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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Affimed NV | NASDAQ:AFMD | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.12 | 2.26% | 5.42 | 5.31 | 5.79 | 5.51 | 5.10 | 5.42 | 82,327 | 00:39:13 |
CUSIP No. N01045108
|
|
1
|
NAME OF REPORTING
PERSONS
OrbiMed Advisors LLC
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
N/A
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
o
|
||
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
3,375,000*
|
|||
9
|
SOLE DISPOSITIVE POWER
0
|
|||
10
|
SHARED DISPOSITIVE POWER
3,375,000*
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,375,000*
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.15%†
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
IA
|
CUSIP No. N01045108
|
|
1
|
NAME OF REPORTING
PERSONS
OrbiMed Capital GP III LLC
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
N/A
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
o
|
||
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
3,343,965*
|
|||
9
|
SOLE DISPOSITIVE POWER
0
|
|||
10
|
SHARED DISPOSITIVE POWER
3,343,965*
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,343,965*
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.05%†
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
OO
|
CUSIP No. N01045108
|
|
1
|
NAME OF REPORTING
PERSONS
Samuel D. Isaly
|
|||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
|
(a)
o
(b)
o
|
||
3
|
SEC USE ONLY
|
|||
4
|
SOURCE OF FUNDS (See Instructions)
N/A
|
|||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
|
o
|
||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7
|
SOLE VOTING POWER
0
|
||
8
|
SHARED VOTING POWER
3,375,000*
|
|||
9
|
SOLE DISPOSITIVE POWER
0
|
|||
10
|
SHARED DISPOSITIVE POWER
3,375,000*
|
|||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,375,000*
|
|||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)
|
o
|
||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.15%†
|
|||
14
|
TYPE OF REPORTING PERSON (See Instructions)
IN
|
|
(i)
|
name;
|
|
(ii)
|
business address;
|
|
(iii)
|
present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted;
|
|
(iv)
|
citizenship.
|
|
(f)
|
Isaly is a citizen of the United States.
|
Seller
|
Date of Transaction
|
Transaction
|
Number of Shares
|
Price Per Share*
|
|
OPI III
|
August 26, 2016
|
Sold
|
13,022
|
$2.56
|
|
Associates III
|
August 26, 2016
|
Sold
|
122
|
$2.56
|
|
OPI III
|
August 29, 2016
|
Sold
|
3,922
|
$2.61
|
|
Associates III
|
August 29, 2016
|
Sold
|
37
|
$2.61
|
|
OPI III
|
August 30, 2016
|
Sold
|
2,870
|
$2.56
|
|
Associates III
|
August 30, 2016
|
Sold
|
27
|
$2.56
|
|
OPI III
|
August 31, 2016
|
Sold
|
892
|
$2.51
|
|
Associates III
|
August 31, 2016
|
Sold
|
8
|
$2.51
|
|
OPI III
|
September 1, 2016
|
Sold
|
2,576
|
$2.52
|
|
Associates III
|
September 1, 2016
|
Sold
|
24
|
$2.52
|
|
OPI III
|
September 2, 2016
|
Sold
|
5,845
|
$2.53
|
|
Associates III
|
September 2, 2016
|
Sold
|
55
|
$2.53
|
|
OPI III
|
September 6, 2016
|
Sold
|
10,303
|
$2.61
|
|
Associates III
|
September 6, 2016
|
Sold
|
97
|
$2.61
|
|
OPI III
|
September 7, 2016
|
Sold
|
10,105
|
$2.78
|
|
Associates III
|
September 7, 2016
|
Sold
|
95
|
$2.78
|
|
OPI III
|
September 22, 2016
|
Sold
|
346,400
|
$2.90
|
|
Associates III
|
September 22, 2016
|
Sold
|
3,600
|
$2.90
|
(d)
|
Not applicable.
|
(e)
|
Not applicable.
|
Exhibit
|
Description
|
1.
|
Joint Filing Agreement among OrbiMed Advisors LLC, OrbiMed Capital GP III LLC and Samuel D. Isaly.
|
2.
|
Form of Registration Rights Agreement (incorporated by reference to Exhibit 4.1 to Amendment No. 1 to the Issuer’s Form F-1 (SEC File No. 333-197097), filed with the SEC on July 17, 2014).
|
3.
|
Form of Amended and Restated Carve-Out Agreement (incorporated by reference to Exhibit 4 to Amendment No. 1 to the Reporting Persons’ Statement on Schedule 13D, filed with the SEC on February 20, 2015).
|
OrbiMed Advisors LLC
|
||||
By:
|
/s/ Samuel D. Isaly | |||
Name:
|
Samuel D. Isaly
|
|||
Title:
|
Managing Member
|
|||
OrbiMed Capital GP III LLC
|
||||
By:
|
OrbiMed Advisors LLC
|
|||
Its Managing Member
|
||||
By:
|
/s/ Samuel D. Isaly | |||
Name:
|
Samuel D. Isaly
|
|||
Title:
|
Managing Member
|
|||
Samuel D. Isaly
|
||||
By:
|
/s/ Samuel D. Isaly | |||
Name:
|
Samuel D. Isaly
|
Name
|
Position with Reporting Person
|
Principal Occupation
|
Samuel D. Isaly
|
Managing Member
|
Managing Member
|
OrbiMed Advisors LLC
|
||
Carl L. Gordon
|
Member
|
Member
|
OrbiMed Advisors LLC
|
||
Sven H. Borho
|
Member
|
Member
|
German and Swedish Citizen
|
OrbiMed Advisors LLC
|
|
Jonathan T. Silverstein
|
Member
|
Member
|
OrbiMed Advisors LLC
|
||
W. Carter Neild
|
Member
|
Member
|
OrbiMed Advisors LLC
|
||
Geoffrey C. Hsu
|
Member
|
Member
|
OrbiMed Advisors LLC
|
||
Evan D. Sotiriou
|
Chief Financial Officer
|
Chief Financial Officer
|
OrbiMed Advisors LLC
|
Exhibit
|
Description
|
1.
|
Joint Filing Agreement among OrbiMed Advisors LLC, OrbiMed Capital GP III LLC and Samuel D. Isaly.
|
2.
|
Form of Registration Rights Agreement (incorporated by reference to Exhibit 4.1 to Amendment No. 1 to the Issuer’s Form F-1 (SEC File No. 333-197097), filed with the SEC on July 17, 2014).
|
3.
|
Form of Amended and Restated Carve-Out Agreement (incorporated by reference to Exhibit 4 to Amendment No. 1 to the Reporting Persons’ Statement on Schedule 13D, filed with the SEC on February 20, 2015).
|
1 Year Affimed NV Chart |
1 Month Affimed NV Chart |
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