0000899243-20-019461.txt : 20200716 0000899243-20-019461.hdr.sgml : 20200716 20200716203613 ACCESSION NUMBER: 0000899243-20-019461 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200716 FILED AS OF DATE: 20200716 DATE AS OF CHANGE: 20200716 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCHE HOLDING LTD CENTRAL INDEX KEY: 0000889131 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880] STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39381 FILM NUMBER: 201032569 BUSINESS ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 BUSINESS PHONE: 9732354295 MAIL ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCHE FINANCE LTD CENTRAL INDEX KEY: 0001053942 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39381 FILM NUMBER: 201032570 BUSINESS ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 MAIL ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pandion Therapeutics, Inc. CENTRAL INDEX KEY: 0001807901 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 833015614 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 134 COOLIDGE AVENUE STREET 2: 2ND FLOOR CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 617-393-5925 MAIL ADDRESS: STREET 1: 134 COOLIDGE AVENUE STREET 2: 2ND FLOOR CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: Pandion Therapeutics Holdco LLC DATE OF NAME CHANGE: 20200327 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2020-07-16 0 0001807901 Pandion Therapeutics, Inc. PAND 0000889131 ROCHE HOLDING LTD GRENZACHERSTRASSE 124, 4070 BASEL V8 SWITZERLAND 0 0 1 0 0001053942 ROCHE FINANCE LTD GRENZACHERSTRASSE 124,4058 BASEL V8 SWITZERLAND 0 0 1 0 Series A Preferred Stock Common Stock 2576564 I See footnote Series B Preferred Stock Common Stock 473409 I See footnote The Series A Preferred Stock is convertible into Common Stock on a 5.0994-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. Roche Finance Ltd ("Roche Finance") is the direct beneficial owner of these securities of the Issuer. Roche Finance is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. The Series B Preferred Stock is convertible into Common Stock on a 5.0994-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. /s/ Beat Kraehenmann, authorized signatory 2020-07-16 /s/ Claudia Boeckstiegel, authorized signatory 2020-07-16