0000947871-21-001150.txt : 20211108
0000947871-21-001150.hdr.sgml : 20211108
20211108210606
ACCESSION NUMBER: 0000947871-21-001150
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211104
FILED AS OF DATE: 20211108
DATE AS OF CHANGE: 20211108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ORBIMED ADVISORS LLC
CENTRAL INDEX KEY: 0001055951
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39696
FILM NUMBER: 211389596
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 739-6400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OrbiMed Genesis GP LLC
CENTRAL INDEX KEY: 0001808744
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39696
FILM NUMBER: 211389594
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVENUE, 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 739-6400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE, 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OrbiMed Capital GP V LLC
CENTRAL INDEX KEY: 0001615374
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39696
FILM NUMBER: 211389595
BUSINESS ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-739-6400
MAIL ADDRESS:
STREET 1: 601 LEXINGTON AVENUE
STREET 2: 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Compass Therapeutics, Inc.
CENTRAL INDEX KEY: 0001738021
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 80 GUEST STREET
CITY: BOSTON
STATE: MA
ZIP: 02135
BUSINESS PHONE: 617-500-8099
MAIL ADDRESS:
STREET 1: 80 GUEST STREET
CITY: BOSTON
STATE: MA
ZIP: 02135
FORMER COMPANY:
FORMER CONFORMED NAME: Olivia Ventures, Inc.
DATE OF NAME CHANGE: 20180419
4
1
ownership.xml
X0306
4
2021-11-04
0
0001738021
Compass Therapeutics, Inc.
CMPX
0001055951
ORBIMED ADVISORS LLC
601 LEXINGTON AVENUE
54TH FLOOR
NEW YORK
NY
10022-4629
1
0
1
0
0001615374
OrbiMed Capital GP V LLC
601 LEXINGTON AVENUE
54TH FLOOR
NEW YORK
NY
10022-4629
1
0
1
0
0001808744
OrbiMed Genesis GP LLC
601 LEXINGTON AVENUE, 54TH FLOOR
NEW YORK
NY
10022-4629
1
0
1
0
Common Stock
2021-11-04
4
P
0
1785715
3.50
A
14500119
I
See Footnotes
Common Stock
2021-11-04
4
P
0
3571428
3.50
A
3571428
I
See Footnotes
These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.
These shares of the Issuer's common stock are held of record by OrbiMed Private Investments V - KA, LP ("OPI V-KA"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V-KA, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. OrbiMed Advisors and GP V exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI V-KA.
These shares of the Issuer's common stock are held of record by OrbiMed Genesis Master Fund, L.P. ("Genesis Master Fund"). OrbiMed Genesis GP LLC ("Genesis GP") is the general partner of Genesis Master Fund and OrbiMed Advisors is the managing member of Genesis GP. OrbiMed Advisors and Genesis GP exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by Genesis Master Fund.
This report on Form 4 is jointly filed by GP V, OrbiMed Advisors, and Genesis GP. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP V have designated Carl L. Gordon ("Gordon"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Gordon, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
/s/ Carl Gordon, Member of OrbiMed Advisors LLC
2021-11-08
/s/ Carl Gordon, Member of the Managing Member of OrbiMed Capital GP VI LLC
2021-11-08
/s/ Carl Gordon, Member of the Managing Member of OrbiMed Genesis GP LLC
2021-11-08