blavatnik (as filed with the SEC on February 13, 2015).

Exhibit 99.1

 

 

By:  

/s/ Alejandro Moreno

  Name: Alejandro Moreno
  Attorney-in-Fact