Carlyle Group Inc. Files SC 13D/A Amendment

TL;DR

Carlyle Group Inc. just updated its filing on Soleno Therapeutics Inc. - watch this space.

AI Summary

On October 10, 2024, Carlyle Group Inc. filed an SC 13D/A amendment, indicating a change in its beneficial ownership of Soleno Therapeutics Inc. The filing details the group members involved in this filing, including various Carlyle entities and Abingworth Bioventures VII LP. The filing pertains to Soleno Therapeutics Inc., formerly known as Capnia, Inc., located in Redwood City, CA.

Why It Matters

This filing signals a potential shift in control or significant influence over Soleno Therapeutics Inc. by Carlyle Group Inc. and its affiliates, which could impact the company's strategic direction and stock performance.

Risk Assessment

Risk Level: medium — Changes in beneficial ownership filings can precede significant corporate actions or shifts in strategy, introducing uncertainty.

Key Players & Entities

• Carlyle Group Inc. (company) — Filer of the SC 13D/A amendment
• Soleno Therapeutics Inc. (company) — Subject company of the filing
• Abingworth Bioventures VII LP (company) — Group member in the filing
• Capnia, Inc. (company) — Former name of Soleno Therapeutics Inc.

FAQ

Key Financial Figures

• $0.001 — me of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securiti
• $49.39 — October 7, 2024 22,096 $ 48.03 to $49.39 $ 48.7289 October 8, 2024 827,801
• $58.10 — October 8, 2024 827,801 $ 50.54 to $58.10 $ 53.6679 (d) None. (e) Not appl

Filing Documents

• d799769dsc13da.htm (SC 13D/A) — 181KB
• 0001193125-24-235950.txt ( ) — 183KB

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 40,108,265 shares of Common Stock, which includes (i) 38,871,594 shares of Common Stock outstanding as of August 2, 2024, as disclosed in the Issuers quarterly report on Form 10-Q filed on August 7, 2024, (ii) 22,913 shares of Common Stock underlying stock options exercisable within 60 days as of the date hereof and (iii) 1,213,758 shares of Common Stock underlying the Prefunded Warrants, all of which are currently exercisable. 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. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Carlyle Holdings I GP Inc. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Carlyle Holdings I GP Sub L.L.C. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Carlyle Holdings I L.P. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 CG Subsidiary Holdings L.L.C. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 TC Group, L.L.C. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Carlyle Investment Management L.L.C. 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Carlyle Genesis UK LLC 3,251,078 8.1 % 0 3,251,078 0 3,251,078 Abingworth LLP 3,251,078 8.1 % 0 3

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 : October 10, 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. 834203200 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 VII LP By: /s/ John Heard Name: John Heard Title: Authorized Signatory

View Full Filing

View this SC 13D/A filing on SEC EDGAR