SC 13D/A 1 d821369dsc13da.htm SC 13D/A SC 13D/A

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 3)*

 

 

eFFECTOR Therapeutics, Inc.

(Name of Issuer)

Common Stock, par value $0.0001 per share

(Title of Class of Securities)

28202V108

(CUSIP Number)

Jeffrey Ferguson

The Carlyle Group

1001 Pennsylvania Avenue, NW

Suite 220 South

Washington, D.C. 20004

(202) 729-5626

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

May 9, 2024

(Date of Event Which Requires Filing of This Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box. ☐

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

 

 

*

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. 28202V108    13D    Page 2 of 15 pages

 

 1   

Names of Reporting Persons

 

The Carlyle Group Inc.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

CO

CUSIP No. 28202V108    13D    Page 3 of 15 pages

 

 1   

Names of Reporting Persons

 

Carlyle Holdings I GP Inc.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

CO

CUSIP No. 28202V108    13D    Page 4 of 15 pages

 

 1   

Names of Reporting Persons

 

Carlyle Holdings I GP Sub L.L.C.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

CUSIP No. 28202V108    13D    Page 5 of 15 pages

 

 1   

Names of Reporting Persons

 

Carlyle Holdings I L.P.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

PN

CUSIP No. 28202V108    13D    Page 6 of 15 pages

 

 1   

Names of Reporting Persons

 

CG Subsidiary Holdings L.L.C.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

CUSIP No. 28202V108    13D    Page 7 of 15 pages

 

 1   

Names of Reporting Persons

 

TC Group, L.L.C.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

CUSIP No. 28202V108    13D    Page 8 of 15 pages

 

 1   

Names of Reporting Persons

 

Carlyle Investment Management L.L.C.

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

CUSIP No. 28202V108    13D    Page 9 of 15 pages

 

 1   

Names of Reporting Persons

 

Carlyle Genesis UK LLC

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

OO (Limited Liability Company)

 

CUSIP No. 28202V108    13D    Page 10 of 15 pages

 

 1   

Names of Reporting Persons

 

Abingworth LLP

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

England and Wales

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

PN

CUSIP No. 28202V108    13D    Page 11 of 15 pages

 

 1   

Names of Reporting Persons

 

Abingworth Bioventures VI LP

 2  

Check the Appropriate Box if a Member of a Group

(a) ☐  (b) ☐

 

 3  

SEC Use Only

 

 

 4  

Source of Funds (See Instructions)

 

OO

 5  

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

 

☐

 6  

Citizenship or Place of Organization

 

England and Wales

NUMBER OF

SHARES  BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

Sole Voting Power

 

0

     8    

Shared Voting Power

 

193,195

     9    

Sole Dispositive Power

 

0

    10    

Shared Dispositive Power

 

193,195

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

193,195

12  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13  

Percent of Class Represented by Amount in Row (11)

 

4.1%

14  

Type of Reporting Person

 

PN

 

CUSIP No. 28202V108    13D    Page 12 of 15 pages

 

Explanatory Note

This Amendment No. 3 to Schedule 13D (“Amendment No. 3”) amends and supplements the Schedule 13D originally filed with the United States Securities and Exchange Commission on September 3, 2021 (as amended to date, the “Schedule 13D”), relating to the shares of common stock, par value $0.0001 per share (the “Common Stock”), of eFFECTOR Therapeutics, Inc., a Delaware corporation (the “Issuer”). Capitalized terms used herein without definition shall have the meanings set forth in the Schedule 13D.

 

Item 5.

Interest in Securities of the Issuer.

Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows:

(a) – (b) The following sets forth, as of the date of this Schedule 13D, the aggregate number of shares of Common Stock and percentage of Common Stock beneficially owned by each of the Reporting Persons, as well as the number of shares of Common Stock as to which each Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition of, or shared power to dispose or to direct the disposition of, as of the date hereof, based on 4,704,409 shares of Common Stock outstanding as of April 30, 2024, as disclosed in the Issuer’s quarterly report on Form 10-Q filed on May 9, 2024. The amount of Common Stock reported herein reflects a 1-for-25 reverse stock split effected by the Issuer on January 9, 2024.

 

Reporting Person

    Amount
beneficially
owned		      Percent
of class		     Sole
power to
vote or to
direct the
vote		      Shared
power to
vote or to
direct the
vote		      Sole power
to dispose
or to direct
the
disposition		      Shared
power to
dispose or to
direct the
disposition		  

The Carlyle Group Inc.

      193,195        4.1 %      0        193,195        0        193,195  

Carlyle Holdings I GP Inc.

      193,195        4.1 %      0        193,195        0        193,195  

Carlyle Holdings I GP Sub L.L.C.

      193,195        4.1 %      0        193,195        0        193,195  

Carlyle Holdings I L.P.

      193,195        4.1 %      0        193,195        0        193,195  

CG Subsidiary Holdings L.L.C.

      193,195        4.1 %      0        193,195        0        193,195  

TC Group, L.L.C.

      193,195        4.1 %      0        193,195        0        193,195  

Carlyle Investment Management L.L.C.

      193,195        4.1 %      0        193,195        0        193,195  

Carlyle Genesis UK LLC

      193,195        4.1 %      0        193,195        0        193,195  

Abingworth LLP

      193,195        4.1 %      0        193,195        0        193,195  

Abingworth Bioventures VI LP

      193,195        4.1 %      0        193,195        0        193,195  

Includes (i) 192,884 shares of Common Stock held of record by Abingworth Bioventures VI LP and (ii) 311 shares of Common Stock underlying stock options exercisable within 60 days of the date hereof.

CUSIP No. 28202V108    13D    Page 13 of 15 pages

 

The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Abingworth Bioventures VI LP has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by Abingworth Bioventures VI LP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by Abingworth Bioventures VI LP, but each disclaims beneficial ownership of such securities.

 

(c)

During the past 60 days, the Reporting Persons have not effected any transactions with respect to the Common Stock.

 

(d)

None.

 

(e)

As of May 9, 2024, the Reporting Persons ceased to be the beneficial owners of more than five percent of the outstanding shares of Common Stock.

 

Item 7.

Materials to be Filed as Exhibits.

Item 7 of the Schedule 13D is hereby amended and supplemented as follows:

 

Exhibit
Number

   

Description

4    Power of Attorney.

CUSIP No. 28202V108    13D    Page 14 of 15 pages

 

SIGNATURES

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.

Date: May 13, 2024

 

The Carlyle Group Inc.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Chief Financial Officer
Carlyle Holdings I GP Inc.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Managing Director and Chief Financial Officer
Carlyle Holdings I GP Sub L.L.C.
By: Carlyle Holdings I GP Inc., its sole member
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Managing Director and Chief Financial Officer
Carlyle Holdings I L.P.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Managing Director
CG Subsidiary Holdings L.L.C.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Managing Director
TC Group, L.L.C.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Managing Director

CUSIP No. 28202V108    13D    Page 15 of 15 pages

 

Carlyle Investment Management L.L.C.
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Chief Financial Officer
Carlyle Genesis UK LLC
By: Carlyle Investment Management L.L.C., its sole member
By:   /s/ Anne Frederick, attorney-in-fact
Name:   John C. Redett
Title:   Chief Financial Officer
Abingworth LLP
By:   /s/ John Heard
Name:   John Heard
Title:   Authorized Signatory
Abingworth Bioventures VI LP
By:   /s/ John Heard
Name:   John Heard
Title:   Authorized Signatory

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)