UNITED STATES | ||
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. 1) 1 | ||
4D Molecular Therapeutics, Inc. | ||
(Name of Issuer) | ||
Common Stock, $0.0001 par value | ||
(Title of Class of Securities) | ||
35104E100 | ||
(CUSIP Number) | ||
December 31, 2021 | ||
(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. 13-5315170 | |||||||||||||
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 341,658 shares of Common Stock, $0.0001 par value per share (“Common Stock”) held directly by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc. | |||||||||||||
7. | SOLE DISPOSITIVE POWER 0 | |||||||||||||
8. | SHARED DISPOSITIVE POWER 341,658 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 341,658* | |||||||||||||
10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | [ ] | ||||||||||||
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.06%** | |||||||||||||
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 82-5524518 | |||||||||||||
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 341,658 Shares of Common Stock | |||||||||||||
7. | SOLE DISPOSITIVE POWER -0- | |||||||||||||
8. | SHARED DISPOSITIVE POWER 341,658 shares of Common Stock | |||||||||||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 341,658 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) 1.06%** | |||||||||||||
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. (See the Joint Filing Agreement between Pfizer and PVUS filed as Exhibit 99.1 hereto.) | |||||
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: | |||||||||||||
| 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 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 16, 2021, by and between Pfizer and PVUS (Incorporated by reference to Exhibit 99.1 to the Schedule 13G filed by and among the Reporting Persons on February 16, 2021). |
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 |