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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Pre-Funded Warrant (right to buy) | 06/27/2023 | (2) | Common Stock | 225,225 | $ 0.01 | D (1) | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| BOEHRINGER INGELHEIM INTERNATIONAL GMBH BINGER STRASSE 173 55216 INGELHEIM AM RHEIN, 2M |
X | |||
| Boehringer AG BINGER STRASSE 173 55216 INGELHEIM AM RHEIN, 2M |
X | |||
| /s/ Christoph Gauger, Registered Manager (Prokurist), the GP, /s/ Martin Bergmann, Registered Manager (Prokurist), the GP | 07/07/2023 | |
| **Signature of Reporting Person | Date | |
| /s/ Frank Huebler, Registered Manager (Prokurist), International GmbH, /s/ Dr. Martin Schwarz, Registered Manager (Prokurist), International GmbH | 07/07/2023 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | The securities are held directly by Boehringer Ingelheim International GmbH ("International GmbH"), a wholly owned indirect subsidiary of C. H. Boehringer Sohn AG & Co. KG ("Parent"). Boehringer AG (the "GP") is the General Partner of Parent. Under Securities and Exchange Commission rules and regulations, the GP may be deemed to have indirect beneficial ownership of the shares held by International GmbH. |
| (2) | The Pre-Funded Warrant will not expire until exercised in full. |