Tetragon Financial Amends Autolus Therapeutics Stake

TL;DR

**Tetragon Financial just updated its stake in Autolus Therapeutics, watch for market reaction.**

AI Summary

Tetragon Financial Management LP, along with its group members Patrick G. G. Dear and Reade E. Griffith, filed an amended SC 13G/A on January 31, 2024, indicating their ownership of Autolus Therapeutics plc ordinary shares as of December 31, 2023. This filing is an amendment, suggesting a change in their previously reported ownership stake. For investors, this matters because significant changes in institutional ownership can signal shifts in confidence or strategy regarding Autolus Therapeutics, a company in the biological products sector.

Why It Matters

Changes in institutional ownership can influence stock price and reflect a major investor's updated view on a company's prospects.

Risk Assessment

Risk Level: low — This filing is a routine update on institutional ownership and does not inherently present a high risk.

Analyst Insight

Investors should monitor subsequent filings from Tetragon Financial Management LP for further changes in their stake, as well as Autolus Therapeutics' performance, to understand the implications of this institutional ownership update.

Key Players & Entities

• Tetragon Financial Management LP (company) — filing party and institutional investor
• Autolus Therapeutics plc (company) — subject company whose shares are being reported
• Patrick G. G. Dear (person) — group member of Tetragon Financial Management LP
• Reade E. Griffith (person) — group member of Tetragon Financial Management LP
• Tetragon Financial Group Ltd (company) — group member of Tetragon Financial Management LP

FAQ

Key Financial Figures

• $0.000042 — ssuer) Ordinary shares, nominal value $0.000042 per share (Title of Class of Securitie

Filing Documents

• p24-0102sc13ga.htm (SC 13G/A) — 84KB
• 0000902664-24-000837.txt ( ) — 86KB

(a)

Item 1(a). NAME OF ISSUER: The name of the issuer is Autolus Therapeutics plc (the " Company ").

(b)

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: The Company's principal executive offices are located at The Mediaworks, 191 Wood Lane, London W12 7FP United Kingdom.

(a)

Item 2(a). NAME OF PERSON FILING: This statement is filed by: (i) Tetragon Financial Group Limited (" Tetragon "), a Guernsey company, with respect to the Shares (as defined in Item 2(d)) represented by American Depositary Shares (" ADSs ") directly and beneficially owned by it; (ii) Tetragon Financial Management L.P. (" Tetragon Manager "), a Delaware limited partnership, as the investment manager of Tetragon, with respect to the Shares represented by ADSs directly and beneficially owned by Tetragon; (iii) Patrick G. G. Dear (" Mr. Dear "), as principal to Tetragon Manager, with respect to the Shares represented by ADSs directly and beneficially owned by Tetragon; and (iv) Reade E. Griffith (" Mr. Griffith "), as principal to Tetragon Manager, with respect to the Shares represented by ADSs directly and beneficially owned by Tetragon. The foregoing persons are hereinafter sometimes collectively referred to as the " Reporting Persons ." The filing of this statement should not be construed as an admission that any of the foregoing persons or any Reporting Person is, for the purposes of Section 13 of the Act, the beneficial owner of the Shares represented by ADSs reported herein.

(b)

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal office of each of Tetragon, Mr. Dear and Mr. Griffith is c/o TFG Asset Management UK LLP, 4 Sloane Terrace, London SW1X 9DQ, United Kingdom. The address of the principal office of Tetragon Manager is 399 Park Avenue, 22nd Floor, New York, New York 10022.

(c)

Item 2(c). CITIZENSHIP: Tetragon is a company organized under the laws of Guernsey. Tetragon Manager is a Delaware limited partnership. Messrs. Dear and Griffith are citizens of the United Kingdom.

(d)

Item 2(d). TITLE OF CLASS OF SECURITIES: Ordinary shares, nominal value $0.000042 per share (the " Shares "). CUSIP No. 05280R100 13G/A Page 7 of 9 Pages

(e)

Item 2(e). CUSIP NUMBER: The Ordinary Shares have no CUSIP number. The CUSIP number for the Company's American Depositary Shares, each representing one Ordinary Share, is 05280R100. Item 3. IF THIS STATEMENT IS FILED PURSUANT TO Rules 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) ¨ Broker or dealer registered under Section 15 of the Act; (b) ¨ Bank as defined in Section 3(a)(6) of the Act; (c) ¨ Insurance company as defined in Section 3(a)(19) of the Act; (d) ¨ Investment company registered under Section 8 of the Investment Company Act of 1940; (e) x An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) ¨ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) ¨ A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) ¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: ________________________________ Item 4. 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. The percentages used in this Schedule 13G/A are calculated based upon 173,989,157 Shares outstanding as of November 9, 2023, as reported in the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023, filed with the Securities and Exchange Commission on November 9, 2023. Item 5.

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. DATE: January 31, 2024 TETRAGON FINANCIAL GROUP LIMITED By: /s/ Reade E. Griffith Name: Reade E. Griffith Title: Authorized Signatory TETRAGON FINANCIAL MANAGEMENT L.P. By: /s/ Reade E. Griffith Name: Reade E. Griffith Title: Authorized Signatory /s/ Patrick G.G. Dear PATRICK G.G. DEAR /s/ Reade E. Griffith READE E. GRIFFITH

View Full Filing

View this SC 13G/A filing on SEC EDGAR