SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/06/2017
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3. Issuer Name and Ticker or Trading Symbol
Arbutus Biopharma Corp
[ ABUS ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Shares |
16,013,540
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I |
See Explanation
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
AZTEC GROUP HOUSE |
11-15 SEATON PLACE |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ Karen Ubell, Attorney-in-Fact |
09/14/2017 |
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/s/ Karen Ubell, Attorney-in-Fact |
09/14/2017 |
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/s/ Karen Ubell, Attorney-in-Fact |
09/14/2017 |
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/s/ Karen Ubell, Attorney-in-Fact |
09/14/2017 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby
constitutes and appoints Karen Ubell, the undersigned's
true and lawful attorney-in fact and agent to:
(1) execute for and on behalf of the undersigned,
an officer, director or holder of 10% of more of
a registered class of securities of each of
Myovant Sciences Ltd., Axovant Sciences Ltd. and
Arbutus Biopharma Corporation (the "Companies"),
Forms 3, 4 and 5 in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended
(the "Exchange Act")
and the rules thereunder and any Form 13D or 13G;
(2) do and perform any and all acts for
and on behalf of the undersigned that may
be necessary or desirable to complete and
execute such Form 3, 4 or 5 or any Form 13D or 13G,
complete and execute any amendment or amendments
thereto, and timely file such forms or amendments
with the United States Securities and Exchange
Commission and any stock exchange or similar authority; and
(3) take any other action of any nature whatsoever
in connection with the foregoing which, in
the opinion of such attorney-in-fact, may be of benefit,
in the best interest of, or legally required by, the
undersigned, it being understood that the documents
executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney
shall be in such form and shall contain such terms
and conditions as such attorney-in-fact may
approve in such attorney-in-fact's discretion.
The undersigned hereby grants to such attorney-in-fact
full power and authority to do and perform any and
every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise
of any of the rights and powers herein granted,
as fully to all intents and purposes as
the undersigned might or could do if personally
present, with full power of substitution or revocation,
hereby ratifying and confirming all that
such attorney-in-fact, or such attorney-in-fact's
substitute or substitutes, shall lawfully do
or cause to be done by virtue of this power of
attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing
attorney-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming,
nor are the Companies assuming, any of the
undersigned's responsibilities to comply
with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and
effect until the earliest to occur of (a) the undersigned
is no longer required to file Forms 3, 4 and 5 or
13G and 13D with respect to the undersigned's
holdings of and transactions in securities
issued by the Companies, (b) revocation by the
undersigned in a signed writing delivered to the
foregoing attorneys-in-fact or (c) as to any
attorney-in-fact individually, until such
attorney-in-fact shall no longer be
employed by the Companies.
IN WITNESS WHEREOF, the undersigned has cause
this Power of Attorney to be executed as
of this 8th day of September 2017.
Yours truly,
SVF Investments (UK) Limited
SVF GP (Jersey)Limited
SVF Holdings (UK) LLP
By: SoftBank Vision Fund L.P., its Managing Member
By: SVF GP (Jersey) Limited, its General Partner
SoftBank Vision Fund L.P., its Managing Member
By: SVF GP (Jersey) Limited, its General Partner
By: /s/ Brian Wheeler
Name: Brian Wheeler
Title: General Counsel