0000899243-22-028394.txt : 20220811
0000899243-22-028394.hdr.sgml : 20220811
20220811170539
ACCESSION NUMBER: 0000899243-22-028394
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220801
FILED AS OF DATE: 20220811
DATE AS OF CHANGE: 20220811
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TC Group, LLC
CENTRAL INDEX KEY: 0000933790
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156834
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE NW SUITE 220 S
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202-729-5438
MAIL ADDRESS:
STREET 1: C/O CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE NW SUITE 220 S
CITY: WASHINGTON
STATE: DC
ZIP: 20004
FORMER NAME:
FORMER CONFORMED NAME: TC GROUP LLC
DATE OF NAME CHANGE: 19961007
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Investment Management LLC
CENTRAL INDEX KEY: 0001354120
STATE OF INCORPORATION: DC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156833
BUSINESS ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVE. N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 347-2626
MAIL ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVE. N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Group Inc.
CENTRAL INDEX KEY: 0001527166
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156839
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202 729 5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
FORMER NAME:
FORMER CONFORMED NAME: Carlyle Group L.P.
DATE OF NAME CHANGE: 20110801
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I GP Inc.
CENTRAL INDEX KEY: 0001548626
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156838
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Genesis UK LLC
CENTRAL INDEX KEY: 0001941860
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156832
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 729-5438
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I L.P.
CENTRAL INDEX KEY: 0001548628
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156836
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CG Subsidiary Holdings L.L.C.
CENTRAL INDEX KEY: 0001790577
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156835
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP, SUITE 220 SOUTH
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 729-5438
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP, SUITE 220 SOUTH
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I GP Sub L.L.C.
CENTRAL INDEX KEY: 0001548627
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39866
FILM NUMBER: 221156837
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
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
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2022-08-01
0
0001828522
eFFECTOR Therapeutics, Inc.
EFTR
0001527166
Carlyle Group Inc.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548626
Carlyle Holdings I GP Inc.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548627
Carlyle Holdings I GP Sub L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548628
Carlyle Holdings I L.P.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001790577
CG Subsidiary Holdings L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0000933790
TC Group, LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001354120
Carlyle Investment Management LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001941860
Carlyle Genesis UK LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
Common Stock
4822114
I
See footnotes
Earn-out Right
Common Stock
605338
I
See footnotes
Stock Option (right to buy)
11.36
2031-10-05
Common Stock
7777
I
See footnotes
Reflects securities held of record by Abingworth Bioventures VI LP ("ABV VI"). ABV VI has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VI.
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 (each of the foregoing entities, the "Carlyle Entities").
On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VI or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in that certain Agreement and Plan of Merger, dated as of May 26, 2021. The earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.
The stock option is fully vested and exercisable.
Under an agreement between Mr. Gallagher and Abingworth, Mr. Gallagher is deemed to hold the stock option and any shares of Common Stock issuable upon exercise of the stock option for the benefit of ABV VI, and must exercise the stock option solely upon the direction of Abingworth.
Following the Acquisition, the Carlyle Entities, ABV VI and Abingworth intend to file Section 16 reports jointly.
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11
Carlyle Holdings I GP Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director and Chief Financial Officer
2022-08-11
Carlyle Holdings I GP Sub L.L.C., By: Carlyle Holdings I GP Inc., its sole member, By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director and Chief Financial Officer
2022-08-11
Carlyle Holdings I L.P., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
CG Subsidiary Holdings L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
TC Group, L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
Carlyle Investment Management L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11
Carlyle Genesis UK LLC, By: Carlyle Investment Management L.L.C., its sole member, By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11