0001209191-20-062390.txt : 20201208
0001209191-20-062390.hdr.sgml : 20201208
20201208204332
ACCESSION NUMBER: 0001209191-20-062390
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201208
FILED AS OF DATE: 20201208
DATE AS OF CHANGE: 20201208
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Thompson Peter A.
CENTRAL INDEX KEY: 0001357522
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39756
FILM NUMBER: 201376691
MAIL ADDRESS:
STREET 1: C/O ANTHERA PHARMACEUTICALS, INC.
STREET 2: 25801 INDUSTRIAL BOULEVARD, SUITE B
CITY: HAYWARD
STATE: CA
ZIP: 94545
FORMER NAME:
FORMER CONFORMED NAME: Thompson Peter A
DATE OF NAME CHANGE: 20060327
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Silverback Therapeutics, Inc.
CENTRAL INDEX KEY: 0001671858
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 811489190
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 500 FAIRVIEW AVENUE NORTH, SUITE 600
CITY: SEATTLE
STATE: WA
ZIP: 98109
BUSINESS PHONE: 206-456-2900
MAIL ADDRESS:
STREET 1: 500 FAIRVIEW AVENUE NORTH, SUITE 600
CITY: SEATTLE
STATE: WA
ZIP: 98109
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-12-08
0
0001671858
Silverback Therapeutics, Inc.
SBTX
0001357522
Thompson Peter A.
C/O SILVERBACK THERAPEUTICS, INC.
500 FAIRVIEW AVENUE N, SUITE 600
SEATTLE
WA
98109
1
0
1
0
Common Stock
2020-12-08
4
P
0
238100
21.00
A
507423
I
By OrbiMed Private Investments VI, LP
Common Stock
2020-12-08
4
C
0
3462737
A
3970160
I
By OrbiMed Private Investments VI, LP
Common Stock
2020-12-08
4
C
0
2493741
A
6463901
I
By OrbiMed Private Investments VI, LP
Common Stock
2020-12-08
4
C
0
1055287
A
7519188
I
By OrbiMed Private Investments VI, LP
Common Stock
2020-12-08
4
P
0
952377
21.00
A
952377
I
By OrbiMed Partners Master Fund Limited
Common Stock
269323
I
By OPI VI -IP HoldCo LLC
Series A Preferred Stock
2020-12-08
4
C
0
12857142
0.00
D
Common Stock
3462737
0
I
By OrbiMed Private Investments VI, LP
Series B Preferred Stock
2020-12-08
4
C
0
9259259
0.00
D
Common Stock
2493741
0
I
By OrbiMed Private Investments VI, LP
Series C Preferred Stock
2020-12-08
4
C
0
3918279
0.00
D
Common Stock
1055287
0
I
By OrbiMed Private Investments VI, LP
The shares were purchased in the Issuer's initial public offering.
These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner to OPI VI and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VI. By virtue of such relationships, GP VI and OrbiMed Advisors may be deemed to have voting and investment power with respect to the shares held by OPI VI. Both GP VI and OrbiMed Advisors may be deemed to directly or indirectly, including by reason of their mutual affiliation, to be beneficial owners of the shares held by OPI VI. OrbiMed Advisors exercise investment and voting power through a management committee comprised of Carl L. Gordon, Jonathan T. Silverstein and Sven H. Borho, each of whom disclaims beneficial ownership of the shares of OPI VI.
The Reporting Person is the designated representative of OrbiMed Advisors on the Issuer's Board of Directors. The
reportable securities are owned indirectly by OPI VI. GP VI is the general
partner of OPI VI and OrbiMed Advisors is the managing member of GP VI. The Reporting Person disclaims beneficial ownership of the
securities reported herein for the purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"),
except to the extent of his pecuniary interest therein, if any.
All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering, for no additional consideration at a rate of one share of Common Stock for each 3.713 shares of Preferred Stock, based on the conversion price currently in effect. The Preferred Stock has no expiration date.
These securities are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital LLC ("OrbiMed Capital") is the investment advisor to OPM. OrbiMed Capital is a relying advisor of OrbiMed Advisors. OrbiMed Advisors and OrbiMed Capital exercise voting and investment power through a management committee comprised of Carl L. Gordon, Jonathan T. Silverstein and Sven H. Borho, each of whom disclaims beneficial ownership of the shares held by OPM.
These securities are held of record by OPI VI - IP HoldCo LLC ("HoldCo"). OPI VI - IP TopCo LLC ("TopCo") is the sole member of HoldCo. OrbiMed Private Investments VI - IP, LP ("OPI VI IP") is the sole member of TopCo. GP VI is the general partner of OPI VI IP. OrbiMed Advisors is the managing member of GP VI. By virtue of such relationships, OrbiMed Advisors and GP VI may be deemed to have voting and investment power over the securities held by HoldCo and as a result, may be deemed to have beneficial ownership over such securities. Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Jonathan T. Silverstein and Sven H. Borho, each of whom disclaims beneficial ownership of the shares held by HoldCo.
/s/ Jeffrey C. Pepe, Attorney-in-Fact
2020-12-08