0001493152-20-013937.txt : 20200724 0001493152-20-013937.hdr.sgml : 20200724 20200724140542 ACCESSION NUMBER: 0001493152-20-013937 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200722 FILED AS OF DATE: 20200724 DATE AS OF CHANGE: 20200724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RTW INVESTMENTS, LP CENTRAL INDEX KEY: 0001493215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38899 FILM NUMBER: 201046415 BUSINESS ADDRESS: STREET 1: 40 10TH AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 646-597-6980 MAIL ADDRESS: STREET 1: 40 10TH AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 FORMER NAME: FORMER CONFORMED NAME: RTW INVESTMENTS, LLC DATE OF NAME CHANGE: 20100602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WONG RODERICK CENTRAL INDEX KEY: 0001493280 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38899 FILM NUMBER: 201046416 MAIL ADDRESS: STREET 1: 412 WEST 15TH STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Milestone Pharmaceuticals Inc. CENTRAL INDEX KEY: 0001408443 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A8 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1111 DR. FREDERIK-PHILIPS BLVD STREET 2: SUITE 420 CITY: MONTREAL STATE: A8 ZIP: H4M 2X6 BUSINESS PHONE: (514) 336-0444 MAIL ADDRESS: STREET 1: 1111 DR. FREDERIK-PHILIPS BLVD STREET 2: SUITE 420 CITY: MONTREAL STATE: A8 ZIP: H4M 2X6 4 1 ownership.xml X0306 4 2020-07-22 0 0001408443 Milestone Pharmaceuticals Inc. MIST 0001493215 RTW INVESTMENTS, LP 40 10TH AVENUE, FLOOR 7 NEW YORK NY 10014 0 0 1 0 0001493280 WONG RODERICK C/O RTW INVESTMENTS, LP 40 10TH AVENUE, FLOOR 7 NEW YORK NY 10014 0 0 1 0 Pre-Funded Warrant 0.01 2020-07-22 4 P 0 6655131 3.75 A 2020-07-22 Common Stock 6655131 6655131 I By RTW The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaim beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein. Each pre-funded warrant represents the right to acquire one share of common stock for an exercise price of $0.01 per share. The ability of the holder to exercise the pre-funded warrant is subject to a beneficial ownership limitation initially set at 9.99% of the Company's issued and outstanding common stock. This beneficial ownership limitation may be increased or decreased at the election of the warrant holder, provided that any increase shall not be effective until the 61st day after notice of adjustment is provided to the Company. The warrants do not have an expiration date. RTW Investments, LP; By: /s/ attorney-in-fact for RTW Investments, LP 2020-07-24 /s/ Alice Lee, attorney-in-fact for Roderick Wong 2020-07-24