Statement of Ownership (sc 13g)
February 11 2022 - 11:23AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Achilles
Therapeutics plc
(Name of Issuer)
American Depositary Shares and Ordinary Shares, nominal value £0.001 per share
(Title of Class of Securities)
00449L102 **
(CUSIP
Number)
December 31, 2021
(Date of Event which Requires Filing of this Statement)
Check the
appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ 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 persons initial filing on this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
|
The information required in 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).
**
|
There is no CUSIP number assigned to the ordinary shares. CUSIP number 00449L102 has been assigned to the
American Depositary Shares of the Issuer, which are quoted on the Nasdaq Global Select Market under the symbol ACHL. Each American Depositary Share represents the right to receive one ordinary share.
|
SCHEDULE 13G/A
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Syncona Portfolio Limited
|
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
Guernsey
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
CO
|
(1)
|
Consists of 11,086,909 American Depositary Shares (ADSs) held directly by Syncona Portfolio
Limited. Each ADS represents one ordinary share, nominal value £0.001 per share, of the Issuer. The ordinary shares and the ADSs are collectively referred to as the Ordinary Shares.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the Securities and Exchange Commission (the SEC) on November 9, 2021.
|
Page 2 of 11
SCHEDULE 13G
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Syncona Holdings Limited
|
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
Guernsey
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
CO
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary share,
nominal value £0.001 per share, of the Issuer.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the SEC on November 9, 2021.
|
Page 3 of 11
SCHEDULE 13G
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Syncona Investment Management Limited
|
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
United
Kingdom
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
CO
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary share,
nominal value £0.001 per share, of the Issuer.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the SEC on November 9, 2021.
|
Page 4 of 11
SCHEDULE 13G
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Syncona Limited
|
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
Guernsey
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
CO
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary share,
nominal value £0.001 per share, of the Issuer.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the SEC on November 9, 2021.
|
Page 5 of 11
SCHEDULE 13G
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Martin Murphy
|
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
United
Kingdom
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
IN
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary share,
nominal value £0.001 per share, of the Issuer.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the SEC on November 9, 2021.
|
Page 6 of 11
SCHEDULE 13G
|
|
|
|
|
|
|
1
|
|
Names
of Reporting Person:
Chris Hollowood
|
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
United
Kingdom
|
|
|
|
|
|
|
|
Number of Shares
Beneficially Owned by Each Reporting
Person With:
|
|
5
|
|
Sole Voting Power
0
|
|
6
|
|
Shared Voting Power
11,086,909 (1)
|
|
7
|
|
Sole Dispositive Power
0
|
|
8
|
|
Shared Dispositive Power
11,086,909 (1)
|
|
|
|
|
|
|
|
9
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
11,086,909 (1)
|
10
|
|
Check box if the aggregate amount
in row (9) excludes certain shares (See Instructions)
|
11
|
|
Percent of class represented by
amount in row (9)
27.3% (2)
|
12
|
|
Type of Reporting Person (See
Instructions)
IN
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary share,
nominal value £0.001 per share, of the Issuer.
|
(2)
|
Based on 40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers
report on Form 6-K filed with the SEC on November 9, 2021.
|
Page 7 of 11
(a)
|
Name of Issuer: Achilles Therapeutics plc
|
(b)
|
Address of Issuers principal executive offices: 245 Hammersmith Road, London W6 8PW, United
Kingdom
|
(a)
|
Name of reporting persons filing:
|
|
(i)
|
Syncona Portfolio Limited;
|
|
(ii)
|
Syncona Holdings Limited;
|
|
(iii)
|
Syncona Investment Management Limited;
|
(b)
|
Address of principal business office or, if none, residence:
|
The address of the principal business office of Syncona Portfolio Limited, Syncona Holdings Limited and Synocna Limited is Arnold House, St
Julians Avenue, St Peter Port, Guernsey GY1 3RD, Channel Islands. The address of the principal business office of Syncona Investment Management Limited, Martin Murphy and Chris Hollowood is 2nd Floor, 8 Bloomsbury Street, London WC1B 3SR,
United Kingdom.
Syncona Portfolio Limited, Syncona Holdings Limited and Syncona Limiteds citizenship is Guernsey. Syncona Investment Management Limited,
Martin Murphy and Chris Hollowoods citizenship is United Kingdom.
(d)
|
Title and class of securities:
|
Ordinary Shares, nominal value £0.001 per share, and American Depositary Shares (ADS). Each ADS represents one ordinary
share, nominal value £0.001 per share, of the Issuer.
There is no CUSIP number assigned to the ordinary shares. CUSIP number 00449L102 has been assigned to the ADS, which are quoted on the
Nasdaq Global Select Market under the symbol ACHL.
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:
|
Not applicable.
The following information with respect to the ownership of Ordinary Shares of the Issuer by the Reporting Persons filing this statement on Schedule 13G/A is
provided as of December 31, 2021:
Page 8 of 11
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Reporting Persons
|
|
Ordinary
Shares Held
Directly (1)
|
|
|
Sole
Power
to Vote
or
Direct
the
Vote (1)
|
|
|
Shared
Power to
Vote or
Direct the
Vote (1)
|
|
|
Sole
Power to
Dispose or
Direct the
Disposition (1)
|
|
|
Shared
Power to
Dispose or
Direct the
Disposition (1)
|
|
|
Amount
Beneficially
Owned (1)
|
|
|
Percentage
of Class (2)
|
|
Syncona Portfolio Limited
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
Syncona Holdings Limited
|
|
|
0
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
Syncona Investment Management Limited
|
|
|
0
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
Syncona Limited
|
|
|
0
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
Martin Murphy
|
|
|
0
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
Chris Hollowood
|
|
|
0
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
0
|
|
|
|
11,086,909
|
|
|
|
11,086,909
|
|
|
|
27.3
|
%
|
(1)
|
Consists of 11,086,909 ADSs held directly by Syncona Portfolio Limited. Each ADS represents one ordinary
share, nominal value £0.001 per share, of the Issuer. The ordinary shares and the ADS are collectively referred to as the Ordinary Shares.
|
(2)
|
The percentage of outstanding Ordinary Shares of the Issuer beneficially owned was calculated based on
40,603,489 Ordinary Shares outstanding as of September 30, 2021 as reported in the Issuers report on Form 6-K filed with the SEC on November 9, 2021.
|
The shares are owned directly by Syncona Portfolio Limited (Syncona Portfolio) and indirectly by Syncona Holdings Limited (Syncona
Holdings), Syncona Limited (Syncona Limited), Martin Murphy and Chris Hollowood. Syncona Portfolio is a wholly owned subsidiary of Syncona Holdings, and Syncona Holdings is a wholly controlled subsidiary of Syncona Limited, a
publicly-listed company. Investment and voting decisions with respect to these shares are made by Syncona Portfolio, acting upon the recommendation of Martin Murphy and Chris Hollowood, who comprise the investment committee of Syncona Investment
Management Limited, also a subsidiary of Syncona Holdings. Each of these entities disclaims beneficial ownership except to the extent of its pecuniary interest therein, if any.
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.
|
Not applicable.
Item 7.
|
Identification and classification of the subsidiary which acquired the security being reported on by the
parent holding company or control person.
|
Not applicable.
Item 8.
|
Identification and classification of members of the group.
|
Not applicable.
Item 9.
|
Notice of Dissolution of Group.
|
Not applicable.
Not applicable.
Page 9 of 11
SIGNATURE
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.
Dated: February 11, 2022
|
|
|
SYNCONA PORTFOLIO LIMITED
|
|
|
By:
|
|
/s/ Rob Hutchinson
|
Name:
|
|
Rob Hutchinson
|
Title:
|
|
Director
|
|
|
|
SYNCONA HOLDINGS LIMITED
|
|
|
By:
|
|
/s/ Rob Hutchinson
|
Name:
|
|
Rob Hutchinson
|
Title:
|
|
Director
|
|
|
|
SYNCONA INVESTMENT MANAGEMENT LIMITED
|
|
|
By:
|
|
/s/ Martin Murphy
|
Name:
|
|
Martin Murphy
|
Title:
|
|
CEO
|
|
|
|
SYNCONA LIMITED
|
|
|
By:
|
|
/s/ Rob Hutchinson
|
Name:
|
|
Rob Hutchinson
|
Title:
|
|
Director
|
|
/s/Martin Murphy
Martin Murphy
|
|
/s/Chris Hollowood
Chris Hollowood
|
Exhibit(s):
Exhibit 99.1: Joint Filing Statement
Page 10 of 11
Achilles Therapeutics (NASDAQ:ACHL)
Historical Stock Chart
From Apr 2024 to May 2024
Achilles Therapeutics (NASDAQ:ACHL)
Historical Stock Chart
From May 2023 to May 2024