SC 13G/A 1 tm216026d1_sc13ga.htm SC 13G/A

 

 

 

SECURITIES & EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2

 

(Amendment No. 1)*

 

Arcturus Therapeutics Holdings Inc

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

03969T109

(CUSIP Number)

 

December 31, 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)

xRule 13d-1(c)

¨Rule 13d-1(d)

 

(Page 1 of 16 Pages)

 

 

*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 the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for purposes 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).

 

 

 

 

 

 

CUSIP No. 03969T109

13GPage 2 of 16 Pages

 

     
(1)  Names of Reporting PersonS  
  HealthCor Management, L.P.  
     
     
(2)  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)  
    (a) ¨
    (b) x
     
(3)  SEC USE ONLY  
     
     
(4)  CITIZENship or place of organization  
  Delaware  
     

NUMBER OF

 
SHARES

BENEFICIALLY

 

OWNED BY

 


EACH

REPORTING

PERSON WITH

(5) sole voting power
  0
   
(6) shared voting power
  0
   
(7) sole dispositive power
  0
   
(8) shared dispositive power
  0

     
(9) aggregate amount beneficially owned by each reporting person  
  0  
     
     
(10)  check box if the aggregate amount in row (9) excludes certain shares (see instructions)  ¨
     
     
(11)  percent of class represented by amount in row (9)  
  0.0%  
     
     
(12) type of reporting person (see instructions)  
  PN  
     

 

 

 

 

CUSIP No. 03969T109

13GPage 3 of 16 Pages

 

     
(1)  Names of Reporting PersonS  
  HealthCor Associates, LLC  
     
     
(2)  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)  
    (a) ¨
    (b) x
     
(3)  SEC USE ONLY  
     
     
(4)  CITIZENship or place of organization  
  Delaware  
     

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH
(5) sole voting power
  0
   
(6) shared voting power
  0
   
(7) sole dispositive power
  0
   
(8) shared dispositive power
  0

     
(9) aggregate amount beneficially owned by each reporting person  
  0  
     
     
(10)  check box if the aggregate amount in row (9) excludes certain shares (see instructions)  ¨
     
     
(11)  percent of class represented by amount in row (9)  
  0.0%  
     
     
(12) type of reporting person (see instructions)  
  OO - limited liability company  
     

 

 

 

 

CUSIP No. 03969T109

13GPage 4 of 16 Pages

 

     
(1)  Names of Reporting PersonS  
  HealthCor Offshore Master Fund, L.P.  
     
     
(2)  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)  
    (a) ¨
    (b) x
     
(3)  SEC USE ONLY  
     
     
(4)  CITIZENship or place of organization  
  Cayman Islands  
     

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH
(5) sole voting power
  0
   
(6) shared voting power
  0
   
(7) sole dispositive power
  0
   
(8) shared dispositive power
  0

     
(9) aggregate amount beneficially owned by each reporting person  
  0  
     
     
(10)  check box if the aggregate amount in row (9) excludes certain shares (see instructions)  ¨
     
     
(11)  percent of class represented by amount in row (9)  
  0.0%  
     
     
(12) type of reporting person (see instructions)  
  PN  
     

 

 

 

 

CUSIP No. 03969T109

13GPage 5 of 16 Pages

 

     
(1)  Names of Reporting PersonS  
  HealthCor Offshore GP, LLC  
     
     
(2)  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)  
    (a) ¨
    (b) x
     
(3)  SEC USE ONLY  
     
     
(4)  CITIZENship or place of organization  
  Delaware  
     

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH
(5) sole voting power
  0
   
(6) shared voting power
  0
   
(7) sole dispositive power
  0
   
(8) shared dispositive power
  0

     
(9) aggregate amount beneficially owned by each reporting person  
  0  
     
     
(10)  check box if the aggregate amount in row (9) excludes certain shares (see instructions)  ¨
     
     
(11)  percent of class represented by amount in row (9)  
  0.0%  
     
     
(12) type of reporting person (see instructions)  
  OO - limited liability company  
     

 

 

 

 

CUSIP No. 03969T109

13GPage 6 of 16 Pages

 

     
(1)  Names of Reporting PersonS  
  HealthCor Group, LLC  
     
     
(2)  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)  
    (a) ¨
    (b) x
     
(3)  SEC USE ONLY  
     
     
(4)  CITIZENship or place of organization  
  Delaware  
     

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH
(5) sole voting power
  0
   
(6) shared voting power
  0
   
(7) sole dispositive power
  0
   
(8) shared dispositive power
  0

     
(9) aggregate amount beneficially owned by each reporting person  
  0  
     
     
(10)  check box if the aggregate amount in row (9) excludes certain shares (see instructions)  ¨
     
     
(11)  percent of class represented by amount in row (9)  
  0.0%  
     
     
(12) type of reporting person (see instructions)  
  OO - limited liability company  
     

 

 

 

 

 

CUSIP No. 03969T109

 

13G Page 7 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

Arthur Cohen

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

0 

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.0%

 

(12)

 

TYPE OF REPORTING PERSON (see instructions)

IN

 

 

 

 

 

CUSIP No. 03969T109

13G

 

Page 8 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

Joseph Healey

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

0 

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.0%

 

(12)

TYPE OF REPORTING PERSON (see instructions)

IN

 

 

 

 

CUSIP No. 03969T109

13G

 

Page 9 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

HealthCor Sanatate Offshore Master Fund, L.P.

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

0 

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.0%

 

(12)

 

TYPE OF REPORTING PERSON (see instructions)

PN

 

 

 

 

 

CUSIP No. 03969T109

13G

 

Page 10 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

HealthCor Offshore II GP, LLC

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

0 

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.0%

 

(12)

 

TYPE OF REPORTING PERSON (see instructions)

OO - limited liability company

 

 

 

 

 

CUSIP No. 03969T109

13G

 

Page 11 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

HealthCor Therapeutics Master Fund, L.P.

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

0 

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 

0.0%

 

(12)

 

TYPE OF REPORTING PERSON (see instructions)

PN

 

 

 

 

 

CUSIP No. 03969T109

13G

 

Page 12 of 16 Pages

(1)

NAMES OF REPORTING PERSONS

HealthCor Therapeutics GP, LLC

 

(2)

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(see instructions)
 

(a)

(b)

¨

x 

(3) SEC USE ONLY
(4)

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF

 

SHARES

 

BENEFICIALLY

 

OWNED BY

 

EACH

 

REPORTING

 

PERSON WITH

(5) 

SOLE VOTING POWER

(6)

SHARED VOTING POWER

(7) 

SOLE DISPOSITIVE POWER 

0

(8) 

SHARED DISPOSITIVE POWER

0

(9)

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0

 

 
(10)

 

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

 

¨ 
(11)

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.0%

 

(12)

 

TYPE OF REPORTING PERSON (see instructions)

OO - limited liability company

 

 

 

 

 

 

CUSIP No. 03969T109 13G Page 13 of 16 Pages

 

Item 1(a). Name of Issuer:
  Arcturus Therapeutics Holdings Inc.

 

Item 1(b). Address of Issuer's Principal Executive Offices:
  10628 Science Center Drive, Suite 250, San Diego, California 92121

 

Item 2(a, b, c). Name of Person Filing:

 

(i) HealthCor Management, L.P., a Delaware limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(ii) HealthCor Associates, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(iii) HealthCor Offshore Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(iv) HealthCor Offshore GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(v) HealthCor Group, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(vi)  Joseph Healey, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(vii) Arthur Cohen, 12 South Main Street, #203 Norwalk, CT 06854;

 

(viii)  HealthCor Sanatate Offshore Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001;

 

(ix) HealthCor Offshore II GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY  10001;

 

(x)  HealthCor Therapeutics Master Fund, L.P., a Cayman Islands limited partnership, 55 Hudson Yards, 28th Floor, New York, NY 10001; and

 

(xi) HealthCor Therapeutics GP, LLC, a Delaware limited liability company, 55 Hudson Yards, 28th Floor, New York, NY 10001.

 

Both Mr. Healey and Mr. Cohen are United States citizens.

 

The persons at (i) through (xi) above are collectively referred to herein as the "Reporting Persons".

 

  

 

 

CUSIP No. 03969T109 13G Page 14 of 16 Pages

 

Item 2(d). Title of Class of Securities: Common Stock (the "Common Stock")

 

Item 2(e). CUSIP Number: 03969T109

 

Item 3. Not applicable.

 

Item 4.Ownership.

 

The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

 

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 x.

 

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.

 

See Exhibit I.

 

Item 9.Notice of Dissolution of Group.

 

Not Applicable

 

Item 10.Certification.

 

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.

 

Exhibits:

 

Exhibit I: Joint Acquisition Statement

 

  

 

 

CUSIP No. 03969T109 13G Page 15 of 16 Pages

 

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: February 12, 2021

 

  HEALTHCOR MANAGEMENT, L.P.
       
    By: HealthCor Associates, LLC, its general partner
       
    /s/ Anabelle P. Gray
    Name: Anabelle P. Gray
    Title: General Counsel
       
  HEALTHCOR OFFSHORE GP, LLC, for itself and as general partner of behalf of HEALTHCOR OFFSHORE MASTER FUND, L.P.
       
    By:   HealthCor Group, LLC, its general partner
       
    /s/ Anabelle P. Gray
    Name:  Anabelle P. Gray
    Title: General Counsel

 

  

 

 

CUSIP No. 03969T109 13G Page 16 of 16 Pages

 

  HEALTHCOR OFFSHORE II GP, LLC, for itself and as general partner of behalf of HEALTHCOR SANATATE OFFSHORE MASTER FUND, L.P.
       
    By: HealthCor Group, LLC, its general partner
       
    /s/ Anabelle P. Gray
    Name: Anabelle P. Gray
    Title:  General Counsel
       
  HEALTHCOR THERAPEUTICS GP, LLC, for itself and as general partner of behalf of HEALTHCOR THERAPEUTICS MASTER FUND, L.P.
       
    By:   HealthCor Group, LLC, its general partner
       
    /s/ Anabelle P. Gray
    Name: Anabelle P. Gray
    Title: General Counsel
       
  HEALTHCOR ASSOCIATES, LLC
       
    /s/ Anabelle P. Gray
    Name: Anabelle P. Gray
    Title: General Counsel
       
  HEALTHCOR GROUP, LLC
       
    /s/ Anabelle P. Gray
    Name: Anabelle P. Gray
    Title: General Counsel
       
  JOSEPH HEALEY, Individually
       
    /s/ Joseph Healey
       
  ARTHUR COHEN, Individually
       
    /s/ Arthur Cohen