0001535264-23-000072.txt : 20230828 0001535264-23-000072.hdr.sgml : 20230828 20230828162120 ACCESSION NUMBER: 0001535264-23-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230824 FILED AS OF DATE: 20230828 DATE AS OF CHANGE: 20230828 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AWM Investment Company, Inc. CENTRAL INDEX KEY: 0001535264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36329 FILM NUMBER: 231215889 BUSINESS ADDRESS: STREET 1: 527 MADISON AVENUE STREET 2: SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-319-6670 MAIL ADDRESS: STREET 1: 527 MADISON AVENUE STREET 2: SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Societal CDMO, Inc. CENTRAL INDEX KEY: 0001588972 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 261523233 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 E. UWCHLAN AVE, SUITE 112 CITY: EXTON STATE: PA ZIP: 19341 BUSINESS PHONE: 770-534-8239 MAIL ADDRESS: STREET 1: 1 E. UWCHLAN AVE, SUITE 112 CITY: EXTON STATE: PA ZIP: 19341 FORMER COMPANY: FORMER CONFORMED NAME: Recro Pharma, Inc. DATE OF NAME CHANGE: 20131010 4 1 primary_doc.xml PRIMARY DOCUMENT X0508 4 2023-08-24 1 0001588972 Societal CDMO, Inc. SCTL 0001535264 AWM Investment Company, Inc. 527 MADISON AVENUE SUITE 2600 NEW YORK NY 10022 0 0 1 0 0 Common Stock 2023-08-24 4 P 0 140000 0.4 A 10266144 I By Limited Partnerships Warrants 0.0001 2023-08-24 4 P 0 4860000 0.4 A Common Stock 4860000 4860000 I By Limited Partnership These warrants are pre-funded and do not have an expiration or exercisable date. AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (SSFQP), Situations Cayman Fund, L.P. (Cay) and Special Situations Private Equity Fund, L.P. (SSPE and together with SSFQP and Cay, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 3,365,985 Warrants held by SSFQP, 873,569 Warrants held by Cay and 620,446 Warrants held by SSPE. The Warrants described herein may be exercised to the extent that the total number of shares of Common Stock then beneficially owned does not exceed 9.99% of the outstanding shares. AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cay) and Special Situations Private Equity Fund, L.P. (PE). (PE together with QP and Cay the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 6,445,946 shares of Common Stock of the Issuer (the Shares) held by QP, 2,233,717 Shares held by Cay and 1,586,481 Shares held by PE. David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. This is a weighted average price. Adam Stettner 2023-08-28