0001580642-19-000774.txt : 20190213 0001580642-19-000774.hdr.sgml : 20190213 20190213113832 ACCESSION NUMBER: 0001580642-19-000774 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESSA Pharma Inc. CENTRAL INDEX KEY: 0001633932 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88939 FILM NUMBER: 19594408 BUSINESS ADDRESS: STREET 1: SUITE 720 STREET 2: 999 WEST BROADWAY CITY: VANCOUVER STATE: A1 ZIP: V5Z 1K5 BUSINESS PHONE: (778) 331-0962 MAIL ADDRESS: STREET 1: SUITE 720 STREET 2: 999 WEST BROADWAY CITY: VANCOUVER STATE: A1 ZIP: V5Z 1K5 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EVENTIDE ASSET MANAGEMENT, LLC CENTRAL INDEX KEY: 0001442891 IRS NUMBER: 262508416 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: SUITE 4210 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 877-771-3836 MAIL ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: SUITE 4210 CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: EVENTIDE ASSET MANAGMENT LLC DATE OF NAME CHANGE: 20080813 SC 13G/A 1 essapharma13ga.htm SC 13G/A

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

ESSA Pharma Inc.

(Name of Issuer)

Common Shares

(Title of Class of Securities)

29668H708

(CUSIP Number)

December 31, 2018

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
þ  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 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 Notes).

 
 

 

         
CUSIP No. 29668H708   13G   Page 2 of 5 Pages
         

 

         
1.   NAMES OF REPORTING PERSONS

Eventide Asset Management, 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 


1,385,970

  6.   SHARED VOTING POWER

0
  7.   SOLE DISPOSITIVE POWER

1,385,970
  8.   SHARED DISPOSITIVE POWER

0

 

         
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,385,970
   
10.   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    
   
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

19.2%
   
12.   TYPE OF REPORTING PERSON (see instructions)

IA
   
         
 
 

 

         
CUSIP No. 29668H708   13G   Page 3 of 5 Pages
         

Item 1.

  (a) Name of Issuer
ESSA Pharma Inc.
     
  (b) Address of Issuer’s Principal Executive Offices
Suite 720, 999 West Broadway, Vancouver, British Columbia, Canada, V5Z 1K5
     

Item 2.

  (a)

Name of Person Filing

Eventide Asset Management, LLC

     
  (b) Address of the Principal Office or, if none, residence
One International Place, Suite 4210, Boston, MA 02110
     
  (c) Citizenship
Delaware
     
  (d) Title of Class of Securities
Common Shares
     
  (e) CUSIP Number
29668H708
     

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 (15 U.S.C. 78o).
       
  (b) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
       
  (c) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
       
  (d) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
       
  (e) þ 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)(1)(ii)(G);
       
  (h) A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
  (i) A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
       
  (j) Group, in accordance with §240.13d-1(b)(1)(ii)(J).
 
 

 

         
CUSIP No. 29668H708   13G   Page 4 of 5 Pages

Item 4.  Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

         
  (a)   Amount beneficially owned: 1,385,970
         
  (b)   Percent of class: 19.2%
         
  (c)   Number of shares as to which the person has:  
         
      (i) Sole power to vote or to direct the vote: 1,385,970  
         
      (ii) Shared power to vote or to direct the vote: 0 
         
      (iii) Sole power to dispose or to direct the disposition of: 1,385,970
         
      (iv) Shared power to dispose or to direct the disposition of: 0
         

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

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

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following     ◻.

Item 6.  Ownership of More than Five Percent on Behalf of Another Person.

Eventide Asset Management, LLC (“Eventide”), a Delaware limited liability company located at One International Place, Suite 4210, Boston, MA 02110, is the beneficial owner of 1,385,970 consolidated Common Shares by virtue of being the investment adviser to registered investment companies (“Funds”). As of December 31, 2018, the Funds held 481,970 Common Shares and 904,000 Warrants. Assuming the conversion of all Warrants held by the Funds, the Eventide Gilead Fund would hold 618,974 Common Shares, representing 8.6% of issued and outstanding Common Shares, and the Eventide Healthcare & Life Sciences Fund would hold 766,996 Common Shares, representing 10.6% of issued and outstanding Common Shares, which together would represent approximately 19.2% of the issued and outstanding Common Shares.

Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

N/A 

Item 8.  Identification and Classification of Members of the Group.

N/A 

Item 9.  Notice of Dissolution of Group.

N/A 

 
 

 

         
CUSIP No. 29668H708   13G   Page 5 of 5 Pages

 

Item 10.  Certification.

       
         
       
      By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.  
         
         
       
         
         
         
                 

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.

 

02/13/2019

Date

 
 

/s/ Peter J. Luiso

Signature

 

Peter J. Luiso, Chief Compliance Officer and General Counsel

Name/Title