0000950103-19-017350.txt : 20191218
0000950103-19-017350.hdr.sgml : 20191218
20191218165941
ACCESSION NUMBER: 0000950103-19-017350
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191217
FILED AS OF DATE: 20191218
DATE AS OF CHANGE: 20191218
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROCHE HOLDINGS INC
CENTRAL INDEX KEY: 0000904566
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36819
FILM NUMBER: 191293078
BUSINESS ADDRESS:
STREET 1: C/O THE CORPORATION TRUST,
STREET 2: 1209 ORANGE STREET,
CITY: WILMINGTON,
STATE: DE
ZIP: 19801
BUSINESS PHONE: 650 225-7893
MAIL ADDRESS:
STREET 1: 1 DNA WAY,
STREET 2: MS #24,
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROCHE HOLDING LTD
CENTRAL INDEX KEY: 0000889131
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880]
STATE OF INCORPORATION: V8
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36819
FILM NUMBER: 191293079
BUSINESS ADDRESS:
STREET 1: ROCHE HOLDING, LTD.
STREET 2: GRENZACHERSTRASSE 124
CITY: BASEL
STATE: V8
ZIP: CH-4070
BUSINESS PHONE: 9732354295
MAIL ADDRESS:
STREET 1: ROCHE HOLDING, LTD.
STREET 2: GRENZACHERSTRASSE 124
CITY: BASEL
STATE: V8
ZIP: CH-4070
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Spark Therapeutics, Inc.
CENTRAL INDEX KEY: 0001609351
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 462654405
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3737 MARKET STREET
STREET 2: SUITE 1300
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104
BUSINESS PHONE: 888-772-7560
MAIL ADDRESS:
STREET 1: 3737 MARKET STREET
STREET 2: SUITE 1300
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104
3
1
dp117771_3.xml
FORM 3
X0206
3
2019-12-17
0
0001609351
Spark Therapeutics, Inc.
ONCE
0000904566
ROCHE HOLDINGS INC
1 DNA WAY,
MS #24
SOUTH SAN FRANCISCO
CA
94080
0
0
1
0
0000889131
ROCHE HOLDING LTD
ROCHE HOLDING, LTD.
GRENZACHERSTRASSE 124
BASEL
V8
CH-4070
SWITZERLAND
0
0
1
0
Common Stock
29746673
D
This statement is being filed jointly by Roche Holdings, Inc. ("Holdings") and Roche Holdings, Ltd ("Parent" and, together with Holdings, the "Reporting Persons"). Holdings is a subsidiary of Parent. Additionally, the Reporting Persons understand that certain shareholders of Parent are party to a shareholder pooling agreement with respect to a significant portion of (but not a majority of) the issued shares of Parent.
On February 22, 2019, Holdings and the Issuer entered into a Transaction Agreement (the "Transaction Agreement"), pursuant to which Holdings has consummated a tender offer (the "Tender Offer") to purchase all outstanding shares ("Shares") of common stock of the Issuer.
Holdings is the direct beneficial owner of these Shares. Parent is the indirect beneficial owner of these Shares.
Each Reporting Person disclaims beneficial ownership of the Shares reported in Table I except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any Shares that may be or are beneficially owned by any other person. This Form 3 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any Shares for any purpose, other than as reported in Table I above.
/s/ Bruce Resnick on behalf of Roche Holdings, Inc.
2019-12-17
/s/ Beat Kraehenmann on behalf of Roche Holding Ltd
2019-12-17