SECURITIES AND 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(b) | ||
(Amendment No. ) * | ||
4D Molecular Therapeutics, Inc. | ||
(Name of Issuer) | ||
Common Stock, $0.0001 par value | ||
(Title of Class of Securities) | ||
35104E100 | ||
(CUSIP Number) | ||
December 31, 2020 | ||
(Date of Event Which Requires Filing of this Statement) |
1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY) Pfizer Inc. | |||||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) [ ] (b) [ ] | ||||||||||||
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 343,642 shares of Common Stock, $0.0001 par value per share ("Common Stock") | ||||||||||||
6. | SHARED VOTING POWER 1,323,016 shares of Common Stock held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. | |||||||||||||
7. | SOLE DISPOSITIVE POWER 343,642 shares of Common Stock | |||||||||||||
8. | SHARED DISPOSITIVE POWER 1,323,016 shares of Common Stock held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. | |||||||||||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,666,658* | |||||||||||||
10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | [ ] | ||||||||||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.3%** | |||||||||||||
12. | TYPE OF REPORTING PERSON CO |
1. | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (VOLUNTARY) Pfizer Ventures (US) LLC | |||||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) [ ] (b) [ ] | ||||||||||||
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 1,323,016 Shares of Common Stock | |||||||||||||
7. | SOLE DISPOSITIVE POWER -0- | |||||||||||||
8. | SHARED DISPOSITIVE POWER 1,323,016 shares of Common Stock | |||||||||||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,323,016 shares of Common Stock held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. | |||||||||||||
10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | [ ] | ||||||||||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.0%** | |||||||||||||
12. | TYPE OF REPORTING PERSON OO |
ITEM 1(a) | NAME OF ISSUER: 4D Molecular Therapeutics, Inc. (the "Issuer"). | ||||
ITEM 1(b) | ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES: | ||||
5858 Horton Street #455, Emeryville, California 94608 | |||||
ITEM 2(a) | NAME OF PERSON FILING: | ||||
Pfizer Inc. (“Pfizer”) Pfizer Ventures (US) LLC (“PVUS”) PVUS is a wholly-owned subsidiary of Pfizer. The Joint Filing Agreement between Pfizer and PVUS is filed herewith as Exhibit 99.1. | |||||
ITEM 2(b) | ADDRESS OF PRINCIPAL BUSINESS OFFICE: | ||||
Pfizer and PVUS: 235 East 42nd Street, New York, NY 10017 | |||||
ITEM 2(c) | CITIZENSHIP: | ||||
Pfizer and PVUS: Delaware | |||||
ITEM 2(d) | TITLE OF CLASS OF SECURITIES: | ||||
Common Stock, $0.0001 par value | |||||
ITEM 2(e) | CUSIP NUMBER: 35104E100 | ||||
ITEM 3 | STATEMENTS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B) OR (C): | ||||
Not applicable. |
ITEM 4 | OWNERSHIP: | |||||||||||||
The information requested in this item is incorporated herein by reference to rows 5 through 11 of the respective cover pages of Pfizer and PVUS to this Schedule 13G. | ||||||||||||||
ITEM 5 | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: | |||||||||||||
Not applicable. | ||||||||||||||
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 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 | CERTIFICATION: | ||||
Not applicable. |
99.1 | Joint Filing Agreement, dated as of February 12, 2021, by and between Pfizer and PVUS. |
PFIZER INC. | ||||||||
By: | /s/ Susan Grant | |||||||
Name: | Susan Grant | |||||||
Title: | Assistant Secretary | |||||||
PFIZER VENTURES (US) LLC | ||||||||
By: | /s/ Susan Grant | |||||||
Name: | Susan Grant | |||||||
Title: | Secretary |
PFIZER INC. | ||||||||
By: | /s/ Susan Grant | |||||||
Name: | Susan Grant | |||||||
Title: | Assistant Secretary | |||||||
PFIZER VENTURES (US) LLC | ||||||||
By: | /s/ Susan Grant | |||||||
Name: | Susan Grant | |||||||
Title: | Secretary |