0001209191-23-056920.txt : 20231129 0001209191-23-056920.hdr.sgml : 20231129 20231129170706 ACCESSION NUMBER: 0001209191-23-056920 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231127 FILED AS OF DATE: 20231129 DATE AS OF CHANGE: 20231129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: George Simeon CENTRAL INDEX KEY: 0001595117 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453160 MAIL ADDRESS: STREET 1: 161 WASHINGTON STREET STREET 2: SUITE 500 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR ONE CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001853723 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453165 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: (610) 766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Capital Fund I Aggregator LP CENTRAL INDEX KEY: 0001848319 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453164 BUSINESS ADDRESS: STREET 1: C/O DESIGN THERAPEUTICS, INC. STREET 2: 6005 HIDDEN VALLEY ROAD, SUITE 110 CITY: CARLSBAD STATE: CA ZIP: 92011 BUSINESS PHONE: 858-293-4900 MAIL ADDRESS: STREET 1: C/O DESIGN THERAPEUTICS, INC. STREET 2: 6005 HIDDEN VALLEY ROAD, SUITE 110 CITY: CARLSBAD STATE: CA ZIP: 92011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Co-Invest I Manager, LLC CENTRAL INDEX KEY: 0001881204 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453161 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR ONE CAPITAL PARTNERS I, LP CENTRAL INDEX KEY: 0001853724 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453163 BUSINESS ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: (610) 766-2240 MAIL ADDRESS: STREET 1: 985 OLD EAGLE SCHOOL ROAD STREET 2: SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SR One Co-Invest I, LLC CENTRAL INDEX KEY: 0001864915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39866 FILM NUMBER: 231453162 BUSINESS ADDRESS: STREET 1: C/O SR ONE CAPITAL MANAGEMENT, LP STREET 2: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 610-766-2240 MAIL ADDRESS: STREET 1: C/O SR ONE CAPITAL MANAGEMENT, LP STREET 2: 985 OLD EAGLE SCHOOL ROAD, SUITE 511 CITY: WAYNE STATE: PA ZIP: 19087 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: eFFECTOR Therapeutics, Inc. CENTRAL INDEX KEY: 0001828522 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 853306396 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 142 NORTH CEDROS AVENUE, SUITE B CITY: SOLANA BEACH STATE: CA ZIP: 92075 BUSINESS PHONE: (858) 925-8215 MAIL ADDRESS: STREET 1: 142 NORTH CEDROS AVENUE, SUITE B CITY: SOLANA BEACH STATE: CA ZIP: 92075 FORMER COMPANY: FORMER CONFORMED NAME: Locust Walk Acquisition Corp. DATE OF NAME CHANGE: 20201015 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-27 1 0001828522 eFFECTOR Therapeutics, Inc. EFTR 0001853723 SR ONE CAPITAL MANAGEMENT, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001848319 SR One Capital Fund I Aggregator LP 6005 HIDDEN VALLEY ROAD SUITE 110 CARLSBAD CA 92011 0 0 1 0 0001853724 SR ONE CAPITAL PARTNERS I, LP 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001864915 SR One Co-Invest I, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001881204 SR One Co-Invest I Manager, LLC 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0001595117 George Simeon 985 OLD EAGLE SCHOOL ROAD SUITE 511 WAYNE PA 19087 0 0 1 0 0 Common Stock 2023-11-27 4 S 0 430578 0.6065 D 4391536 I See Note 2 Common Stock 2023-11-27 4 S 0 178585 0.6065 D 1821415 I See Note 3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.5691 to $0.68 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The securities are directly held by SR One Capital Fund I Aggregator, LP ("SR One Fund I Aggregator"). SR One Capital Partners I, LP ("SR One Partners I") is the sole general partner of SR One Fund I Aggregator, and SR One Capital Management, LLC ("SR One Capital Management") is the sole general partner of SR One Partners I. Simeon George, M.D. is the managing member of SR One Capital Management (SR One Partners I, SR One Capital Management, and Dr. George together, the "Fund I Indirect Reporting Persons"). The Fund I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or otherwise of such portion of the securities held by SR One Fund I Aggregator in which the Fund I Indirect Reporting Persons have no pecuniary interest. The securities are directly held by SR One Co-Invest I, LLC ("SR One Co-Invest I"). SR One Co-Invest I Manager, LLC ("SR One Co-Invest I Manager") is the managing member of SR One Co-Invest I and SR One Capital Management is the managing member of SR One Co-Invest I Manager. Dr. George is the managing member of SR One Capital Management (SR One Co-Invest I Manager, SR One Capital Management, and Dr. George together, the "Co-Invest I Indirect Reporting Persons"). The Co-Invest I Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 or otherwise of such portion of the securities held by SR One Co-Invest I in which the Co-Invest I Indirect Reporting Persons have no pecuniary interest. /s/ Sasha Keough, attorney-in-fact for SR One Capital Management, LLC 2023-11-29 Sasha Keough, attorney-in-fact for SR One Capital Fund I Aggregator, LP 2023-11-29 Sasha Keough, attorney-in-fact for SR One Capital Partners I, LP 2023-11-29 Sasha Keough, attorney-in-fact for SR One Co-Invest I, LLC 2023-11-29 Sasha Keough, attorney-in-fact for SR One Co-Invest I Manager, LLC 2023-11-29 Sasha Keough, attorney-in-fact for Simeon George 2023-11-29 EX-24 2 attachment1.htm EX-24 DOCUMENT
LIMITED POWER OF ATTORNEY

       Know all by these presents, that the undersigned hereby makes,
constitutes and appoints Sasha Keough, Karen Narolewski-Engel, James Macadam,
and Alexander M. Bowling, and each of them singly, as each of the undersigned's
true and lawful attorneys-in-fact with full power and authority as hereinafter
described to:

       1.	execute for and on behalf of each of the undersigned individual and
entities (each, a "Filer" and collectively, the "Filers") (i) Forms 3, 4, and 5
(including amendments thereto) in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules
thereunder, (ii) Form 144 in accordance with Rule 144 under the Securities Act
of 1933, as amended (the "Securities Act"), and (iii) Schedules 13D and 13G
(including amendments thereto) in accordance with Sections 13(d) and 13(g) of
the Exchange Act  and the rules thereunder;

       2.	do and perform any and all acts for and on behalf of each of the
Filers which may be necessary or desirable to complete and execute any such Form
3, 4, or 5 (including amendments thereto), Form 144, or Schedule 13D or 13G
(including amendments thereto) and timely file such form with the United States
Securities and Exchange Commission (the "SEC") and any stock exchange or similar
authority, including, but not limited to, executing a Form ID or Update
Passphrase request for and on behalf of each of the undersigned and filing such
applications with the SEC; and

       3.	take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, a Filer, it being understood
that the documents executed by such attorney-in-fact on behalf of such Filer
pursuant to this Limited Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-
fact's discretion.

       Each of the Filers hereby grants to each attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes a Filer might or could do
if personally present, with full power of substitution or revocation, hereby
ratifying and confirming all the acts such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Limited Power of Attorney and the rights and powers
herein granted. Each of the Filers acknowledges that each of the foregoing
attorneys-in-fact, in serving in such capacity at the request of such Filer, is
not assuming any of such Filer's responsibilities to comply with Sections 13 or
16 of the Exchange Act or Rule 144 under the Securities Act.

       This Limited Power of Attorney shall remain in full force and effect
until a Filer is no longer required to file Forms 3, 4, and 5 (including
amendments thereto), Form 144, and Schedules 13D and 13G (including amendments
thereto) with respect to such Filer's holdings of and transactions in
securities, unless earlier revoked by such Filer in a signed writing delivered
to each of the foregoing attorneys-in-fact. In addition, at such time as any
attorney-in-fact resigns as attorney-in-fact by the execution of a written
resignation delivered to each Filer, without any action on the part of the
Filers, this Limited Power of Attorney shall be partially revoked solely with
respect to such individual; such individual shall cease to be an
attorney-in-fact under this Limited Power of Attorney; and the authority of the
other attorneys-in-fact then existing hereunder shall remain in full force and
effect.

[Signature page follows]

       IN WITNESS WHEREOF, each of the undersigned has caused this Limited Power
of Attorney to be executed as of this 12th day of December, 2022.

/s/ Simeon George
Simeon George (Individually)

SR One Capital Management, LLC,
a Delaware limited liability company
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Fund I Aggregator, LP,
a Delaware limited partnership
By: SR One Capital Partners I, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Partners I, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Fund II Aggregator, LP,
a Delaware limited partnership
By: SR One Capital Partners II, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Partners II, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Capital Opportunities Fund I, LP,
a Delaware limited partnership

By: SR One Capital Opportunities Partners I, LP,
a Delaware limited partnership
Its: General Partner
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member


SR One Capital Opportunities Partners I, LP,
a Delaware limited partnership
By: SR One Capital Management, LLC
a Delaware limited liability company
Its: General Partner
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager I, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest I, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager I, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By: /s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager II, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George

Simeon George, Managing Member
SR One Co-Invest II, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager II, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest III, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager IV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest IV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager IV, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest IV-A, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager III, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager V, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest V, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager V, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager VI, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest VI, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VI, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager VII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest VII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager VIII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest VIII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager VIII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager IX, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest IX, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager IX, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager X, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest X, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager X, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XI, LLC,
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XI, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XI, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member


SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George________________
Simeon George, Managing Member

SR One Co-Invest Manager XIII, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XIII, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XIII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XIV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XIV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XIV, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest Manager XV, LLC,
a Delaware limited liability company
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member

SR One Co-Invest XV, LLC,
a Delaware limited liability company
By: SR One Co-Invest Manager XII, LLC,
a Delaware limited liability company
Its: Managing Member
By: SR One Capital Management, LLC,
a Delaware limited liability company
Its: Managing Member
By:/s/ Simeon George
Simeon George, Managing Member