0001209191-21-015197.txt : 20210301
0001209191-21-015197.hdr.sgml : 20210301
20210301160316
ACCESSION NUMBER: 0001209191-21-015197
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210225
FILED AS OF DATE: 20210301
DATE AS OF CHANGE: 20210301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Co-Investment Holdings II, LLC
CENTRAL INDEX KEY: 0001615983
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697639
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Management II, LLC
CENTRAL INDEX KEY: 0001602263
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697638
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners II, L.P.
CENTRAL INDEX KEY: 0001602264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697640
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Koh Bong Y
CENTRAL INDEX KEY: 0001615979
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697637
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Co-Investment Holdings III, LLC
CENTRAL INDEX KEY: 0001750761
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697642
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shah Nimish P
CENTRAL INDEX KEY: 0001698082
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697636
BUSINESS ADDRESS:
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK CITY
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners III, L.P.
CENTRAL INDEX KEY: 0001738048
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697643
BUSINESS ADDRESS:
STREET 1: 530 FIFTH AVENUE, 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-444-4100
MAIL ADDRESS:
STREET 1: 530 FIFTH AVENUE, 22ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Management III, LLC
CENTRAL INDEX KEY: 0001738053
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32587
FILM NUMBER: 21697641
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: (650) 561-9580
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Altimmune, Inc.
CENTRAL INDEX KEY: 0001326190
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 202726770
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 910 CLOPPER ROAD
STREET 2: SUITE 201S
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
BUSINESS PHONE: 2406541450
MAIL ADDRESS:
STREET 1: 910 CLOPPER ROAD
STREET 2: SUITE 201S
CITY: GAITHERSBURG
STATE: MD
ZIP: 20878
FORMER COMPANY:
FORMER CONFORMED NAME: PHARMATHENE, INC
DATE OF NAME CHANGE: 20071016
FORMER COMPANY:
FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP
DATE OF NAME CHANGE: 20050505
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-02-25
1
0001326190
Altimmune, Inc.
ALT
0001738048
Venrock Healthcare Capital Partners III, L.P.
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001750761
VHCP Co-Investment Holdings III, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001738053
VHCP Management III, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001602264
Venrock Healthcare Capital Partners II, L.P.
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001615983
VHCP Co-Investment Holdings II, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001602263
VHCP Management II, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001615979
Koh Bong Y
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
0001698082
Shah Nimish P
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK
NY
10018
0
0
1
0
Common Stock
2021-02-25
4
J
0
1000000
0.00
D
3500000
I
By Funds
Warrant
0.0001
2021-02-25
4
J
0
1000000
0.00
A
Common Stock
1000000
1000000
I
By Funds
On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share.
Consists of 925,050 shares held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 374,849 shares held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 2,000,252 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 199,849 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co").
VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II and VHCPM III. Dr. Koh, Mr. Shah, VHCPM II and VHCPM III disclaim beneficial ownership over all shares held by VHCP II, VHCP II Co, VHCP III and VHCP III Co, except to the extent of their respective indirect pecuniary interests therein.
The Exchange Warrants are exercisable at any time, except that the Exchange Warrants will not be exercised by the Reporting Persons if, upon giving effect or immediately prior thereto, the Reporting Persons would beneficially own more than 9.99% of the total number of the Issuer's issued and outstanding common stock, which percentage may change at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer.
The Exchange Warrants have no expiration date.
Consists of 264,300 shares underlying Exchange Warrants held by VHCP II, 107,100 shares underlying Exchange Warrants held by VHCP II Co, 571,500 shares underlying Exchange Warrants held by VHCP III and 57,100 shares underlying Exchange Warrants held by VHCP III Co.
/s/ David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Authorized Signatory
2021-03-01
David L. Stepp, Attorney-in-fact
2021-03-01
David L. Stepp, Attorney-in-fact
2021-03-01