Amended Statement of Beneficial Ownership (sc 13d/a)
26 September 2017 - 6:26AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND
EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE 13D
Under the Securities
Exchange Act of 1934
(Amendment
No. 5)*
Acceleron Pharma
Inc.
(Name of Issuer)
Common Stock,
$0.001 par value
(Title of Class
of Securities)
00434H108
(CUSIP Number)
Mark J. Alles
Chief Executive
Officer
Celgene Corporation
86 Morris Avenue
Summit, New
Jersey 07901
(908) 673-9000
(Name, Address
and Telephone Number of Person Authorized to Receive Notices and Communications)
September 25,
2017
(Date of Event Which Requires Filing of This Statement)
If
the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this
Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g) check the following box:
¨
Note:
Schedules filed in
paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other
parties to whom copies are to be sent.
*
|
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 13D
1
|
|
Name of reporting person:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
CELGENE CORPORATION
22-2711928
|
2
|
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Check the appropriate box if a member of a group*
(a)
¨
(b)
¨
|
3
|
|
SEC use only
|
4
|
|
Source of funds*
WC
|
5
|
|
Check
box if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
¨
|
6
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|
Citizenship or place of organization
Delaware, U.S.A.
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Number of
shares
beneficially
owned by
each
reporting
person
with
|
|
7
|
|
Sole voting power
6,157,458
|
|
8
|
|
Shared voting power
-0-
|
|
9
|
|
Sole dispositive power
6,157,458
|
1
|
0
|
|
Shared dispositive power
-0-
|
11
|
|
Aggregate amount beneficially owned by each reporting person
6,157,458
|
12
|
|
Check box if the aggregate amount in Row (9) excludes certain
shares*
¨
|
13
|
|
Percent of class represented by amount in Row (9)
13.87% (1)
|
14
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Type of reporting person*
CO
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(1)
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The percentage ownership is determined based on 44,396,815 shares of Common Stock outstanding after giving effect to (i) the public offering of 5,405,406 shares of Common Stock as set forth in the Issuer’s prospectus dated September 21, 2017, (ii) the 5,372,887 shares of Common Stock and 38,979 shares of Common Stock underlying a warrant held by Celgene Corporation prior to the Issuer’s public offering, and (iii) 745,592 shares of Common Stock purchased in the Issuer’s public offering.
|
This Amendment No. 5 amends the
Schedule 13D (the “
Schedule 13D
”) filed with the Securities and Exchange Commission (the “
Commission
”)
on October 3, 2013, as amended by Amendment No. 1 filed with the Commission on January 30, 2014, by Amendment No. 2
filed with the Commission on April 2, 2014, by Amendment No. 3 filed with the Commission on May 5, 2014, and by Amendment
No. 4 filed with the Commission on January 11, 2016, with respect to common stock, par value $0.001 per share (“
Common
Stock
”), of Acceleron Pharma Inc., a Delaware corporation (“
Acceleron
”). Capitalized terms used, but
not defined herein, have the meanings ascribed to them in the Schedule 13D.
Item 1.
|
Security and Issuer
.
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No modification.
Item 2.
|
Identity and Background
.
|
Item
2 is hereby amended and supplemented by adding the Schedule A hereto.
During the past five years, neither Celgene nor,
to the knowledge of Celgene, any of the persons listed on Schedule A hereto, has been (i) convicted in a criminal proceeding (excluding
traffic violations and similar misdemeanors), or (ii) a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations
of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect
to such laws.
Item 3.
|
Source and Amount of Funds or Other Consideration
.
|
No modification.
Item 4.
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Purpose of Transaction
.
|
Item 4 is hereby amended and supplemented
by adding the following:
On September 25, 2017, Celgene purchased
an aggregate of 745,592 shares of Common Stock in Acceleron’s public offering of 5,405,406 shares of Common Stock for an
aggregate purchase price of $27,586,904 for investment purposes. Following this purchase, Celgene beneficially owns 6,157,458 shares
of Common Stock (including 38,979 shares of Common Stock underlying the Warrant that is exercisable immediately), representing
approximately 13.87% of the shares of Common Stock outstanding as of September 25, 2017, which includes (i) 44,357,836 shares
of Common Stock outstanding as of September 25, 2017 according to the Issuer’s prospectus dated September 21, 2017, and (ii) 38,979
shares of Common Stock underlying the Warrant held by Celgene Corporation that is exercisable immediately.
Item 5.
|
Interest in Securities of the Issuer
.
|
Item 5(a)-(c) is hereby amended
and supplemented as follows:
On September 25, 2017, Celgene purchased
an aggregate of 745,592 shares of Common Stock in Acceleron’s public offering of 5,405,406 shares of Common Stock for an
aggregate purchase price of $27,586,904 for investment purposes. Following this purchase, Celgene beneficially owns 6,157,458 shares
of Common Stock (including 38,979 shares of Common Stock underlying the Warrant that is exercisable immediately), representing
approximately 13.87% of the shares of Common Stock outstanding as of September 25, 2017, which includes (i) 44,357,836 shares
of Common Stock outstanding as of September 25, 2017 according to the Issuer’s prospectus dated September 21, 2017, and (ii) 38,979
shares of Common Stock underlying the Warrant held by Celgene Corporation that is exercisable immediately.
Item 6.
|
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
.
|
No modification.
Item 7.
|
Material to Be Filed as Exhibits
.
|
No modification.
SIGNATURE
After reasonable
inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement
is true, complete and correct.
September 25, 2017
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CELGENE CORPORATION
|
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By:
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/s/ Peter N. Kellogg
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Peter N. Kellogg
|
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Executive Vice President and Chief Financial Officer
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SCHEDULE A
Name, business address, present principal
occupation or employment and place of citizenship of the directors and executive officers of Celgene Corporation
The name, business address and present principal occupation
or employment of each of the directors and executive officers of the Celgene Corporation are set forth below. The business address
of each director and executive officer is c/o 86 Morris Avenue, Summit, New Jersey 07901. Unless otherwise indicated, each director
and executive officer is a citizen of the United States.
CELGENE CORPORATION — BOARD OF DIRECTORS
Name And Position
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Present Principal Occupation Or Employment
|
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Robert J. Hugin
|
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Executive Chairman of Celgene Corporation
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Executive Chairman
|
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Mark J. Alles
|
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Chief Executive Officer of Celgene Corporation
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Chief Executive Officer
|
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Richard W. Barker, D.Phil.
Director (Citizen of the United Kingdom)
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Director of the Centre for Accelerating Medical Innovations; Chairman of the Health Innovation Network of South London, UK; Chairman of International Health Partners; Chairman of Precision Medicine Catapult plc
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Michael W. Bonney
Director
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Formerly Chief Executive Officer and a director of Cubist Pharmaceuticals Inc.; Chairman of the Board of Alynylam Pharmaceuticals, Inc.; member of the Board of Directors of Global Blood Therapeutics, Inc.; Trustee of the Tekla complex of life sciences and dedicated funds; Board of Trustee Chair of Bates College
|
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Michael D. Casey
Director
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Formerly Chairman, President, Chief Executive Officer and a director of Matrix Pharmaceutical, Inc.; Director of Abaxis, Inc.
|
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Carrie S. Cox
Director
|
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Chairman of the Board of Directors and Chief Executive Officer of Humacyte, Inc.; member of Board of Directors of Texas Instruments; member of Board of Directors of Cardinal Health, Inc.
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Michael A. Friedman, M.D.
Director
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Emeritus Chief Executive Officer of City of Hope; member of Board of Directors of MannKind Corporation; member of Board of Directors of Smith & Nephew plc; member of the Board of Directors of Intuitive Surgical Inc.; member of Board of Trustees of Tulane University
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Julia A. Haller, M.D.
Director
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Ophthalmologist-in-Chief of the Wills Eye Hospital, Philadelphia, PA; Professor and Chair of the Department of Ophthalmology at Jefferson Medical College of Thomas Jefferson University and Thomas Jefferson University Hospitals
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Gilla Kaplan, Ph.D.
Director
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Director of the Global Health Program, Tuberculosis, at the Bill and Melinda Gates Foundation
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James J. Loughlin
Director
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Formerly National Director of the Pharmaceuticals Practice at KPMG LLP; member of Board of Directors of Edge Therapeutics, Inc.
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Ernest Mario, Ph.D.
Director
|
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Chairman of the Board of each of Capnia, Inc. and Chimerix Inc.; member of the Board of Directors of Tonix Pharmaceutical Holding Corp.
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CELGENE CORPORATION — EXECUTIVE OFFICERS
Name
|
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Title
|
|
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Robert J. Hugin
|
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Executive Chairman
|
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Mark. J. Alles
|
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Chief Executive Officer
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Scott A. Smith
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President and Chief Operating Officer
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Peter N. Kellogg
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Executive Vice President and Chief Financial Officer
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Gerald Masoudi
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Executive Vice
President, General Counsel and Corporate Secretary
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Nadim Ahmed
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President, Hematology & Oncology
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Terrie Curran
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President, Inflammation & Immunology
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Rupert Vessey
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President, Research and Early Development
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