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    SEC Form SC 13G filed by SELLAS Life Sciences Group Inc.

    2/7/24 3:01:47 PM ET
    $SLS
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $SLS alert in real time by email
    SC 13G 1 p24-0661sc13g.htm SELLAS LIFE SCIENCES GROUP, INC.

     

    SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549
     
     
    SCHEDULE 13G
     
     
    Under the Securities Exchange Act of 1934
     
    (Amendment No.  )*
     

    SELLAS Life Sciences Group, Inc.

    (Name of Issuer)
     

    Common Stock, par value $0.0001 per share

    (Title of Class of Securities)
     

    81642T209

    (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 13G is filed:
     
    x Rule 13d-1(b)
    ¨ Rule 13d-1(c)
    ¨ Rule 13d-1(d)
     
    (Page 1 of 6 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 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. 81642T209

    13GPage 2 of 6 Pages

     

    1

    NAMES OF REPORTING PERSONS

    Highbridge Capital Management, LLC

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (a) ¨

    (b) ¨

    3 SEC USE ONLY
    4

    CITIZENSHIP OR PLACE OF ORGANIZATION

    State of Delaware

    NUMBER OF
    SHARES
    BENEFICIALLY
    OWNED BY
    EACH
    REPORTING
    PERSON WITH
    5

    SOLE VOTING POWER

    0

    6

    SHARED VOTING POWER

    2,080,054

    7

    SOLE DISPOSITIVE POWER

    0

    8

    SHARED DISPOSITIVE POWER

    2,080,054

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    2,080,054

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    6.5%

    12

    TYPE OF REPORTING PERSON

    IA, OO

             

     

     

    CUSIP No. 81642T209

    13GPage 3 of 6 Pages

     

    Item 1(a). NAME OF ISSUER:
       
      The name of the issuer is SELLAS Life Sciences Group, Inc. (the “Company”).

     

    Item 1(b). ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
       
      The Company’s principal executive offices are located at 7 Times Square, Suite 2503, New York, NY 10036.

     

    Item 2(a). NAME OF PERSON FILING:

     

      This statement is filed by Highbridge Capital Management, LLC (“Highbridge” or the “Reporting Person”), a Delaware limited liability company and the investment adviser to certain funds and accounts (the “Highbridge Funds”), with respect to the shares of Common Stock (as defined in Item 2(d) below) directly held by the Highbridge Funds.
       
      The filing of this statement should not be construed as an admission that any of the foregoing persons or the Reporting Person is, for the purposes of Section 13 of the Act, the beneficial owner of the shares of Common Stock reported herein.  

     

    Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

     

     

    The address of the business office of Reporting Person is 277 Park Avenue, 23rd Floor,

    New York, New York 10172.

     

    Item 2(c). CITIZENSHIP:

     

      Highbridge is a Delaware limited liability company.  

     

    Item 2(d). TITLE OF CLASS OF SECURITIES:
       
      Common Stock, par value $0.0001 per share (the “Common Stock”).

     

    Item 2(e). CUSIP NUMBER:
       
      81642T209

     

    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,

     

     

    CUSIP No. 81642T209

    13GPage 4 of 6 Pages

     

      (e) x An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E),
      (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
      (g) ¨ Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
      (h) ¨ 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. OWNERSHIP:
       
      The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page of the Reporting Person and is incorporated herein by reference.
       
     

    The percentage set forth herein is calculated based upon 32,062,258 shares of Common Stock outstanding as of November 8, 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. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
       
      Not applicable.

     

    Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
       
      See Item 2.  The Highbridge Funds have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock reported herein. Highbridge Tactical Credit Master Fund, L.P. , a Highbridge Fund, has the right to receive or the power to direct the receipt of dividends or the proceeds from the sale of more than 5% of the shares of Common Stock.

     

     

    CUSIP No. 81642T209

    13GPage 5 of 6 Pages

     

    Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING 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:

     

      The Reporting Person hereby makes the following certification:
       
      By signing below the Reporting Person certifies that, to the best of its knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

     

    CUSIP No. 81642T209

    13GPage 6 of 6 Pages

    SIGNATURES

    After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

     

    DATED:  February 7, 2024  
       
      HIGHBRIDGE CAPITAL MANAGEMENT, LLC
         
         
      By: /s/ Kirk Rule
      Name: Kirk Rule
      Title: Executive Director
         

     

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