0000899243-22-029282.txt : 20220819
0000899243-22-029282.hdr.sgml : 20220819
20220819163943
ACCESSION NUMBER: 0000899243-22-029282
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220817
FILED AS OF DATE: 20220819
DATE AS OF CHANGE: 20220819
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181310
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181309
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: Abingworth LLP
CENTRAL INDEX KEY: 0001397144
STATE OF INCORPORATION: X0
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181316
BUSINESS ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
BUSINESS PHONE: 44 (0)20 7534 1500
MAIL ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181317
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181314
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181308
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181312
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181311
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: Abingworth Bioventures 8 LP
CENTRAL INDEX KEY: 0001811412
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181315
BUSINESS ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
BUSINESS PHONE: 44 0 20 7534 1508
MAIL ADDRESS:
STREET 1: 38 JERMYN STREET
CITY: LONDON
STATE: X0
ZIP: SW1Y 6DN
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40407
FILM NUMBER: 221181313
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: Vera Therapeutics, Inc.
CENTRAL INDEX KEY: 0001831828
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 812744449
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8000 MARINA BOULEVARD, SUITE 120
CITY: BRISBANE
STATE: CA
ZIP: 94005
BUSINESS PHONE: 650-770-0077
MAIL ADDRESS:
STREET 1: 8000 MARINA BOULEVARD, SUITE 120
CITY: BRISBANE
STATE: CA
ZIP: 94005
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-08-17
0
0001831828
Vera Therapeutics, Inc.
VERA
0001527166
Carlyle Group Inc.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001397144
Abingworth LLP
38 JERMYN STREET,
LONDON, ENGLAND
X0
SW1Y 6DN
UNITED KINGDOM
0
0
1
0
0001811412
Abingworth Bioventures 8 LP
38 JERMYN STREET,
LONDON, ENGLAND
X0
SW1Y 6DN
UNITED KINGDOM
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
Class A Common Stock
2022-08-17
4
M
0
9925
11.00
A
2970156
I
See footnotes
Class A Common Stock
2022-08-17
4
S
0
3281
19.8849
D
2966875
I
See footnotes
Class A Common Stock
2022-08-17
4
S
0
6472
20.4201
D
2960403
I
See footnotes
Class A Common Stock
2022-08-17
4
S
0
172
21.0748
D
2960231
I
See footnotes
Stock Option (right to buy)
11.00
2022-08-17
4
M
0
9925
0.00
D
2031-05-12
Class A Common Stock
9925
0
I
See footnotes
Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8.
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. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The stock option is fully vested and exercisable.
Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP.
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-19
Carlyle Holdings I GP Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director and Chief Financial Officer
2022-08-19
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
2022-08-19
Carlyle Holdings I L.P., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-19
CG Subsidiary Holdings L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-19
TC Group, L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-19
Carlyle Investment Management L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-19
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
2022-08-19
Abingworth LLP, By: /s/ John Heard, Authorized Signatory
2022-08-19
Abingworth Bioventures 8 LP, By: /s/ John Heard, Authorized Signatory
2022-08-19