# EDGAR Filing Document

**Accession Number:** 0001631134
**File Stem:** 0001104659-23-020042
**Filing Date:** 2023-2
**Character Count:** 9113
**Document Hash:** 520f4fc28c991c3f68a1f87760fb9965
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-020042.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001104659-23-020042

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sofinnova Investments, Inc.
- **CENTRAL INDEX KEY:** 0001631134
- **IRS NUMBER:** 000000000

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-18774
- **FILM NUMBER:** 23621193

**BUSINESS ADDRESS:**
- **STREET 1:** 3000 Sand Hill Road
- **STREET 2:** BUILDING 4-SUITE 250
- **CITY:** Menlo Park
- **STATE:** CA
- **ZIP:** 94025
- **BUSINESS PHONE:** 650.681.8428

**MAIL ADDRESS:**
- **STREET 1:** 3000 Sand Hill Road
- **STREET 2:** BUILDING 4-SUITE 250
- **CITY:** Menlo Park
- **STATE:** CA
- **ZIP:** 94025

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Sofinnova Ventures Inc
- **DATE OF NAME CHANGE:** 20150120

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Sofinnova Investments Inc.<br>**Address:** 3000 Sand Hill Road<br>Building 4-Suite 250<br>Menlo Park, CA 94025

**Form 13F File Number:** 028-18774

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Nathalie Auber<br>**Title:** Attorney-in-Fact<br>**Phone:** 650-681-8428

**Signature, Place, and Date of Signing:**

/s/ Nathalie Auber  Menlo Park, CA  02-13-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 53

**Form 13F Information Table Value Total:** $1685205763

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| Agenus Inc | COM | 00847G705 |  | 608160 | 253400 | SH | Call | SOLE |  | 253400 | 0 | 0 |
| Agenus Inc | COM | 00847G705 |  | 2432640 | 1013600 | SH | Call | SOLE |  | 1013600 | 0 | 0 |
| Agenus Inc | COM | 00847G705 |  | 6945737 | 2894057 | SH |  | SOLE |  | 2894057 | 0 | 0 |
| Align Technology Inc | COM | 016255101 |  | 17525790 | 83100 | SH |  | SOLE |  | 83100 | 0 | 0 |
| Alnylam Pharmaceuticals Inc | COM | 02043Q107 |  | 23765000 | 100000 | SH | Call | SOLE |  | 100000 | 0 | 0 |
| Alnylam Pharmaceuticals Inc | COM | 02043Q107 |  | 13414867 | 56448 | SH |  | SOLE |  | 56448 | 0 | 0 |
| Arcus Biosciences Inc | COM | 03969F109 |  | 6510291 | 314811 | SH |  | SOLE |  | 314811 | 0 | 0 |
| AstraZeneca PLC | SPONSORED ADR | 046353108 |  | 41607029 | 613673 | SH |  | SOLE |  | 613673 | 0 | 0 |
| Biomarin Pharmaceutical Inc | COM | 09061G101 |  | 40841604 | 394643 | SH |  | SOLE |  | 394643 | 0 | 0 |
| CTI Biopharma Corp | COM | 12648L601 |  | 27685227 | 4606527 | SH |  | SOLE |  | 4606527 | 0 | 0 |
| CTI Biopharma Corp | COM | 12648L601 |  | 2464100 | 410000 | SH | Call | SOLE |  | 410000 | 0 | 0 |
| Chinook Therapeutics Inc | COM | 16961L106 |  | 21129226 | 806459 | SH |  | SOLE |  | 806459 | 0 | 0 |
| Cytokinetics Inc | COM | 23282W605 |  | 4582000 | 100000 | SH | Call | SOLE |  | 100000 | 0 | 0 |
| Cytokinetics Inc | COM | 23282W605 |  | 23319173 | 508930 | SH |  | SOLE |  | 508930 | 0 | 0 |
| Dexcom Inc | COM | 252131107 |  | 15930377 | 140678 | SH |  | SOLE |  | 140678 | 0 | 0 |
| Fulcrum Therapeutics Inc | COM | 359616109 |  | 4596672 | 631411 | SH |  | SOLE |  | 631411 | 0 | 0 |
| Geron Corp | COM | 374163103 |  | 3532205 | 1459589 | SH |  | SOLE |  | 1459589 | 0 | 0 |
| Geron Corp | COM | 374163103 |  | 5733222 | 2369100 | SH | Call | SOLE |  | 2369100 | 0 | 0 |
| Horizon Therapeutics PLC | SHS | G46188101 |  | 47019087 | 413173 | SH |  | SOLE |  | 413173 | 0 | 0 |
| IDEAYA Biosciences Inc | COM | 45166A102 |  | 8622210 | 474530 | SH |  | SOLE |  | 474530 | 0 | 0 |
| Immatics NV | SHS | N44445109 |  | 17426759 | 2000776 | SH |  | SOLE |  | 2000776 | 0 | 0 |
| ImmunoGen Inc | COM | 45253H101 |  | 8363324 | 1686154 | SH |  | SOLE |  | 1686154 | 0 | 0 |
| Inhibrx Inc | COM | 45720L107 |  | 27354909 | 1110183 | SH |  | SOLE |  | 1110183 | 0 | 0 |
| Iveric Bio Inc | COM | 46583P102 |  | 13668101 | 638398 | SH |  | SOLE |  | 638398 | 0 | 0 |
| Karuna Therapeutics Inc | COM | 48576A100 |  | 134210 | 683 | SH |  | SOLE |  | 683 | 0 | 0 |
| Kura Oncology Inc | COM | 50127T109 |  | 7366092 | 593561 | SH |  | SOLE |  | 593561 | 0 | 0 |
| Merck  Co Inc | COM | 58933Y105 |  | 66942348 | 603356 | SH |  | SOLE |  | 603356 | 0 | 0 |
| Prometheus Biosciences Inc | COM | 74349U108 |  | 19419950 | 176545 | SH |  | SOLE |  | 176545 | 0 | 0 |
| Reata Pharmaceuticals Inc | CL A | 75615P103 |  | 37687182 | 992029 | SH |  | SOLE |  | 992029 | 0 | 0 |
| Sanofi SA | SPONSORED ADR | 80105N105 |  | 95187954 | 1965475 | SH |  | SOLE |  | 1965475 | 0 | 0 |
| Sarepta Therapeutics Inc | COM | 803607100 |  | 32130009 | 247955 | SH |  | SOLE |  | 247955 | 0 | 0 |
| Syndax Pharmaceuticals Inc | COM | 87164F105 |  | 17893233 | 703074 | SH |  | SOLE |  | 703074 | 0 | 0 |
| Travere Therapeutics Inc | COM | 89422G107 |  | 12160976 | 578268 | SH |  | SOLE |  | 578268 | 0 | 0 |
| United Therapeutics Corp | COM | 91307C102 |  | 24807575 | 89207 | SH |  | SOLE |  | 89207 | 0 | 0 |
| Vertex Pharmaceuticals Inc | COM | 92532F100 |  | 45335283 | 156989 | SH |  | SOLE |  | 156989 | 0 | 0 |
| Zentalis Pharmaceuticals Inc | COM | 98943L107 |  | 20221466 | 1004045 | SH |  | SOLE |  | 1004045 | 0 | 0 |
| Aerovate Therapeutics Inc | COM | 008064107 |  | 110129500 | 3758686 | SH |  | SOLE |  | 3758686 | 0 | 0 |
| Ascendis Pharma A/S | SPONSORED ADR | 04351P101 |  | 107572104 | 880800 | SH |  | SOLE |  | 880800 | 0 | 0 |
| Bolt Biotherapeutics Inc | COM | 097702104 |  | 3580768 | 2754437 | SH |  | SOLE |  | 2754437 | 0 | 0 |
| Cincor Pharma Inc | COM | 17240Y109 |  | 74648833 | 6073949 | SH |  | SOLE |  | 6073949 | 0 | 0 |
| Fusion Pharmaceuticals Inc | COM | 36118A100 |  | 368862 | 117099 | SH |  | SOLE |  | 117099 | 0 | 0 |
| Galera Therapeutics Inc | COM | 36338D108 |  | 4594731 | 3083712 | SH |  | SOLE |  | 3083712 | 0 | 0 |
| Inozyme Pharma Inc | COM | 45790W108 |  | 3838073 | 3655308 | SH |  | SOLE |  | 3655308 | 0 | 0 |
| Karuna Therapeutics Inc | COM | 48576A100 |  | 407234657 | 2072441 | SH |  | SOLE |  | 2072441 | 0 | 0 |
| Natera Inc | COM | 632307104 |  | 124549495 | 3100560 | SH |  | SOLE |  | 3100560 | 0 | 0 |
| Nextcure Inc | COM | 65343E108 |  | 3767317 | 2671856 | SH |  | SOLE |  | 2671856 | 0 | 0 |
| Nucana PLC | SPONSORED ADR | 67022C106 |  | 3695999 | 5599999 | SH |  | SOLE |  | 5599999 | 0 | 0 |
| Nucana PLC | COMMON SHARES | GB00BYWYV |  | 1584000 | 2400000 | SH |  | SOLE |  | 2400000 | 0 | 0 |
| ObsEva SA | COM | H5861P103 |  | 688695 | 4749623 | SH |  | SOLE |  | 4749623 | 0 | 0 |
| PDS Biotechnology Corp | COM | 70465T107 |  | 1882782 | 142635 | SH |  | SOLE |  | 142635 | 0 | 0 |
| Synlogic Inc | COM | 87166L100 |  | 436979 | 574972 | SH |  | SOLE |  | 574972 | 0 | 0 |
| Vera Therapeutics Inc | CL A | 92337R101 |  | 61560903 | 3181442 | SH |  | SOLE |  | 3181442 | 0 | 0 |
| Y-mAbs Therapeutics Inc | COM | 984241109 |  | 10708077 | 2194278 | SH |  | SOLE |  | 2194278 | 0 | 0 |

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