0000899243-22-028387.txt : 20220811
0000899243-22-028387.hdr.sgml : 20220811
20220811165538
ACCESSION NUMBER: 0000899243-22-028387
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220801
FILED AS OF DATE: 20220811
DATE AS OF CHANGE: 20220811
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TC Group, LLC
CENTRAL INDEX KEY: 0000933790
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156696
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE NW SUITE 220 S
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202-729-5438
MAIL ADDRESS:
STREET 1: C/O CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE NW SUITE 220 S
CITY: WASHINGTON
STATE: DC
ZIP: 20004
FORMER NAME:
FORMER CONFORMED NAME: TC GROUP LLC
DATE OF NAME CHANGE: 19961007
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Investment Management LLC
CENTRAL INDEX KEY: 0001354120
STATE OF INCORPORATION: DC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156695
BUSINESS ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVE. N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 347-2626
MAIL ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVE. N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I GP Inc.
CENTRAL INDEX KEY: 0001548626
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156700
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Group Inc.
CENTRAL INDEX KEY: 0001527166
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156701
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202 729 5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
FORMER NAME:
FORMER CONFORMED NAME: Carlyle Group L.P.
DATE OF NAME CHANGE: 20110801
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Genesis UK LLC
CENTRAL INDEX KEY: 0001941860
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156694
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 729-5438
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I GP Sub L.L.C.
CENTRAL INDEX KEY: 0001548627
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156699
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings I L.P.
CENTRAL INDEX KEY: 0001548628
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156698
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CG Subsidiary Holdings L.L.C.
CENTRAL INDEX KEY: 0001790577
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 221156697
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP, SUITE 220 SOUTH
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: (202) 729-5438
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP, SUITE 220 SOUTH
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOLENO THERAPEUTICS INC
CENTRAL INDEX KEY: 0001484565
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 770523891
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 203 REDWOOD SHORES PARKWAY
STREET 2: SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94065
BUSINESS PHONE: 650-213-8444
MAIL ADDRESS:
STREET 1: 203 REDWOOD SHORES PARKWAY
STREET 2: SUITE 500
CITY: REDWOOD CITY
STATE: CA
ZIP: 94065
FORMER COMPANY:
FORMER CONFORMED NAME: Capnia, Inc.
DATE OF NAME CHANGE: 20100219
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2022-08-01
0
0001484565
SOLENO THERAPEUTICS INC
SLNO
0001527166
Carlyle Group Inc.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548626
Carlyle Holdings I GP Inc.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548627
Carlyle Holdings I GP Sub L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001548628
Carlyle Holdings I L.P.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001790577
CG Subsidiary Holdings L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0000933790
TC Group, LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001354120
Carlyle Investment Management LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
0001941860
Carlyle Genesis UK LLC
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004-2505
0
0
1
0
Common Stock
18022602
I
See footnotes
Stock Option (right to buy)
1.57
2028-12-21
Common Stock
20000
I
See footnotes
Stock Option (right to buy)
2.50
2029-06-10
Common Stock
12357
I
See footnotes
Stock Option (right to buy)
3.41
2030-05-18
Common Stock
9530
I
See footnotes
Stock Option (right to buy)
2.24
2031-01-08
Common Stock
40000
I
See footnotes
Stock Option (right to buy)
1.02
2031-06-01
Common Stock
31862
I
See footnotes
Warrants
0.30
2027-03-29
Common Stock
7720000
I
See footnotes
Warrants
2.00
2018-12-21
2023-12-21
Common Stock
233463
I
See footnotes
Reflects securities held of record by Abingworth Bioventures VII LP ("ABV VII"). ABV VII has delegated to Abingworth LLP ("Abingworth") all investment and dispositive power over the securities held of record by ABV VII.
The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC (each of the foregoing entities, the "Carlyle Entities").
On August 1, 2022, entities affiliated with The Carlyle Group Inc. acquired Abingworth (the "Acquisition"). Following the Acquisition, Carlyle Genesis UK LLC became the principal member of Abingworth LLP. As a result, each of the Carlyle Entities may be deemed to have acquired beneficial ownership of the securities held of record by ABV VII or beneficially owned by Abingworth. Each of them disclaims beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
The stock option will vest in 48 substantially equal monthly installments commencing on December 21, 2018.
Under an agreement between Andrew Sinclair and Abingworth, Dr. Sinclair is deemed to hold the stock option and any shares of Common Stock issuable upon exercise of the stock option for the benefit of ABV VII, and must exercise the stock option solely upon the direction of Abingworth.
The stock option is fully vested and exerciseable.
The warrants contain a provision prohibiting exercise to the extent that the holder, together with its affiliates, would beneficially own in excess of 4.99% of the total number of shares of Common Stock then issued and outstanding.
Following the Acquisition, the Carlyle Entities, ABV VII and Abingworth intend to file Section 16 reports jointly.
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11
Carlyle Holdings I GP Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director and Chief Financial Officer
2022-08-11
Carlyle Holdings I GP Sub L.L.C., By: Carlyle Holdings I GP Inc., its sole member, By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director and Chief Financial Officer
2022-08-11
Carlyle Holdings I L.P., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
CG Subsidiary Holdings L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
TC Group, L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Managing Director
2022-08-11
Carlyle Investment Management L.L.C., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11
Carlyle Genesis UK LLC, By: Carlyle Investment Management L.L.C., its sole member, By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer
2022-08-11