• Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI SuperconnectorNEW
  • Settings
  • RSS Feeds
Quantisnow Logo
  • Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • AI SuperconnectorNEW
  • Settings
  • RSS Feeds
PublishGo to AppAI Superconnector
    Quantisnow Logo

    © 2025 quantisnow.com
    Democratizing insights since 2022

    Services
    Live news feedsRSS FeedsAlertsPublish with Us
    Company
    AboutQuantisnow PlusContactJobsAI superconnector for talent & startupsNEW
    Legal
    Terms of usePrivacy policyCookie policy

    SEC Form SC 13G/A filed

    2/16/21 9:46:50 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $COCP alert in real time by email
    SC 13G/A 1 tm216476d11_sc13ga.htm SC 13G/A

     

     

    CUSIP No: 19188J300

     

    SECURITIES AND EXCHANGE COMMISSION 

    Washington, D.C. 20549

     

     

     

    SCHEDULE 13G

     

    (Rule 13d-102)

     

    INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT 

    TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED 

    PURSUANT TO § 240.13d-2.

     

    (Amendment No. 1)*

     

    Cocrystal Pharma, Inc. 

    (Name of Issuer)

     

    Common Stock, $0.001 par value per share 

    (Title of Class of Securities)

     

    19188J300 

    (CUSIP Number)

     

    December 31, 2020 

    (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)

     

     

     

    *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 purposes 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: 19188J300

     

    (1) NAMES OF REPORTING PERSONS
     
      CVI Investments, Inc.
     
    (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
      (SEE INSTRUCTIONS)
      (a)       ¨
      (b)       ¨
     
    (3) SEC USE ONLY
     
    (4) CITIZENSHIP OR PLACE OF ORGANIZATION
     
      Cayman Islands

     

    NUMBER OF  (5) SOLE VOTING POWER
          
    SHARES    0
          
    BENEFICIALLY  (6) SHARED VOTING POWER **
          
        0
    OWNED BY     
          
    EACH  (7) SOLE DISPOSITIVE POWER
          
    REPORTING    0
          
    PERSON WITH   (8) SHARED DISPOSITIVE POWER **
          
         0

     

    (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
     
        0
       
    (10) CHECK BOX IF THE AGGREGATE AMOUNT
      IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
      ¨
    (11) PERCENT OF CLASS REPRESENTED
      BY AMOUNT IN ROW (9)
     
        0%
       
    (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
      CO

     

    ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares.

     

     

     

    CUSIP No: 19188J300

     

    (1) NAMES OF REPORTING PERSONS
     
      Heights Capital Management, Inc.
       
    (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
      (SEE INSTRUCTIONS)
      (a)       ¨
      (b)       ¨
       
    (3) SEC USE ONLY
     
    (4) CITIZENSHIP OR PLACE OF ORGANIZATION
     
      Delaware

     

    NUMBER OF   (5) SOLE VOTING POWER
     
    SHARES     0
     
    BENEFICIALLY   (6) SHARED VOTING POWER **
     
    OWNED BY     0
         

     

    EACH   (7) SOLE DISPOSITIVE POWER
     
    REPORTING     0
         
     
    PERSON WITH   (8) SHARED DISPOSITIVE POWER **
     
          0

     

    (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
     
        0
         
     
    (10) CHECK BOX IF THE AGGREGATE AMOUNT
      IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
      ¨
       
       
    (11) PERCENT OF CLASS REPRESENTED
      BY AMOUNT IN ROW (9)
     
        0%
         
    (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
      CO

     

    ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares.

     

     

     

     

    CUSIP No: 19188J300

     

    Item 1.

     

    (a)Name of Issuer

     

    Cocrystal Pharma, Inc. (the “Company”)

     

    (b)Address of Issuer’s Principal Executive Offices

     

    19805 N. Creek Pkwy., Bothell, WA 98011

     

    Item 2(a).Name of Person Filing

     

    This statement is filed by the entities listed below, who are collectively referred to herein as “Reporting Persons,” with respect to the shares of common stock of the Company, $0.001 par value per share (the “Shares”).

     

    (i)CVI Investments, Inc.

     

    (ii)Heights Capital Management, Inc.

     

    Item 2(b).Address of Principal Business Office or, if none, Residence

     

    The address of the principal business office of CVI Investments, Inc. is:

     

    P.O. Box 309GT

    Ugland House

    South Church Street

    George Town

    Grand Cayman

    KY1-1104

    Cayman Islands

     

    The address of the principal business office of Heights Capital Management, Inc. is:

     

    101 California Street, Suite 3250 

    San Francisco, California 94111

     

    Item 2(c).Citizenship

     

    Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.

     

    Item 2(d)Title of Class of Securities

     

    Common stock, $0.001 par value per share

     

    Item 2(e)CUSIP Number

     

    19188J300

     

     

     

    CUSIP No: 19188J300

     

    Item 3.If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

     

    (a)¨ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).

     

    (b)¨ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

     

    (c)¨ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

     

    (d)¨ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

     

    (e)¨ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

     

    (f)¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

     

    (g)¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

     

    (h)¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

     

    (i)¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

     

    (j)¨ A non-U.S. institution in accordance with §240.13d-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 §240.13d-1(b)(1)(ii)(J), please specify the type of institution: ________________

     

    Item 4.Ownership

     

    Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

     

    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.

     

    Heights Capital Management, Inc., which serves as the investment manager to CVI Investments, Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments, Inc. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein.

     

    Item 5.Ownership of Five Percent or Less of a Class

     

    If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: x

     

    Item 6.Ownership of More than Five Percent on Behalf of Another Person

     

    Not applicable.

     

    Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

     

    Not applicable.

     

     

     

     

    CUSIP No: 19188J300

     

    Item 8.Identification and Classification of Members of the Group

     

    Not applicable.

     

    Item 9.Notice of Dissolution of Group

     

    Not applicable.

     

    Item 10.Certification

     

    By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held 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: 19188J300

     

    SIGNATURES

     

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

     

    Dated: February 10, 2021    
         
    CVI INVESTMENTS, INC.   HEIGHTS CAPITAL MANAGEMENT, INC.
         
    By: Heights Capital Management, Inc.   By: /s/ Brian Sopinsky
    pursuant to a Limited Power of   Name: Brian Sopinsky
    Attorney, a copy of which was   Title: Secretary
    previously filed      
       
    By: /s/ Brian Sopinsky    
    Name: Brian Sopinsky    
    Title: Secretsary    
             

     

     

    CUSIP No: 19188J300

     

    EXHIBIT INDEX

     

    EXHIBIT   DESCRIPTION
    I   Limited Power of Attorney*
    II   Joint Filing Agreement*

     

    *Previously filed

     

     

     

    Get the next $COCP alert in real time by email

    Crush Q3 2025 with the Best AI Superconnector

    Stay ahead of the competition with Standout.work - your AI-powered talent-to-startup matching platform.

    AI-Powered Inbox
    Context-aware email replies
    Strategic Decision Support
    Get Started with Standout.work

    Recent Analyst Ratings for
    $COCP

    DatePrice TargetRatingAnalyst
    More analyst ratings

    $COCP
    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

    View All

    Director Kornberg Roger D. was granted 28,109 shares (SEC Form 4)

    4 - Cocrystal Pharma, Inc. (0001412486) (Issuer)

    10/11/24 4:06:02 PM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Director Frost Phillip Md Et Al was granted 27,100 shares (SEC Form 4)

    4 - Cocrystal Pharma, Inc. (0001412486) (Issuer)

    10/11/24 4:06:00 PM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    President and Co-CEO Lee Sam was granted 40,000 shares, increasing direct ownership by 110% to 76,355 units (SEC Form 4)

    4 - Cocrystal Pharma, Inc. (0001412486) (Issuer)

    10/11/24 4:05:57 PM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    $COCP
    Press Releases

    Fastest customizable press release news feed in the world

    View All

    Cocrystal Pharma Receives FDA IND Clearance for Challenge Study of Oral Broad-Spectrum Protease Inhibitor CDI-988, a Potential First Antiviral for Norovirus Prevention and Treatment

    There are currently no approved vaccines or treatments for norovirus infectionCocrystal's CDI-988 is the first antiviral for the potential prevention and treatment of viral gastroenteritis caused by norovirus infections Phase 1b study is expected to start by year-end 2025 BOTHELL, Wash., Sept. 08, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") announces that the Company received a Study May Proceed Letter from the U.S. Food and Drug Administration (FDA) to conduct a Phase 1b challenge study evaluating CDI-988 for the prevention and treatment of norovirus infections. Cocrystal's oral broad-spectrum antiviral candidate CDI-988 represents a poten

    9/8/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma to Participate at the H.C. Wainwright Global Investment Conference

    BOTHELL, Wash., Sept. 03, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") announces that James Martin, CFO and co-CEO, will present a company overview at the H.C. Wainwright 27th Annual Global Investment Conference on Tuesday, September 9, 2025 at 12:00 p.m. Eastern time. Mr. Martin will be available throughout the conference for in-person and virtual one-on-one meetings. Institutional investors and industry professionals can register to attend the conference virtually or in-person at the Lotte New York Palace Hotel. The Cocrystal Pharma presentation is posted to the Company website here. About Cocrystal Pharma, Inc.Cocrystal Pharma, Inc. is a

    9/3/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Reports Second Quarter 2025 Financial Results and Provides Updates on its Antiviral Drug-Development Programs

    Favorable CDI-988 Phase 1 safety and tolerability reported Challenge study with CDI-988 as a norovirus preventive and treatment planned later this year BOTHELL, Wash., Aug. 14, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") reports financial results for the three and six months ended June 30, 2025, and provides updates on its antiviral product pipeline, upcoming milestones and business activities. "Preparations are underway for a Phase 1b norovirus challenge study to evaluate our potent, oral antiviral candidate CDI-988 as a prophylaxis and treatment," said Sam Lee, Ph.D., Cocrystal's President and co-CEO. "We are encouraged by the favorable

    8/14/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    $COCP
    SEC Filings

    View All

    SEC Form 10-Q filed by Cocrystal Pharma Inc.

    10-Q - Cocrystal Pharma, Inc. (0001412486) (Filer)

    8/14/25 8:01:10 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Inc. filed SEC Form 8-K: Results of Operations and Financial Condition, Financial Statements and Exhibits

    8-K - Cocrystal Pharma, Inc. (0001412486) (Filer)

    8/14/25 8:00:38 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Inc. filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits

    8-K - Cocrystal Pharma, Inc. (0001412486) (Filer)

    8/5/25 8:31:25 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    $COCP
    Leadership Updates

    Live Leadership Updates

    View All

    Cocrystal Pharma Appoints Pharma Industry Veteran Fred Hassan to its Board of Directors

    BOTHELL, Wash., April 24, 2023 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) (Cocrystal or the Company) announces the appointment of Fred Hassan to its Board of Directors, increasing its Board membership to six. Mr. Hassan's distinguished 40-year career includes serving in senior executive and director positions at global pharmaceutical companies and leading investment firms. Earlier this month, Cocrystal announced Mr. Hassan's $2 million investment in the Company through an at-the-market private placement. "It's an honor to attract such a highly accomplished industry veteran to our Board," said Roger Kornberg, PhD, Cocrystal Chairman, Chief Scientist and Chairman of the Scient

    4/24/23 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Announces the Passing of Chairman, CEO and Co-founder Dr. Gary Wilcox

    BOTHELL, Wash., May 28, 2021 (GLOBE NEWSWIRE) -- With great sadness, Cocrystal Pharma, Inc. (NASDAQ:COCP), ("Cocrystal" or the "Company") announces that Gary Wilcox, Ph.D., Chairman, CEO and co-founder, suddenly passed away Wednesday, May 26 at the age of 74. The Board of Directors and staff of Cocrystal extend their deepest condolences to the Wilcox family and express their gratitude for Gary's contributions to Cocrystal and to human health. The Cocrystal Board of Directors has designated Sam Lee, Ph.D., President, and James Martin, CFO, to share the CEO responsibilities while seeking a successor for the position. Roger Kornberg, Ph.D., Cocrystal co-founder, Chief Scientist, Director and

    5/28/21 8:00:00 AM ET
    $OPK
    $ASXC
    $GPX
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Medical/Dental Instruments
    Other Consumer Services

    $COCP
    Financials

    Live finance-specific insights

    View All

    Cocrystal Pharma Reports Second Quarter 2025 Financial Results and Provides Updates on its Antiviral Drug-Development Programs

    Favorable CDI-988 Phase 1 safety and tolerability reported Challenge study with CDI-988 as a norovirus preventive and treatment planned later this year BOTHELL, Wash., Aug. 14, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") reports financial results for the three and six months ended June 30, 2025, and provides updates on its antiviral product pipeline, upcoming milestones and business activities. "Preparations are underway for a Phase 1b norovirus challenge study to evaluate our potent, oral antiviral candidate CDI-988 as a prophylaxis and treatment," said Sam Lee, Ph.D., Cocrystal's President and co-CEO. "We are encouraged by the favorable

    8/14/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Reports First Quarter 2025 Financial Results and Provides Updates on its Antiviral Drug-Development Programs

    In vitro testing with CDI-988 demonstrated superior broad-spectrum antiviral activity against major norovirus variants BOTHELL, Wash., May 15, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") reports financial results for the three months ended March 31, 2025, and provides updates on its antiviral product pipeline, upcoming milestones and business activities. "Our oral pan-viral protease inhibitor CDI-988 is a potential breakthrough first-in-class treatment and prophylaxis for norovirus, a debilitating gastrointestinal infection that strikes millions globally each year," said Sam Lee, Ph.D., President and co-CEO of Cocrystal. "By precisely targ

    5/15/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    Cocrystal Pharma Reports 2024 Financial Results and Provides Updates on its Antiviral Drug-Development Programs

    BOTHELL, Wash., March 31, 2025 (GLOBE NEWSWIRE) -- Cocrystal Pharma, Inc. (NASDAQ:COCP) ("Cocrystal" or the "Company") reports financial results for the 12 months ended December 31, 2024, and provides updates on its antiviral product pipeline, upcoming milestones and business activities. "Our novel, potent antiviral compounds for norovirus, influenza and coronavirus address critical gaps in global health where effective treatments or vaccines are currently lacking," said Sam Lee, Ph.D., President and co-CEO of Cocrystal. "We plan to initiate a norovirus human challenge study in the U.S. later this year to evaluate our pan-viral protease inhibitor CDI-988 for the potential treatment and pr

    3/31/25 8:00:00 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    $COCP
    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

    View All

    SEC Form SC 13G/A filed by Cocrystal Pharma Inc. (Amendment)

    SC 13G/A - Cocrystal Pharma, Inc. (0001412486) (Subject)

    1/2/24 9:53:56 AM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    SEC Form SC 13D/A filed by Cocrystal Pharma Inc. (Amendment)

    SC 13D/A - Cocrystal Pharma, Inc. (0001412486) (Subject)

    4/14/23 4:01:17 PM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care

    SEC Form SC 13G filed by Cocrystal Pharma Inc.

    SC 13G - Cocrystal Pharma, Inc. (0001412486) (Subject)

    4/12/23 4:09:56 PM ET
    $COCP
    Biotechnology: Pharmaceutical Preparations
    Health Care