0001193125-15-046688.txt : 20150212 0001193125-15-046688.hdr.sgml : 20150212 20150212160359 ACCESSION NUMBER: 0001193125-15-046688 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 GROUP MEMBERS: PONTIFAX (CAYMAN) II, L.P. GROUP MEMBERS: PONTIFAX (ISRAEL) II, L.P. GROUP MEMBERS: PONTIFAX (ISRAEL) II- INDIVIDUAL INVESTORS, L.P. GROUP MEMBERS: PONTIFAX MANAGEMENT 2 G.P. (2007) LTD. GROUP MEMBERS: PONTIFAX MANAGEMENT II L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Kite Pharma, Inc. CENTRAL INDEX KEY: 0001510580 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88615 FILM NUMBER: 15606071 BUSINESS ADDRESS: STREET 1: 2225 COLORADO AVENUE CITY: SANTA MONICA STATE: CA ZIP: 90404 BUSINESS PHONE: (310) 824-9999 MAIL ADDRESS: STREET 1: 2225 COLORADO AVENUE CITY: SANTA MONICA STATE: CA ZIP: 90404 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Nussbaum Ran CENTRAL INDEX KEY: 0001609805 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: C/O KITE PHARMA, INC. STREET 2: 2225 COLORADO AVENUE CITY: SANTA MONICA STATE: CA ZIP: 90404 SC 13G 1 d872991dsc13g.htm SC 13G SC 13G

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

Kite Pharma, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

49803L 10 9

(CUSIP Number)

December 31, 2014

(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)

x 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).

 

 

 

13G

 

CUSIP No. 49803L 10 9   Page 2 of 11 Pages

 

  1.   

Names of reporting persons

 

Ran Nussbaum

  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

 

    Israel

Number of

shares

beneficially

owned by

each

reporting

person

with:

    5.    

Sole voting power

 

    50,000 (A)

   6.   

Shared voting power

 

    2,201,936 (B)

   7.   

Sole dispositive power

 

    50,000 (A)

   8.   

Shared dispositive power

 

    2,201,936 (B)

  9.  

Aggregate amount beneficially owned by each reporting person

 

    2,251,936

10.  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.  

Percent of class represented by amount in Row 9

 

    5.1%

12.  

Type of reporting person (see instructions)

 

    IN

 

13G

 

CUSIP No. 49803L 10 9   Page 3 of 11 Pages

 

  1.   

Names of reporting persons

 

Pontifax Management 2 G.P. (2007) Ltd.

  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

 

    Israel

Number of

shares

beneficially

owned by

each

reporting

person

with:

    5.    

Sole voting power

 

    0

   6.   

Shared voting power

 

    2,201,936 (B)

   7.   

Sole dispositive power

 

    0

   8.   

Shared dispositive power

 

    2,201,936 (B)

  9.  

Aggregate amount beneficially owned by each reporting person

 

    2,201,936

10.  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.  

Percent of class represented by amount in Row 9

 

    5.0%

12.  

Type of reporting person (see instructions)

 

    CO

13G

 

CUSIP No. 49803L 10 9   Page 4 of 11 Pages

 

  1.   

Names of reporting persons

 

Pontifax Management II 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

 

    Israel

Number of

shares

beneficially

owned by

each

reporting

person

with:

    5.    

Sole voting power

 

    0

   6.   

Shared voting power

 

    2,201,936 (B)

   7.   

Sole dispositive power

 

    0

   8.   

Shared dispositive power

 

    2,201,936 (B)

  9.  

Aggregate amount beneficially owned by each reporting person

 

    2,201,936

10.  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.  

Percent of class represented by amount in Row 9

 

    5.0%

12.  

Type of reporting person (see instructions)

 

    PN

13G

 

CUSIP No. 49803L 10 9   Page 5 of 11 Pages

 

  1.   

Names of reporting persons

 

Pontifax (Cayman) II, 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

 

    Cayman Islands

Number of

shares

beneficially

owned by

each

reporting

person

with:

    5.    

Sole voting power

 

    0

   6.   

Shared voting power

 

    2,201,936 (B)

   7.   

Sole dispositive power

 

    0

   8.   

Shared dispositive power

 

    2,201,936 (B)

  9.  

Aggregate amount beneficially owned by each reporting person

 

    2,201,936

10.  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.  

Percent of class represented by amount in Row 9

 

    5.0%

12.  

Type of reporting person (see instructions)

 

    PN

13G

 

CUSIP No. 49803L 10 9   Page 6 of 11 Pages

 

  1.   

Names of reporting persons

 

Pontifax (Israel) II, 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

 

    Israel

Number of

shares

beneficially

owned by

each

reporting

person

with:

    5.    

Sole voting power

 

    0

   6.   

Shared voting power

 

    2,201,936 (B)

   7.   

Sole dispositive power

 

    0

   8.   

Shared dispositive power

 

    2,201,936 (B)

  9.  

Aggregate amount beneficially owned by each reporting person

 

    2,201,936

10.  

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.  

Percent of class represented by amount in Row 9

 

    5.0%

12.  

Type of reporting person (see instructions)

 

    PN

13G

 

CUSIP No. 49803L 10 9 Page 7 of 11 Pages

 

  1. 

Names of reporting persons

 

Pontifax (Israel) II—Individual Investors, 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

 

    Israel

Number of

shares

beneficially

owned by

each

reporting

person

with:

 5. 

Sole voting power

 

    0

6.

Shared voting power

 

    2,201,936 (B)

7.

Sole dispositive power

 

    0

8.

Shared dispositive power

 

    2,201,936 (B)

  9.

Aggregate amount beneficially owned by each reporting person

 

    2,201,936

10.

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)    ¨

 

11.

Percent of class represented by amount in Row 9

 

    5.0%

12.

Type of reporting person (see instructions)

 

    PN

13G

 

CUSIP No. 49803L 10 9 Page 8 of 11 Pages

 

Item 1(a). Name of Issuer:

Kite Pharma, Inc.

 

Item 1(b). Address of Issuer’s Principal Executive Offices:

2225 Colorado Avenue, Santa Monica, California 90404.

 

Item 2(a). Name of Person Filing:

Ran Nussbaum, Pontifax Management 2 G.P. (2007) Ltd., Pontifax Management II, L.P., Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II—Individual Investors, L.P.

 

Item 2(b). Address of Principal Business Office or, if none, Residence:

14 Shenkar Street, Herzliya Pituach, Israel

 

Item 2(c). Citizenship:

Mr. Nussbaum is a citizen of Israel and each of Pontifax Management 2 G.P. (2007) Ltd., Pontifax Management II L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II—Individual Investors, L.P. are organized in Israel. Pontifax (Cayman) II, L.P. is organized in the Cayman Islands.

 

Item 2(d). Title of Class of Securities:

Common Stock.

 

Item 2(e). CUSIP Number:

49803L 10 9.

 

Item 3. Not applicable.

 

Item 4. Ownership

The information requested hereinafter is set forth in items 5 through 9 and 11 of the cover pages to this Schedule 13G. Ownership is stated as of December 31, 2014. The ownership percentage for Mr. Nussbaum is based on 44,071,933 shares of common stock outstanding as of October 31, 2014, after adding the shares issued in the Issuer’s follow-on public offering, as set forth on the Issuer’s prospectus filed under Rule 424(b)(1) with the SEC on December 12, 2014, and the shares Mr. Nussbaum has the right to acquire from the Issuer within 60 days of December 31, 2014. The ownership percentages for Pontifax Management 2 G.P. (2007) Ltd. and Pontifax Management II L.P. are based on 44,021,933 shares of common stock outstanding as of October 31, 2014, after adding the shares issued in the Issuer’s follow-on public offering, as set forth on the Issuer’s prospectus filed under Rule 424(b)(1) with the SEC on December 12, 2014.

(A) Represents shares of common stock that Mr. Nussbaum has the right to acquire from the Issuer within 60 days of December 31, 2014 pursuant to the exercise of stock options, 31,945 of which would be initially unvested and subject to a right of repurchase by the Issuer as of March 1, 2015 that would lapse over the vesting schedule.

 

Page 8 of 11 pages

13G

 

CUSIP No. 49803L 10 9 Page 9 of 11 Pages

 

(B) Represents (1) 1,076,390 shares of common stock beneficially owned by Pontifax (Cayman) II, L.P., (2) 810,803 shares of common stock beneficially owned by Pontifax (Israel) II, L.P., and (3) 314,743 shares of common stock beneficially owned by Pontifax (Israel) II—Individual Investors, L.P. Pontifax Management II L.P. is the general partner of Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P. and Pontifax (Israel) II—Individual Investors, L.P. Pontifax Management 2 G.P. (2007) Ltd. is the general partner of Pontifax Management II L.P. Mr. Nussbaum is a director of Pontifax Management 2 G.P. (2007) Ltd.

 

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

Not applicable.

 

Item 6. Ownership of More than 5 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 a Group

Not applicable.

 

Item 10. Certification

Not applicable.

13G

 

CUSIP No. 49803L 10 9    Page 10 of 11 Pages

 

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 12, 2015

 

Pontifax Management 2 G.P. (2007) Ltd.
By:  

Ran Nussbaum

Its:  

Managing Partner

By:  

/s/ Ran Nussbaum

Pontifax Management II L.P.
By:  

Ran Nussbaum

Its:  

Managing Partner

By:  

/s/ Ran Nussbaum

Pontifax (Cayman) II, L.P.
By:  

Ran Nussbaum

Its:  

Managing Partner

By:  

/s/ Ran Nussbaum

Pontifax (Israel) II, L.P. and
By:  

Ran Nussbaum

Its:  

Managing Partner

By:  

/s/ Ran Nussbaum

Pontifax (Israel) II—Individual Investors, L.P.
By:  

Ran Nussbaum

Its:  

Managing Partner

By:  

/s/ Ran Nussbaum

/s/ Ran Nussbaum

Ran Nussbaum

Page 11 of 11 Pages

EXHIBIT INDEX

 

Exhibit
No.

     
99.1
    Agreement pursuant to Rule 13d-1(k)(1) among Pontifax Management 2 G.P. (2007) Ltd., Pontifax Management II L.P., Pontifax (Cayman) II, L.P., Pontifax (Israel) II, L.P., Pontifax (Israel) II—Individual Investors, L.P. and Ran Nussbaum.
 EX-99.1 2 d872991dex991.htm EX-99.1 EX-99.1

13G

 

CUSIP No. 49803L 10 9

 

Exhibit 99.1

AGREEMENT

Pursuant to Rule 13d-1(k)(1) promulgated pursuant to the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached Schedule 13G is being filed on behalf of each of the undersigned.

Dated: February 12, 2015

 

Pontifax Management 2 G.P. (2007) Ltd.
By:

Ran Nussbaum

Its:

Managing Partner

By:

/s/ Ran Nussbaum

Pontifax Management II L.P.
By:

Ran Nussbaum

Its:

Managing Partner

By:

/s/ Ran Nussbaum

Pontifax (Cayman) II, L.P.
By:

Ran Nussbaum

Its:

Managing Partner

By:

/s/ Ran Nussbaum

Pontifax (Israel) II, L.P. and
By:

Ran Nussbaum

Its:

Managing Partner

By:

/s/ Ran Nussbaum

Pontifax (Israel) II—Individual Investors, L.P.
By:

Ran Nussbaum

Its:

Managing Partner

By:

/s/ Ran Nussbaum

/s/ Ran Nussbaum

Ran Nussbaum