0001213900-24-013390.txt : 20240213 0001213900-24-013390.hdr.sgml : 20240213 20240213170007 ACCESSION NUMBER: 0001213900-24-013390 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240213 DATE AS OF CHANGE: 20240213 GROUP MEMBERS: VIVO OPPORTUNITY FUND HOLDINGS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Astria Therapeutics, Inc. CENTRAL INDEX KEY: 0001454789 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88910 FILM NUMBER: 24627526 BUSINESS ADDRESS: STREET 1: 75 STATE STREET STREET 2: SUITE 1400 CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617-349-1971 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: SUITE 1400 CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: CATABASIS PHARMACEUTICALS INC DATE OF NAME CHANGE: 20090127 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Vivo Opportunity, LLC CENTRAL INDEX KEY: 0001728970 ORGANIZATION NAME: IRS NUMBER: 823132352 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13G/A 1 ea193539-13ga2vivo_astria.htm AMENDMENT NO. 2 TO SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G/A

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 2)*

 

Astria Therapeutics, Inc.
(Name of Issuer)
 
Common Stock, $0.001 par value
(Title of Class of Securities)
 
04635X102
(CUSIP Number)
 
December 31, 2023
(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)

 

☐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 on 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 that section of the Act but shall be subject to all other provisions of the Act (however, see the

 

 

 

 

 

 

CUSIP No.  04635X102

 

1

NAMES OF REPORTING PERSONS

 

Vivo Opportunity Fund Holdings, L.P.

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

 

Delaware

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH		 5

SOLE VOTING POWER

 

2,482,727 (1)

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

2,482,727 (1)

8

SHARED DISPOSITIVE POWER

 

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,482,727 (1)

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)

 

4.5% (2)

12

TYPE OF REPORTING PERSON (See Instructions)

 

PN

 

(1)The shares of common stock, $0.001 par value (the “Common Stock”) of Astria Therapeutics, Inc. (the “Issuer”) are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P.

 

(2)Based on 54,666,012 shares of Common Stock outstanding, as reported in the Prospectus Supplement to the Registration Statement on Form S-3 dated December 15, 2023 (File No. 333-276057), filed by the Issuer with the Securities and Exchange Commission (the “SEC”) on January 31, 2024.

 

2

 

  

CUSIP No.  04635X102

 

1

NAMES OF REPORTING PERSONS

 

Vivo Opportunity, 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

 

Delaware

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH		 5

SOLE VOTING POWER

 

2,482,727 (1)

6

SHARED VOTING POWER

 

0

7

SOLE DISPOSITIVE POWER

 

2,482,727 (1)

8

SHARED DISPOSITIVE POWER

 

0

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,482,727 (1)

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)

 

4.5% (2)

12

TYPE OF REPORTING PERSON (See Instructions)

 

OO

 

(1)The shares of Common Stock of the Issuer are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P.

 

(2)Based on 54,666,012 shares of Common Stock outstanding, as reported in the Prospectus Supplement to the Registration Statement on Form S-3 dated December 15, 2023 (File No. 333-276057), filed by the Issuer with the SEC on January 31, 2024.

 

3

 

 

Item 1.  (a)Name of Issuer:

 

Astria Therapeutics, Inc.

 

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

 

75 State Street, Suite 1400

 

Boston, Massachusetts, 02109

 

Item 2.  (a)Name of Person Filing:

 

This Schedule 13G/A is filed jointly by Vivo Opportunity Fund Holdings, L.P. and Vivo Opportunity, LLC

 

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

 

192 Lytton Avenue, Palo Alto, CA 94301

 

(c)Citizenship:

 

Vivo Opportunity Holdings, L.P. is a Delaware limited partnership.

 

Vivo Opportunity, LLC is a Delaware limited liability company.

 

(d)Title of Class of Securities:

 

Common Stock, par value $0.001 per share

 

(e)CUSIP Number:

 

04635X102

 

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.

 

(b)☐     Bank as defined in Section 3(a)(6) of the Act.

 

(c)☐     Insurance company as defined in Section 3(a)(19) of the Act.

 

(d)☐     Investment company registered under Section 8 of the Investment Company Act of 1940.

 

(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)(l)(ii)(G);

 

(h)☐     A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

(i)☐      A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

 

(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)(l)(ii)(K).

 

If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1(ii)(j), please specify the type of institution: ________________

 

Not Applicable.

 

4

 

 

Item 4.Ownership.

 

(a)Amount beneficially owned:

 

The 2,482,727 shares of Common Stock of the Issuer are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P.

 

(b)Percent of class:

 

4.5%

 

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

 

(i)Sole power to vote or to direct the vote: 2,482,727 shares

 

(ii)Shared power to vote or to direct the vote: 0

 

(iii)Sole power to dispose or to direct the disposition of: 2,482,727 shares

 

(iv)Shared power to dispose of or to direct the disposition of: 0

 

Item 5.Ownership of Five Percent or Less of a Class.

 

Not Applicable.

 

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.Certifications.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a11.

 

5

 

 

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.

 

  Vivo Opportunity Fund Holdings, L.P.
   
  February 13, 2024
  (Date)
   
  /s/ Kevin Dai
  (Signature)
   
  Managing Member
  (Title)
   
  Vivo Opportunity, LLC
   
  February 13, 2024
  (Date)
   
  /s/ Kevin Dai
  (Signature)
   
  Managing Member
  (Title)

 

 

6