0000899243-22-018914.txt : 20220519 0000899243-22-018914.hdr.sgml : 20220519 20220519180141 ACCESSION NUMBER: 0000899243-22-018914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220517 FILED AS OF DATE: 20220519 DATE AS OF CHANGE: 20220519 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: 22944628 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: Legorreta Pablo G. CENTRAL INDEX KEY: 0001507678 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35945 FILM NUMBER: 22944629 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: Royalty Pharma Investments 2019 ICAV CENTRAL INDEX KEY: 0001909645 STATE OF INCORPORATION: L2 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35945 FILM NUMBER: 22944626 BUSINESS ADDRESS: STREET 1: C/O RP MANAGEMENT, LLC STREET 2: 100 E. 59TH ST., 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-883-0200 MAIL ADDRESS: STREET 1: C/O RP MANAGEMENT, LLC STREET 2: 100 E. 59TH ST., 33RD FLOOR 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: 22944627 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 2022-05-17 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 0001909645 Royalty Pharma Investments 2019 ICAV C/O RP MANAGEMENT, LLC, 110 E. 59TH ST., 33RD FLOOR NEW YORK NY 10022 1 0 1 0 Common Stock 31833334 I See footnotes Stock Option (Right to Buy) 13.51 2029-11-05 Common Stock 34408 34408 D Stock Option (Right to Buy) 17.55 2021-05-29 2030-05-29 Common Stock 14103 14103 D Stock Option (Right to Buy) 8.53 2022-06-11 2031-06-11 Common Stock 40559 40559 D Stock Option (Right to Buy) 0.56 2022-05-17 4 A 0 41006 0.56 A 2023-05-17 2032-05-16 Common Stock 41006 41006 D Restricted Stock Units 0.00 2022-06-11 Common Stock 8060 8060 D Restricted Stock Units 0.00 2022-05-17 4 A 0 8994 0.00 A 2023-05-17 Common Stock 8994 8994 D Represents (a) (i) 6,666,667 shares of the Issuer's common stock and (ii) 2,500,000 shares of the Issuer's common stock, in each case acquired by RPI Finance Trust ("RPIFT") pursuant to that certain Purchase Agreement, dated November 4, 2019, by and between the Issuer and RPIFT and (b) 22,666,667 shares of common stock acquired by Royalty Pharma Investments 2019 ICAV ("RPI 2019 ICAV") from the underwriter in an underwritten public offering conducted by the Issuer that closed on January 31, 2022. 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 RPI 2019 ICAV, 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 and RPI 2019 ICAV. 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 and RPI 2019 ICAV. (Continued from Footnote 2) Each of RPIFT, RPI 2019 ICAV 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. This option was granted to Mr. Legorreta on November 6, 2019 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 vested as to 25% of the shares on the first anniversary of the grant date and continues to vest 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 derivative security and the shares issuable thereunder for the benefit of RP Management. Mr. Legorreta is the manager of RP Management. Any exercise of the derivative security, 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 derivative security will be offset against the management fee payable to RP Management by RPIFT, RPI 2019 ICAV, and certain of their respective indirect owners (such indirect owners, the "Funds"), all of which are managed by RP Management. (Continued from Footnote 5) 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 and RPI 2019 ICAV. Each of RPIFT, RPI 2019 ICAV 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. This option was granted on June 11, 2021 with respect to 40,559 shares of common stock, and is scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to Mr. Legorreta's continued service as a director. In the event of a change in control of the Issuer, the option will vest in full. This option was granted on May 17, 2022 with respect to 41,006 shares of common stock, and is scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to Mr. Legorreta's continued service as a director. In the event of a change in control of the Issuer, the option will vest in full. Consists of shares of common stock issuable under 8,060 restricted stock units ("RSUs") granted on June 11, 2021, which RSUs are scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to Mr. Legorreta's continued service as a director. Each RSU represents the right to receive one share of common stock upon vesting. In the event of a change in control of the Issuer, the RSUs will vest in full. Consists of shares of common stock issuable under 8,994 RSUs granted on May 17, 2022, which RSUs are scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to Mr. Legorreta's continued service as a director. Each RSU represents the right to receive one share of common stock upon vesting. In the event of a change in control of the Issuer, the RSUs will vest in full. /s/ Pablo G. Legorreta 2022-05-19 RP Management, LLC, By: /s/ Pablo G. Legorreta, Chief Executive Officer 2022-05-19 RPI Finance Trust, By: RP Management, LLC, its Administrator, /s/ Pablo G. Legorreta, Chief Executive Officer 2022-05-19 Royalty Pharma Investments 2019 ICAV, By: /s/ Pablo G. Legorreta, Director 2022-05-19