0000902664-24-003378.txt : 20240508 0000902664-24-003378.hdr.sgml : 20240508 20240508161527 ACCESSION NUMBER: 0000902664-24-003378 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240507 FILED AS OF DATE: 20240508 DATE AS OF CHANGE: 20240508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Atchinson Robert CENTRAL INDEX KEY: 0001403404 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15771 FILM NUMBER: 24926281 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adage Capital Management, L.P. CENTRAL INDEX KEY: 0001535978 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15771 FILM NUMBER: 24926282 BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET, 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-867-2800 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET, 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gross Phillip CENTRAL INDEX KEY: 0001403413 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15771 FILM NUMBER: 24926280 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ABEONA THERAPEUTICS INC. CENTRAL INDEX KEY: 0000318306 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 830221517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6555 CARNEGIE AVE, 4TH FLOOR CITY: CLEVELAND STATE: OH ZIP: 44103 BUSINESS PHONE: 646-813-4701 MAIL ADDRESS: STREET 1: 6555 CARNEGIE AVE, 4TH FLOOR CITY: CLEVELAND STATE: OH ZIP: 44103 FORMER COMPANY: FORMER CONFORMED NAME: PLASMATECH BIOPHARMACEUTICALS INC DATE OF NAME CHANGE: 20140922 FORMER COMPANY: FORMER CONFORMED NAME: ACCESS PHARMACEUTICALS INC DATE OF NAME CHANGE: 19960209 FORMER COMPANY: FORMER CONFORMED NAME: CHEMEX PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 4 1 ownership.xml X0508 4 2024-05-07 1 0000318306 ABEONA THERAPEUTICS INC. ABEO 0001535978 Adage Capital Management, L.P. 200 CLARENDON STREET, 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001403404 Atchinson Robert 200 CLARENDON STREET 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001403413 Gross Phillip 200 CLARENDON STREET 52ND FLOOR BOSTON MA 02116 0 0 1 0 0 Pre-funded Warrant (right to buy) 2024-05-07 4 P 0 2948475 4.0699 A Common Stock 2948475 2948475 I See footnotes Initial exercise price is $0.0001, subject to adjustments as set forth in the Pre-funded Warrant. Subject to the terms and conditions set forth in the Pre-funded Warrant, the holder thereof may, at any time and from time to time on or after May 7, 2024, exercise the Pre-funded Warrant until it has been exercised in full. The Pre-funded Warrants contain an issuance limitation prohibiting the holder of such Pre-funded Warrants from exercising the Pre-funded Warrants until such time as the holder, together with certain related parties, would not beneficially own after any such exercise more than 9.99% of the then issued and outstanding common stock (the "Blocker"). Due to the Blocker, the Pre-funded Warrants held by ACP (as defined below) are not presently exercisable in full. The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership ("ACP"). Adage Capital Management, L.P., a Delaware limited partnership ("ACM"), serves as the investment manager of ACP and as such has discretion over the portfolio securities held by ACP. Robert Atchinson and Phillip Gross are the managing members of (i) Adage Capital Advisors, L.L.C., a Delaware limited liability company, managing member of Adage Capital Partners GP, L.L.C., a Delaware limited liability company, general partner of ACP and (ii) Adage Capital Partners LLC, a Delaware limited liability company, general partner of ACM. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of such Reporting Person's pecuniary interest in the securities, if any. /s/ Adage Capital Management, L.P.; By: its general partner Adage Capital Partners LLC; By its managing member Robert Atchinson 2024-05-08 /s/ Robert Atchinson 2024-05-08 /s/ Phillip Gross 2024-05-08