SEC Form SC 13G/A filed by DBV Technologies S.A. (Amendment)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
DBV Technologies S.A.
(Name of Issuer)
Ordinary shares, €0.10 nominal value per share
(Title of Class of Securities)
23306J101 (American Depositary Shares, each representing one-half of one Ordinary Share)
(CUSIP Number)
December 31, 2021
(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 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).
Page 2 of 9
CUSIP No. 23306J101
| 1 |
Name of reporting persons.
Boxer Capital, LLC | |||||
| 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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
1,067,299* | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,067,299* | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,067,299* | |||||
| 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).
1.9%** | |||||
| 12 | Type of reporting person
OO | |||||
| * | Comprised of ordinary shares held through American Depository Shares, each of which represents one-half of an ordinary share. |
| ** | Based on 55,011,687 ordinary shares outstanding as of October 26, 2021, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission (“SEC”) on October 26, 2021. |
Page 3 of 9
CUSIP No. 23306J101
| 1 |
Name of reporting persons.
Boxer Asset 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.
Bahamas | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
1,067,299* | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,067,299* | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,067,299* | |||||
| 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).
1.9%** | |||||
| 12 | Type of reporting person
CO | |||||
| * | Comprised of ordinary shares held through American Depository Shares, each of which represents one-half of an ordinary share. |
| ** | Based on 55,011,687 ordinary shares outstanding as of October 26, 2021, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on October 26, 2021. |
Page 4 of 9
CUSIP No. 23306J101
| 1 |
Name of reporting persons.
Joe Lewis | |||||
| 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.
United Kingdom | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
1,067,299* | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 8 | Shared dispositive power.
1,067,299* | |||||
| 9 |
Aggregate amount beneficially owned by each reporting person.
1,067,299* | |||||
| 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).
1.9%** | |||||
| 12 | Type of reporting person
IN | |||||
| * | Comprised of ordinary shares held through American Depository Shares, each of which represents one-half of an ordinary share. |
| ** | Based on 55,011,687 ordinary shares outstanding as of October 26, 2021, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the SEC on October 26, 2021. |
Page 5 of 9
CUSIP No. 23306J101
| 1 |
Name of reporting persons.
MVA Investors, LLC | |||||
| 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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
-0- | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 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).
0.0% | |||||
| 12 | Type of reporting person
OO | |||||
Page 6 of 9
CUSIP No. 23306J101
| 1 |
Name of reporting persons.
Aaron I. Davis | |||||
| 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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | Sole voting power.
-0- | ||||
| 6 | Shared voting power.
-0- | |||||
| 7 | Sole dispositive power.
-0- | |||||
| 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).
0.0% | |||||
| 12 | Type of reporting person
IN | |||||
Page 7 of 9
This Amendment No. 5 (“Amendment No. 5”) amends and supplements the statement on Schedule 13G initially filed on December 20, 2018 (the “Original Filing”) by Boxer Capital, LLC (“Boxer Capital”), Boxer Asset Management Inc. (“Boxer Management”) and Joe Lewis, as amended by Amendment No. 1 filed on February 14, 2019 by Boxer Capital, Boxer Management and Joe Lewis, Amendment No. 2 filed on October 11, 2019 by Boxer Capital, Boxer Management, Joe Lewis and MVA Investors, LLC (“MVA Investors”), Amendment No. 3 filed on February 14, 2020 by Boxer Capital, Boxer Management, Joe Lewis, MVA Investors and Aaron Davis (collectively, the “Reporting Persons”) and Amendment No. 4 filed on February 16, 2021 by the Reporting Persons. The Original Filing, as amended, remains in effect except to the extent that it is amended, restated or superseded by information contained in this Amendment No. 5. Capitalized terms used and not defined in this Amendment No. 5 have the meanings set forth in the Original Filing, as amended.
Item 4. Ownership.
(a) Amount beneficially owned:
Boxer Capital, Boxer Management and Joe Lewis beneficially own 1,067,299 Ordinary Shares, held through 2,134,598 ADS. MVA Investors and Aaron Davis do not beneficially own any Ordinary Shares.
(b) Percent of class:
The number of Ordinary Shares beneficially owned by Boxer Capital, Boxer Management and Joe Lewis represents 1.9% of the Issuer’s outstanding Ordinary Shares based on 55,011,687 Ordinary Shares outstanding as of October 26, 2021, as reported by the Issuer in its Quarterly Report on Form 10-Q filed with SEC on October 26, 2021.
(c) Number of Ordinary Shares as to which such person has:
| (i) | Sole power to vote or to direct the vote: |
None of the Reporting Persons has sole power to vote or to direct the vote of Ordinary Shares.
| (ii) | Shared power to vote or to direct the vote: |
Boxer Capital, Boxer Management and Joe Lewis have shared power to vote or to direct the vote of the 1,067,299 Ordinary Shares they beneficially own.
| (iii) | Sole power to dispose or to direct the disposition of: |
None of the Reporting Persons has sole power to dispose or to direct the disposition of any Ordinary Shares.
| (iv) | Shared power to dispose or to direct the disposition of: |
Boxer Capital, Boxer Management and Joe Lewis have shared power to dispose or to direct the disposition of the 1,067,299 Ordinary Shares they beneficially own.
Item 5. Ownership of Five Percent or Less of a Class.
With respect to each Reporting Person:
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 5 percent of the class of securities, check the following ☒.
Page 8 of 9
Item 10. Certification.
(c) By signing below I certify that, to the best of my 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, other than activities solely in connection with a nomination under § 240.14a-11.
Exhibits
| 1 | Joint Filing Agreement, dated February 14, 2020, among the Reporting Persons, incorporated by reference to Exhibit 1 to the Schedule 13G filed by the Reporting Persons on February 14, 2020. |
SIGNATURE
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.
February 14, 2022
| BOXER CAPITAL, LLC | ||
| By: | /s/ Aaron I. Davis | |
| Name: | Aaron I. Davis | |
| Title: | Chief Executive Officer | |
| BOXER ASSET MANAGEMENT INC. | ||
| By: | /s/ Jason Callender | |
| Name: | Jason Callender | |
| Title: | Director | |
| JOSEPH C. LEWIS | ||
| /s/ Joseph C. Lewis | ||
| Joseph C. Lewis, Individually | ||
| MVA INVESTORS, LLC | ||
| By: | /s/ Aaron I. Davis | |
| Name: | Aaron I. Davis | |
| Title: | Authorized Signatory | |
| AARON I. DAVIS | ||
| /s/ Aaron I. Davis | ||
| Aaron I. Davis, Individually | ||