SC 13G/A 1 d942760dsc13ga.htm SC 13G/A - AMENDMENT NO. 1 SC 13G/A - Amendment No. 1

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

Akari Therapeutics, PLC

(Name of Issuer)

Ordinary Shares, par value £0.01 per share

(represented by American Depositary Shares)

(Title of Class of Securities)

00972G108

(CUSIP Number)

July 16, 2020

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this schedule is filed:

☐ Rule 13d-1(b)

☒ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


SCHEDULE 13G

CUSIP No. 00972G108       Page 2 of 5

 

  1   

NAME OF REPORTING PERSON

 

Yasumitsu Shigeta

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐        (b)  ☒

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Japan

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5       

SOLE VOTING POWER

 

1,230,063 shares(1)

   6       

SHARED VOTING POWER

 

0 shares

   7       

SOLE DISPOSITIVE POWER

 

1,230,063 shares

   8       

SHARED DISPOSITIVE POWER

 

0 shares

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,230,063 shares(1)

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.67%

12  

TYPE OF REPORTING PERSON

 

IN

 

(1)

Comprised of Ordinary Shares represented by American Depository Shares. Each American Depository Shares reported represents 100 Ordinary Shares.


SCHEDULE 13G

CUSIP No. 00972G108       Page 3 of 5

 

Item 1(a).

Name of Issuer

Akari Therapeutics, PLC (the “Issuer”)

 

Item 1(b).

Address of Issuer’s Principal Executive Offices

75/76 Wimpole Street

London W1G 9RT

United Kingdom

 

Item 2(a).

Name of Person Filing

Yasumitsu Shigeta (the “Reporting Person”)

 

Item 2(b).

Address of Principal Business Office or, if None, Residence

The address of the principal business and principal office of the Reporting Persons is:

XYMAX Kamiyacho Building 8/F, 5-12-13 Toranomon,

Minato-ku, Tokyo 105-0001, Japan

 

Item 2(c).

Citizenship

Yasumitsu Shigeta is a citizen of Japan.

 

Item 2(d).

Title of Class of Securities

Ordinary Shares, par value £0.01 per share (represented by American Depositary Shares, each of which represents 100 Ordinary Shares)

 

Item 2(e).

CUSIP Number

00972G108

 

Item 3.

If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

  (a)

☐   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

  (b)

☐   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

  (c)

☐   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

  (d)

☐   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).


SCHEDULE 13G

CUSIP No. 00972G108       Page 4 of 5

 

  (e)

☐   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).

 

  (f)

☐   An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).

 

  (g)

☐   A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).

 

  (h)

☐   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

 

  (i)

☐   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).

 

  (j)

☐   Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

Item 4.

Ownership

With respect to the beneficial ownership of the Reporting Person, see Items 5 through 11 of the cover page to this Schedule 13G, which are incorporated herein by reference.

 

Item 5.

Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. ☒**

** This Amendment No. 1 constitutes an exit filing for Mr. Yasumitsu Shigeta, who as of July 16, 2020, no longer beneficially owned more than 5% of the outstanding securities of Akari Therapeutics, PLC.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

Not Applicable.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

Not Applicable.

 

Item 8.

Identification and Classification of Members of the Group.

Not Applicable.

 

Item 9.

Notice of Dissolution of Group.

Not Applicable.

 

Item 10.

Certifications.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.


SCHEDULE 13G

CUSIP No. 00972G108       Page 5 of 5

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: August 11, 2020

 

/s/ Yasumitsu Shigeta

Yasumitsu Shigeta