Carlyle Group Inc. Amends Filing for eFFECTOR Therapeutics Stake

TL;DR

Carlyle Group just updated their stake in eFFECTOR Therapeutics. Watch this space.

AI Summary

On May 13, 2024, Carlyle Group Inc. filed an SC 13D/A amendment regarding its holdings in eFFECTOR Therapeutics, Inc. The filing indicates a change in beneficial ownership, with Carlyle Group Inc. now holding a significant stake in the company. This amendment is a routine update to disclose changes in their investment position.

Why It Matters

This filing signals a potential shift in the ownership structure of eFFECTOR Therapeutics, Inc., which could impact its strategic direction and future operations.

Risk Assessment

Risk Level: medium — Changes in significant shareholder filings can indicate shifts in company strategy or potential future actions, requiring careful monitoring.

Key Players & Entities

• Carlyle Group Inc. (company) — Filing entity
• eFFECTOR Therapeutics, Inc. (company) — Subject company
• 142 NORTH CEDROS AVENUE, SUITE B (address) — eFFECTOR Therapeutics, Inc. business address
• 1001 PENNSYLVANIA AVENUE, N.W. (address) — Carlyle Group Inc. business address

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• d821369dsc13da.htm (SC 13D/A) — 174KB
• d821369dex994.htm (EX-99.4) — 11KB
• 0001193125-24-137200.txt ( ) — 188KB

of the Schedule 13D is hereby amended and restated in its entirety as follows

Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows: (a) (b) The following sets forth, as of the date of this Schedule 13D, the aggregate number of shares of Common Stock and percentage of Common Stock beneficially owned by each of the Reporting Persons, as well as the number of shares of Common Stock as to which each Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition of, or shared power to dispose or to direct the disposition of, as of the date hereof, based on 4,704,409 shares of Common Stock outstanding as of April 30, 2024, as disclosed in the Issuers quarterly report on Form 10-Q filed on May 9, 2024. The amount of Common Stock reported herein reflects a 1-for-25 reverse stock split effected by the Issuer on January 9, 2024. Reporting Person Amount beneficially owned Percent of class Sole power to vote or to direct the vote Shared power to vote or to direct the vote Sole power to dispose or to direct the disposition Shared power to dispose or to direct the disposition The Carlyle Group Inc. 193,195 4.1 % 0 193,195 0 193,195 Carlyle Holdings I GP Inc. 193,195 4.1 % 0 193,195 0 193,195 Carlyle Holdings I GP Sub L.L.C. 193,195 4.1 % 0 193,195 0 193,195 Carlyle Holdings I L.P. 193,195 4.1 % 0 193,195 0 193,195 CG Subsidiary Holdings L.L.C. 193,195 4.1 % 0 193,195 0 193,195 TC Group, L.L.C. 193,195 4.1 % 0 193,195 0 193,195 Carlyle Investment Management L.L.C. 193,195 4.1 % 0 193,195 0 193,195 Carlyle Genesis UK LLC 193,195 4.1 % 0 193,195 0 193,195 Abingworth LLP 193,195 4.1 % 0 193,195 0 193,195 Abingworth Bioventures VI LP 193,195 4.1 % 0 193,195 0 193,195 Includes (i) 192,884 shares of Common Stock held of record by Abingworth Bioventures VI LP and (ii) 311 share

of the Schedule 13D is hereby amended and supplemented as follows

Item 7 of the Schedule 13D is hereby amended and supplemented as follows: Exhibit Number Description 4 Power of Attorney. CUSIP No. 28202V108 13D Page 14 of 15 pages

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date : May 13, 2024 The Carlyle Group Inc. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Chief Financial Officer Carlyle Holdings I GP Inc. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Managing Director and Chief Financial Officer Carlyle Holdings I GP Sub L.L.C. By: Carlyle Holdings I GP Inc., its sole member By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Managing Director and Chief Financial Officer Carlyle Holdings I L.P. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Managing Director CG Subsidiary Holdings L.L.C. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Managing Director TC Group, L.L.C. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Managing Director CUSIP No. 28202V108 13D Page 15 of 15 pages Carlyle Investment Management L.L.C. By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Chief Financial Officer Carlyle Genesis UK LLC By: Carlyle Investment Management L.L.C., its sole member By: /s/ Anne Frederick, attorney-in-fact Name: John C. Redett Title: Chief Financial Officer Abingworth LLP By: /s/ John Heard Name: John Heard Title: Authorized Signatory Abingworth Bioventures VI LP By: /s/ John Heard Name: John Heard Title: Authorized Signatory Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

View Full Filing

View this SC 13D/A filing on SEC EDGAR