STOCK TITAN

Farallon group discloses 9.7% Minerva Neurosciences (NERV) holding via shares and warrants

(Neutral)
(Neutral)
Form Type
SCHEDULE 13G/A

Rhea-AI Filing Summary

Minerva Neurosciences, Inc. has a significant shareholder group led by Farallon Capital Management, L.L.C. and related investment partnerships and individuals. These reporting persons together report beneficial ownership of 4,730,000 Shares of Minerva common stock, representing 9.7% of the class. The Farallon investment partnerships directly hold 2,365,000 Shares and 5,000 Preferred Tranche A Warrants, each warrant exercisable into one share of Series A convertible voting preferred stock. Each share of Series A Preferred Stock is convertible, at the holder’s option and subject to a 9.99% Beneficial Ownership Limitation, into 473 Shares. As of the reporting date, this limitation does not restrict conversion, so all such underlying Shares are included in the beneficial ownership reported.

Positive

  • None.

Negative

  • None.
Beneficially owned Shares 4,730,000 Shares Aggregate beneficial ownership reported by the Reporting Persons
Percent of class owned 9.7% Percentage of Minerva common stock class beneficially owned
Common Shares held directly 2,365,000 Shares Shares of common stock held directly by the Farallon Funds
Preferred Tranche A Warrants 5,000 Preferred Tranche A Warrants held by the Farallon Funds
Conversion ratio per Series A Preferred 473 Shares Each share of Series A Preferred Stock convertible into 473 Shares
Beneficial Ownership Limitation 9.99% Maximum beneficial ownership allowed on conversion of Series A Preferred Stock
Beneficial Ownership Limitation regulatory
"may not be converted to the extent that, after giving effect, above the Beneficial Ownership Limitation"
A beneficial ownership limitation is a rule that caps the percentage of a company’s shares an investor can be treated as owning or controlling for voting, regulatory or tax purposes. It matters to investors because it can restrict how many shares a person or group can buy or vote, affect takeover chances, and influence share liquidity and value — like a speed limit that prevents any single driver from taking over the whole road.
Series A convertible voting preferred stock financial
"each of which is exercisable to purchase one share of Series A convertible voting preferred stock"
Preferred Tranche A Warrants financial
"5,000 Tranche A warrants (the "Preferred Tranche A Warrants"), each of which is exercisable"
beneficially owned regulatory
"The securities reported hereby as beneficially owned by the Reporting Persons are held directly"
Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.
Schedule 13G regulatory
"Exhibit 1. Joint Acquisition Statement Pursuant to Section 240.13d-1(k)"
A Schedule 13G is a formal document that investors file with the government when they acquire a large ownership stake in a company, usually for investment purposes rather than control. It helps keep the public informed about who owns significant parts of a company's shares, which can influence how the company is managed and how investors make decisions. Filing this schedule is important for transparency and understanding the ownership landscape of publicly traded companies.

FAQ

What stake in Minerva Neurosciences (NERV) does Farallon report in this Schedule 13G/A?

Farallon Capital Management and related reporting persons report beneficial ownership of 4,730,000 Shares of Minerva Neurosciences common stock, representing 9.7% of the outstanding class, including Shares underlying convertible preferred securities.

How many Minerva Neurosciences (NERV) common shares do the Farallon Funds directly hold?

The Farallon Funds directly hold 2,365,000 Shares of Minerva Neurosciences common stock. In addition, they hold preferred-related warrants that can be converted into further Shares, all of which are included in the reported beneficial ownership calculation.

What preferred and warrant positions tied to Minerva Neurosciences (NERV) does Farallon disclose?

The Farallon Funds hold 5,000 Preferred Tranche A Warrants, each exercisable for one share of Series A Preferred Stock. Each Series A Preferred Stock share is convertible into 473 Shares of Minerva common stock, subject to a Beneficial Ownership Limitation.

What is the Beneficial Ownership Limitation mentioned for Minerva Neurosciences (NERV)?

The Series A Preferred Stock has a 9.99% Beneficial Ownership Limitation, preventing conversion if it would push beneficial ownership above 9.99% of outstanding Shares. As of the reporting date, this limitation does not restrict Farallon’s assumed conversions.

Who are the reporting persons in the Minerva Neurosciences (NERV) Schedule 13G/A amendment?

The filing lists Farallon Capital Management, L.L.C., multiple Farallon investment partnerships and Farallon Individual Reporting Persons, including Joshua J. Dapice and others, all treated together as the “Reporting Persons” for the disclosed Minerva stake.

Which entities receive dividends and sale proceeds from Minerva Neurosciences (NERV) shares held by Farallon?

The filing states the Farallon Funds have the right to receive dividends from, and the proceeds from the sale of, the Minerva Neurosciences securities that are beneficially owned by the Reporting Persons.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google
Add on Google
Learn about SEC filing dates





603380205

(CUSIP Number)
06/30/2026

(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)




schemaVersion:


SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G



Farallon Capital Management, L.L.C.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member
Date:08/13/2026
Farallon Capital Partners, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Farallon Capital Institutional Partners, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Farallon Capital Institutional Partners II, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Farallon Capital Institutional Partners III, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Four Crossings Institutional Partners V, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Manager of its General Partner
Date:08/13/2026
Farallon Capital Offshore Investors II, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Farallon Capital (AM) Investors, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member of its General Partner
Date:08/13/2026
Farallon Capital F5 Master I, L.P.
Signature:/s/ Hannah E. Dunn
Name/Title:Manager of its General Partner
Date:08/13/2026
Farallon Partners, L.L.C.
Signature:/s/ Hannah E. Dunn
Name/Title:Managing Member
Date:08/13/2026
Farallon Institutional (GP) V, L.L.C.
Signature:/s/ Hannah E. Dunn
Name/Title:Manager
Date:08/13/2026
Farallon F5 (GP), L.L.C.
Signature:/s/ Hannah E. Dunn
Name/Title:Manager
Date:08/13/2026
Dapice Joshua J.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Dreyfuss, Philip D.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Dunn Hannah E.
Signature:/s/ Hannah E. Dunn
Name/Title:Hannah E. Dunn
Date:08/13/2026
Gehani, Varun N.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Giauque, Nicolas
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Husen, Avner A.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Kim, David T.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Linn, Michael G.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Luo Patrick (Cheng)
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Roberts, Jr., Thomas G.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Saito Edric C.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Short Daniel S.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Spokes, Andrew J. M.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Warren, John R.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026
Wehrly, Mark C.
Signature:/s/ Hannah E. Dunn
Name/Title:Attorney-In-Fact
Date:08/13/2026

Comments accompanying signature: Each of Farallon Partners, L.L.C., Farallon Institutional (GP) V, L.L.C., and Farallon F5 (GP), L.L.C. has executed this statement in Mill Valley, California, on behalf of itself and each fund for which it is the general partner.
Exhibit Information

Exhibit 1. Joint Acquisition Statement Pursuant to Section 240.13d-1(k)