Tetragon Financial Amends Autolus Therapeutics Stake

Ticker: AUTL · Form: SC 13G/A · Filed: 2024-01-31T00:00:00.000Z

Sentiment: neutral

Topics: institutional-ownership, amendment, biotechnology, investor-update

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

FAQ

What type of filing is this document?

This document is an SC 13G/A, which is an amendment to a Schedule 13G filing under the Securities Exchange Act of 1934.

Who is the subject company of this filing?

The subject company is Autolus Therapeutics plc, with a Central Index Key (CIK) of 0001730463.

Who are the reporting persons in this filing?

The primary reporting person is Tetragon Financial Management LP (CIK: 0001758892), and its group members include Patrick G. G. Dear, Reade E. Griffith, and Tetragon Financial Group Ltd.

What is the date of the event that required this filing?

The date of the event which required the filing of this statement is December 31, 2023.

What is the title of the class of securities being reported?

The title of the class of securities is Ordinary shares, nominal value $0.000042 per share, of Autolus Therapeutics plc.

From the Filing

0000902664-24-000837.txt : 20240131 0000902664-24-000837.hdr.sgml : 20240131 20240131161013 ACCESSION NUMBER: 0000902664-24-000837 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240131 DATE AS OF CHANGE: 20240131 GROUP MEMBERS: PATRICK G. G. DEAR GROUP MEMBERS: READE E. GRIFFITH GROUP MEMBERS: TETRAGON FINANCIAL GROUP LTD GROUP MEMBERS: TETRAGON FINANCIAL MANAGEMENT L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Autolus Therapeutics plc CENTRAL INDEX KEY: 0001730463 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-90550 FILM NUMBER: 24582981 BUSINESS ADDRESS: STREET 1: THE MEDIAWORKS STREET 2: 191 WOOD LANE CITY: LONDON STATE: X0 ZIP: W12 7FP BUSINESS PHONE: 44 20 3829 6230 MAIL ADDRESS: STREET 1: THE MEDIAWORKS STREET 2: 191 WOOD LANE CITY: LONDON STATE: X0 ZIP: W12 7FP FORMER COMPANY: FORMER CONFORMED NAME: Autolus Therapeutics Ltd DATE OF NAME CHANGE: 20180205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Tetragon Financial Management LP CENTRAL INDEX KEY: 0001758892 ORGANIZATION NAME: IRS NUMBER: 203311552 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 359-7300 MAIL ADDRESS: STREET 1: 399 PARK AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 p24-0102sc13ga.htm AUTOLUS THERAPEUTICS PLC SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Autolus Therapeutics plc (Name of Issuer) Ordinary shares, nominal value $0.000042 per share (Title of Class of Securities) 05280R100** (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Rule 13d-1(b) x Rule 13d-1(c) ¨ Rule 13d-1(d) (Page 1 of 9 Pages) ______________________________ *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. ** The Ordinary Shares have no CUSIP number. The CUSIP number for the Company’s American Depositary Shares, each representing one Ordinary Share, is 05280R100. The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 05280R100 13G/A Page 2 of 9 Pages 1 NAME OF REPORTING PERSON Tetragon Financial Group Limited 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Guernsey NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 8,000,000 Ordinary Shares (represented by 8,000,000 ADSs) 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 8,000,000 Ordinary Shares (represented by 8,000,000 ADSs) 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,000,000 Ordinary Shares (represented by 8,000,000 ADSs) 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.6% 12 TYPE OF REPORTING PERSON OO CUSIP No. 05280R100 13G/A Page 3 of 9 Pages 1 NAME OF REPORTING PERSON Tetragon Financial Management L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) ¨ 3 SEC USE ONLY 4 C

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