0001144204-15-018400.txt : 20150325 0001144204-15-018400.hdr.sgml : 20150325 20150325165419 ACCESSION NUMBER: 0001144204-15-018400 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150325 DATE AS OF CHANGE: 20150325 GROUP MEMBERS: PETER KOLCHINSKY GROUP MEMBERS: RA CAPITAL HEALTHCARE FUND, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Aurinia Pharmaceuticals Inc. CENTRAL INDEX KEY: 0001600620 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88628 FILM NUMBER: 15725218 BUSINESS ADDRESS: STREET 1: #1203-4464 MARKHAM STREET CITY: VICTORIA BC STATE: A1 ZIP: V8Z 7X8 BUSINESS PHONE: 250-708-4272 MAIL ADDRESS: STREET 1: #1203-4464 MARKHAM STREET CITY: VICTORIA BC STATE: A1 ZIP: V8Z 7X8 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RA CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001346824 IRS NUMBER: 830406777 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 20 PARK PLAZA, SUITE 1200 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 20 PARK PLAZA, SUITE 1200 CITY: BOSTON STATE: MA ZIP: 02116 SC 13G 1 v405563_sc13g.htm SC 13G

 

 

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

 

(Amendment No.__)*

 


Aurinia Pharmaceuticals Inc.

 


(Name of Issuer)

 

Common Stock, no par value


(Title of Class of Securities)

 

05156V102


(CUSIP Number)

 

March 24, 2015


(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)
xRule 13d-1(c)
¨Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s 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).

 
 

  

CUSIP No. 05156V102 13G  

 

  1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

RA Capital Management, LLC


 

  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         Massachusetts

 

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power                           0 shares

 

6. Shared Voting Power             3,092,595 shares

 

7. Sole Dispositive Power                 0 shares

 

8. Shared Dispositive Power     3,092,595 shares

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

3,092,595 shares


 

  10.

Check if the Aggregate Amount in Row (9) Excludes ¨

 

Certain Shares (See Instructions)

 


 

  11.

Percent of Class Represented by Amount in Row (9)

9.7%


 

  12.

Type of Reporting Person (See Instructions)

IA


 

             

 

 
 

 

 

 

CUSIP No. 05156V102 13G  

 

  1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

Peter Kolchinsky


 

  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 States

 

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power                         0 shares

 

6. Shared Voting Power             3,092,595 shares

 

7. Sole Dispositive Power                 0 shares

 

8. Shared Dispositive Power      3,092,595 shares

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

3,092,595 shares


 

  10.

Check if the Aggregate Amount in Row (9) Excludes ¨

 

Certain Shares (See Instructions)

 


 

  11.

Percent of Class Represented by Amount in Row (9)

9.7%


 

  12.

Type of Reporting Person (See Instructions)

IN


 

             

 

 
 

 

CUSIP No.  05156V102 13G  

 

  1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

RA Capital Healthcare Fund, L.P.


 

  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         Delaware

 

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power                         0 shares

 

6. Shared Voting Power              2,597,780 shares

 

7. Sole Dispositive Power                 0 shares

 

8. Shared Dispositive Power      2,597,780 shares

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

2,597,780 shares


 

  10.

Check if the Aggregate Amount in Row (9) Excludes ¨

 

Certain Shares (See Instructions)

 


 

  11.

Percent of Class Represented by Amount in Row (9)

8.2%


 

  12.

Type of Reporting Person (See Instructions)

PN (Limited Partnership)


 

             

 

 
 

 

CUSIP No.  05156V102

 

Item 1.

 

(a) Name of Issuer: Aurinia Pharmaceuticals Inc. (the “Issuer”).

 

(b) Address of the Issuer’s Principal Executive Offices: #1203-4464 Markham Street, Victoria, British Columbia V8Z7X8, Canada.

 

Item 2.

 

(a) Name of Person Filing: This joint statement on Schedule 13G is being filed by Peter Kolchinsky, RA Capital Management, LLC (“Capital”), and RA Capital Healthcare Fund, L.P. (the “Fund”). Mr. Kolchinsky, Capital and the Fund are collectively referred to herein as the “Reporting Persons.”

 

(b) Address of Principal Business Office: The principal business office of the Reporting Persons is c/o RA Capital Management, LLC, 20 Park Plaza, Suite 1200, Boston, MA 02116.

 

(c) Citizenship: Capital is a Massachusetts limited liability company. The Fund is a Delaware limited partnership. Mr. Kolchinsky is a United States citizen.

 

(d) Title and Class of Securities: Common stock (“Common Stock”).

 

(e) CUSIP Number: 05156V102

 

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.

 

Item 4. Ownership:

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount Beneficially Owned:**

 

 

RA Capital Management, LLC – 3,092,595 shares

Peter Kolchinsky – 3,092,595 shares

RA Capital Healthcare Fund, L.P. – 2,597,780 shares

 

(b) Percent of Class:**
 

RA Capital Management, LLC – 9.7%

Peter Kolchinsky – 9.7%

RA Capital Healthcare Fund, L.P. – 8.2%

 

 
 

 

CUSIP No.  05156V102

 

(c) Number of shares as to which such person has:
  (i) sole power to vote or to direct the vote **
   

RA Capital Management, LLC - 0 shares

Peter Kolchinsky - 0 shares

RA Capital Healthcare Fund, L.P. - 0 shares

 

  (ii) shared power to vote or to direct the vote**
   

RA Capital Management, LLC – 3,092,595 shares

Peter Kolchinsky – 3,092,595 shares

RA Capital Healthcare Fund, L.P. – 2,597,780 shares

 

  (iii) sole power to dispose or to direct the disposition of**
   

RA Capital Management, LLC - 0 shares

Peter Kolchinsky - 0 shares

RA Capital Healthcare Fund, L.P. - 0 shares

 

  (iv) shared power to dispose or to direct the disposition of**
   

RA Capital Management, LLC – 3,092,595 shares

Peter Kolchinsky – 3,092,595 shares

RA Capital Healthcare Fund, L.P. – 2,597,780 shares

 

 

** Shares reported herein for the Reporting Persons represent shares of Common Stock beneficially owned and shares of Common Stock the Reporting Persons have the right to acquire through the exercise of warrants (“Warrant Shares”) beneficially owned as set forth below. In the aggregate, the Reporting Persons own 2,474,076 shares of Common Stock and 618,519 Warrant Shares. Shares reported herein for Capital represent (a) the above-referenced shares of Common Stock and Warrant Shares reported for the Fund, for which the LLC serves as the sole general partner, plus (b) shares of Common Stock and Warrant Shares held in a separately managed account for which Capital serves as investment adviser. Shares reported herein for Mr. Kolchinsky represent the above-referenced shares of Common Stock and Warrant Shares reported for Capital, for which Mr. Kolchinsky serves as the manager. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.

 

Item 5. Ownership of Five Percent or Less of a Class:

 

Not applicable.

 

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.

 

 

 
 

 

CUSIP No.  05156V102

 

Item 8. Identification and Classification of Members of the Group:

 

Not applicable.

 

Item 9. Notice of Dissolution of Group:

 

Not applicable.

 

Item 10. Certification:

 

By signing below I hereby certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 
 

 

CUSIP No.  05156V102

  

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.

 

 

 

  Date: March 25, 2015
   
  RA CAPITAL MANAGEMENT, LLC
   
  By: /s/ Peter Kolchinsky
  Peter Kolchinsky
  Manager
   
   
  PETER KOLCHINSKY
   
  /s/ Peter Kolchinsky
   
   
  RA CAPITAL HEALTHCARE FUND, L.P.
   
  By: RA Capital Management, LLC
  General Partner
   
  By: /s/ Peter Kolchinsky
  Peter Kolchinsky
  Manager

 

 

 
 

 

Exhibit 1

 

JOINT FILING AGREEMENT

 

This Joint Filing Agreement, dated as of March 25, 2015, is by and among RA Capital Management, LLC, Peter Kolchinsky and RA Capital Healthcare Fund, L.P. (the foregoing are collectively referred to herein as the “Filers”).

 

Each of the Filers may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13G and/or 13D with respect to Common Shares, no par value, of Aurinia Pharmaceuticals Inc. beneficially owned by them from time to time.

 

Pursuant to and in accordance with Rule 13(d)(1)(k) promulgated under the Securities Exchange Act of 1934, as amended, the Filers hereby agree to file a single statement on Schedule 13G and/or 13D (and any amendments thereto) on behalf of each of such parties, and hereby further agree to file this Joint Filing Agreement as an exhibit to such statement, as required by such rule.

 

This Joint Filing Agreement may be terminated by any of the Filers upon one week’s prior written notice or such lesser period of notice as the Filers may mutually agree.

 

Executed and delivered as of the date first above written.

 

  RA CAPITAL MANAGEMENT, LLC
   
  By: /s/ Peter Kolchinsky
  Peter Kolchinsky
  Manager
   
   
  PETER KOLCHINSKY
   
  /s/ Peter Kolchinsky
   
   
  RA CAPITAL HEALTHCARE FUND, L.P.
   
  By: RA Capital Management, LLC
  General Partner
   
  By: /s/ Peter Kolchinsky
  Peter Kolchinsky
  Manager