Sec Form 13G Filing - Apeiron Investment Group Ltd. filing for ATAI Life Sciences N.V. (ATAI) - 2022-02-10

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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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

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No.     )*

 

 

ATAI Life Sciences N.V.

(Name of Issuer)

Common shares

(Title of Class of Securities)

N0731H103

(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)

☐ 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).

 

 

 


Schedule 13G

 

CUSIP No. N0731H103    Page1 of 10

 

  1    

  Names of Reporting Persons

 

  Apeiron Investment Group Ltd.

  2  

  Check the Appropriate Box if a Member of a Group

 

  (a)  ☐        (b)  ☐

 

  3  

  SEC Use Only

 

  4  

  Citizenship or Place of Organization

 

  Malta

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With

   5    

  Sole Voting Power

 

  0

   6  

  Shared Voting Power

 

  32,059,504

   7  

  Sole Dispositive Power

 

  0

   8  

  Shared Dispositive Power

 

  32,059,504

  9    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  32,059,504

10  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11  

  Percent of Class Represented by Amount in Row 9

 

  19.7%

12  

  Type of Reporting Person

 

  CO


Schedule 13G

 

CUSIP No. N0731H103    Page 2 of 10

 

  1    

  Names of Reporting Persons

 

  Apeiron Presight Capital Fund II, L.P.

  2  

  Check the Appropriate Box if a Member of a Group

 

  (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

 

  1,187,104

   7  

  Sole Dispositive Power

 

  0

   8  

  Shared Dispositive Power

 

  1,187,104

  9    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  1,187,104

10  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11  

  Percent of Class Represented by Amount in Row 9

 

  0.7%

12  

  Type of Reporting Person

 

  PN


Schedule 13G

 

CUSIP No. N0731H103    Page 3 of 10

 

  1    

  Names of Reporting Persons

 

  Presight Capital Management I, L.L.C.

  2  

  Check the Appropriate Box if a Member of a Group

 

  (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

 

  1,187,104

   7  

  Sole Dispositive Power

 

  0

   8  

  Shared Dispositive Power

 

  1,187,104

  9    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  1,187,104

10  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11  

  Percent of Class Represented by Amount in Row 9

 

  0.7%

12  

  Type of Reporting Person

 

  OO


Schedule 13G

 

CUSIP No. N0731H103    Page 4 of 10

 

  1    

  Names of Reporting Persons

 

  Fabian Hansen

  2  

  Check the Appropriate Box if a Member of a Group

 

  (a)  ☐        (b)  ☐

 

  3  

  SEC Use Only

 

  4  

  Citizenship or Place of Organization

 

  Federal Republic of Germany

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With

   5    

  Sole Voting Power

 

  0

   6  

  Shared Voting Power

 

  1,187,104

   7  

  Sole Dispositive Power

 

  0

   8  

  Shared Dispositive Power

 

  1,187,104

  9    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  1,187,104

10  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11  

  Percent of Class Represented by Amount in Row 9

 

  0.7%

12  

  Type of Reporting Person

 

  IN


Schedule 13G

 

CUSIP No. N0731H103    Page 5 of 10

 

  1    

  Names of Reporting Persons

 

  Christian Angermayer

  2  

  Check the Appropriate Box if a Member of a Group

 

  (a)  ☐        (b)  ☐

 

  3  

  SEC Use Only

 

  4  

  Citizenship or Place of Organization

 

  Federal Republic of Germany

Number of

Shares

 Beneficially 

Owned by

Each

Reporting

Person

With

   5    

  Sole Voting Power

 

  0

   6  

  Shared Voting Power

 

  32,059,504

   7  

  Sole Dispositive Power

 

  0

   8  

  Shared Dispositive Power

 

  32,059,504

  9    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  32,059,504

10  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11  

  Percent of Class Represented by Amount in Row 9

 

  19.7%

12  

  Type of Reporting Person

 

  IN


Schedule 13G

 

CUSIP No. N0731H103    Page 6 of 10

 

ITEM 1.

(a) Name of Issuer:

ATAI Life Sciences N.V. (the “Issuer”).

 

  (b)

Address of Issuer’s Principal Executive Offices:

ATAI Life Sciences N.V. c/o Mindspace, Krausenstraße 9-10, Berlin, Germany

 

ITEM 2.

(a) Name of Person Filing:

Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.” This statement is filed on behalf of:

Apeiron Investment Group Ltd. (“Apeiron”);

Apeiron Presight Capital Fund II, L.P. (“Presight II”);

Presight Capital Management I, L.L.C. (“Presight Management”);

Fabian Hansen; and

Christian Angermayer.

 

  (b)

Address or Principal Business Office:

The principal business address of each of the Reporting Persons is 66 & 67 Amery Street, SLM1707, Silema, Malta.

 

  (c)

Citizenship of each Reporting Person is:

Presight II and Presight Management are organized under the laws of the state of Delaware. Apeiron is organized under the laws of the Malta. Each of Messrs. Hansen and Angermayer is a German citizen.

 

  (d)

Title of Class of Securities:

Common shares, par value €0.1 per share (“Common Shares”).

 

  (e)

CUSIP Number:

N0731H103

 

ITEM 3.

Not applicable.

 

ITEM 4.

Ownership.

(a-c)


Schedule 13G

 

CUSIP No. N0731H103    Page 7 of 10

 

The ownership information presented below represents beneficial ownership of Common Shares of the Issuer as of December 31, 2021, based upon 160,297,952 shares of Common shares outstanding as of November 1, 2021, based on the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2021.

 

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

of:

    

Shared

power to

dispose or

to direct

the

disposition

of:

 

Apeiron Investment Group

     32,059,504   0;    19.7     0        32,059,504        0        32,059,504  

Apeiron Presight Capital Fund II, L.P.

     1,187,104        0.7     0        1,187,104        0        1,187,104  

Presight Capital Management I, L.L.C.

     1,187,104        0.7     0        1,187,104        0        1,187,104  

Fabian Hansen

     1,187,104        0.7     0        1,187,104        0        1,187,104  

Christian Angermayer

     32,059,504        19.7     0        32,059,504        0        32,059,504  

Presight II is the record holder of 1,187,104 Common Shares. Apeiron and Fabian Hansen are the managing members of Presight Management, which is the general partner of Presight II. As a result, each of Apeiron, Mr. Hansen and Presight Management may be deemed to share beneficial ownership of the securities held by Presight II.

In addition, Apeiron is the record holder of 28,505,200 Common Shares and may be deemed to own an additional 2,367,200 Common Shares underlying convertible notes of the Issuer. Christian Angermayer is the majority shareholder of Apeiron and may be deemed to share beneficial ownership of the securities beneficially owned by Apeiron.

 

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.

Not applicable.

 

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.


Schedule 13G

 

CUSIP No. N0731H103    Page 8 of 10

 

ITEM 9.

Notice of Dissolution of Group.

Not applicable.

 

ITEM 10.

Certification.

Not applicable.


Schedule 13G

 

CUSIP No. N0731H103    Page 9 of 10

 

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.

Date: February 10, 2022

 

Apeiron Investment Group, Ltd.
By:  

/s/ Julien Höfer

Name:   Julien Höfer
Title:   Director
Apeiron Presight Capital Fund II, L.P.
By: Presight Capital Management I, L.L.C., its general partner
By:  

/s/ Fabian Hansen

Name:   Fabian Hansen
Title:   Managing Member
Presight Capital Management I, L.L.C.
By:  

/s/ Fabian Hansen

Name:   Fabian Hansen
Title:   Managing Member
Fabian Hansen

/s/ Fabian Hansen

Christian Angermayer

/s/ Christian Angermayer


Schedule 13G

 

CUSIP No. N0731H103    Page 10 of 10

 

LIST OF EXHIBITS

 

Exhibit
No.

  

Description

99    Joint Filing Agreement.