0000899243-20-004530.txt : 20200213 0000899243-20-004530.hdr.sgml : 20200213 20200213184704 ACCESSION NUMBER: 0000899243-20-004530 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200211 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Legorreta Pablo G. CENTRAL INDEX KEY: 0001507678 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35945 FILM NUMBER: 20612786 MAIL ADDRESS: STREET 1: 110 E 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Legorreta Pablo DATE OF NAME CHANGE: 20101213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RP Management, LLC CENTRAL INDEX KEY: 0001507673 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35945 FILM NUMBER: 20612787 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-883-0200 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RPI Finance Trust CENTRAL INDEX KEY: 0001793690 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35945 FILM NUMBER: 20612788 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-883-0200 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 3300 CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Epizyme, Inc. CENTRAL INDEX KEY: 0001571498 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 261349956 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 400 TECHNOLOGY SQUARE STREET 2: 4TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617-229-5872 MAIL ADDRESS: STREET 1: 400 TECHNOLOGY SQUARE STREET 2: 4TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-11 0 0001571498 Epizyme, Inc. EPZM 0001507678 Legorreta Pablo G. C/O RP MANAGEMENT, LLC, 110 E. 59TH ST., 33RD FLOOR NEW YORK NY 10022 1 0 1 0 0001507673 RP Management, LLC C/O RP MANAGEMENT, LLC 110 E. 59TH ST., 33RD FLOOR NEW YORK NY 10022 1 0 1 0 0001793690 RPI Finance Trust C/O RP MANAGEMENT, LLC 110 E. 59TH ST., 33RD FLOOR NEW YORK NY 10022 1 0 1 0 Common Stock 2020-02-11 4 A 0 2500000 20.00 A 9166667 I See footnotes Warrant (Right to Buy) 20.00 2019-11-06 2022-11-06 Common Stock 2500000 2500000 I See footnotes Stock Option (Right to Buy) 13.51 2029-11-05 Common Stock 34408 34408 D Represents 2,500,000 shares of the Issuer's common stock acquired by RPI Finance Trust ("RPIFT") on February 11, 2020 pursuant to that certain Purchase Agreement, dated November 4, 2019, by and between the Issuer and RPIFT (the "Purchase Agreement"), whereby the Issuer had the option, subject to certain conditions, to sell $50 million of its common stock to RPIFT until May 6, 2021 at a maximum price of $20.00 per share. The Issuer exercised this option on December 30, 2019 and on February 11, 2020, the Issuer issued and sold to RPIFT 2,500,000 shares of its common stock at a price of $20.00 per share. This Form 4 is being jointly filed by RP Management, LLC ("RP Management"), RPIFT and Pablo G. Legorreta (collectively, the "Reporting Persons"). RP Management, as the manager of RPIFT, and Mr. Legorreta, as the manager of RP Management, may be deemed to have beneficial ownership under Section 13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") of the securities beneficially owned by RPIFT. RP Management and Mr. Legorreta disclaim beneficial ownership of the securities indicated except to the extent of their pecuniary interest therein, and the reporting herein of such securities shall not be construed as an admission that RP Management and/or Mr. Legorreta are the beneficial owners thereof for purposes of Section 16 of the Exchange Act or for any other purpose. Mr. Legorreta serves on the board of directors of the Issuer as a representative of RPIFT. (Continued from Footnote 2) Each of RPIFT and RP Management, LLC may be deemed to be a director by deputization of the Issuer for purposes of Section 16(b)-3(d) of the Exchange Act. Pursuant to the terms of the Purchase Agreement, on November 6, 2019, RPIFT acquired a warrant to purchase up to 2,500,000 shares of the Issuer's common stock at a price of $20.00 per share, subject to adjustment in accordance with the terms thereof (the "Warrant"). The Warrant became immediately exercisable, in whole or in part, on November 6, 2019 and terminates on November 6, 2022. This option was granted to Mr. Legorreta on November 6, 2019 pursuant to the Issuer's 2013 Stock Incentive Plan with respect to 34,408 shares of common stock, in connection with Mr. Legorreta's election to the board of directors of the Issuer. This option vests as to 25% of the shares on the first anniversary of the grant date and as to an additional 2.0833% of the shares at the end of each successive month following the first anniversary of the grant date until the fourth anniversary of the grant date. Mr. Legorreta is deemed to hold the stock option and the shares issuable thereunder for the benefit of RP Management. Mr. Legorreta is the manager of RP Management. Any exercise of the stock option, when vested, or sale of the shares issuable upon exercise shall be at the direction of RP Management and the proceeds of the sale of the shares issuable upon exercise shall be delivered to RP Management. The proceeds of the sale of the shares issuable under the stock option will be offset against the management fee payable to RP Management by certain indirect owners (the "Funds") of RPIFT, all of which are managed by RP Management. (Continued from Footnote 6) Mr. Legorreta and such Funds disclaim beneficial ownership of the securities indicated except to the extent of their pecuniary interest therein, and the reporting herein of such securities shall not be construed as an admission that Mr. Legorreta or any of such Funds is the beneficial owner thereof for purposes of Section 16 of the Exchange Act or for any other purpose. Mr. Legorreta serves on the board of directors of the Issuer as a representative of RPIFT. Each of RPIFT and RP Management may be deemed to be a director by deputization of the Issuer for purposes of Section 16(b)-3(d) of the Exchange Act. /s/ Pablo G. Legorreta 2020-02-13 RP Management, LLC, By: /s/ Pablo G. Legorreta, Chief Executive Officer 2020-02-13 RPI Finance Trust, By: RP Management, LLC, its Administrator, /s/ Pablo G. Legorreta, Chief Executive Officer 2020-02-13