0000950170-24-081928.txt : 20240705
0000950170-24-081928.hdr.sgml : 20240705
20240705210004
ACCESSION NUMBER: 0000950170-24-081928
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240702
FILED AS OF DATE: 20240705
DATE AS OF CHANGE: 20240705
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ferrell Jeffrey
CENTRAL INDEX KEY: 0001394967
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103238
MAIL ADDRESS:
STREET 1: ATHYRIUM CAPITAL MANAGEMENT, LP
STREET 2: 505 FIFTH AVENUE, FL 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities Associates Co-Invest LLC
CENTRAL INDEX KEY: 0001815259
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103237
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities Associates III GP LLC
CENTRAL INDEX KEY: 0001815211
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103234
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Funds GP Holdings LLC
CENTRAL INDEX KEY: 0001815225
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103236
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities III Acquisition LP
CENTRAL INDEX KEY: 0001835266
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103241
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, 18TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, 18TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities III Co-Invest 1 LP
CENTRAL INDEX KEY: 0001815260
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103242
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities 2020 LP
CENTRAL INDEX KEY: 0001815261
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103239
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities Associates III LP
CENTRAL INDEX KEY: 0001815262
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103235
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities III Acquisition 2 LP
CENTRAL INDEX KEY: 0001815268
ORGANIZATION NAME:
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 241103240
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BIORA THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001580063
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 273950390
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4330 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 200
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
BUSINESS PHONE: 855-293-2639
MAIL ADDRESS:
STREET 1: 4330 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 200
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
FORMER COMPANY:
FORMER CONFORMED NAME: PROGENITY, INC.
DATE OF NAME CHANGE: 20150617
FORMER COMPANY:
FORMER CONFORMED NAME: ASCENDANT MDX, INC.
DATE OF NAME CHANGE: 20130625
4
1
ownership.xml
4
X0508
4
2024-07-02
0001580063
BIORA THERAPEUTICS, INC.
BIOR
0001815260
Athyrium Opportunities III Co-Invest 1 LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001835266
Athyrium Opportunities III Acquisition LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815268
Athyrium Opportunities III Acquisition 2 LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815261
Athyrium Opportunities 2020 LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001394967
Ferrell Jeffrey
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815259
Athyrium Opportunities Associates Co-Invest LLC
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815225
Athyrium Funds GP Holdings LLC
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815262
Athyrium Opportunities Associates III LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
0001815211
Athyrium Opportunities Associates III GP LLC
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
true
false
true
false
false
11.00%/13.00% Convertible Senior Secured Notes due 2028
1.56
2024-07-02
4
A
false
1016906
A
2024-07-02
2028-12-19
Common Stock
651862
18399906
I
See footnotes
Represents $245,700 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company") on July 2, 2024 to Athyrium
Opportunities III Acquisition LP ("Acquisition LP") and $771,206 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company on July 2, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as
payment-in-kind interest.
Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium
Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.
Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President
of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.
Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
/s/ Athyrium Opportunities III Co-Invest 1 LP, by Athyrium Opportunities Associates Co-Invest LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
/s/ Athyrium Opportunities III Acquisition LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
/s/ Athyrium Opportunities III Acquisition 2 LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
/s/ Athyrium Opportunities 2020 LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
s/ Jeffrey A. Ferrell
2023-07-05
/s/ Athyrium Opportunities Associates Co-Invest LLC, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
/s/ Athyrium Funds GP Holdings, LLC, by Jeffery A. Ferrell, Managing Member
2023-07-05
/s/ Athyrium Opportunities Associates III LP, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05
/s/ Athyrium Opportunities Associates III GP LLC, by Andrew Hyman, Senior Vice President, Secretary
2023-07-05