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