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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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
| ContraFect Corporation |
| (Name of Issuer) |
| Common Stock, par value US$0.0001 per share |
| (Title of Class of Securities) |
| 212326300 |
| (CUSIP Number) |
| December 31, 2020 |
| (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).
SCHEDULE 13G
| CUSIP No. | 212326300 |
| 1 | Names of Reporting Persons | ||
| Shanghai Fosun Pharmaceutical (Group) Co., Ltd. | |||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
| (a) x (b) ¨ | |||
| 3 | SEC Use Only | ||
| 4 | Citizenship or Place of Organization | ||
| China | |||
|
Number of |
5 | Sole Voting Power | |
| 0 | |||
| 6 | Shared Voting Power | ||
| 1,170,385 (1) | |||
| 7 | Sole Dispositive Power | ||
| 0 | |||
| 8 | Shared Dispositive Power | ||
| 1,170,385 (1) | |||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| 1,170,385 (1) | |||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | ||
| ¨ | |||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| 4.1% (2) | |||
| 12 | Type of Reporting Person (See Instructions) | ||
| CO | |||
(1) Includes 425,000 shares of Common Stock issuable upon the exercise of 850,000 warrants (the “Warrants”) issued by ContraFect Corporation (the “Issuer”), each exercisable for one half of a share of Common Stock.
(2) This percentage is calculated based on 27,810,082 shares of Common Stock of the Issuer outstanding as of November 6, 2020, as reported in the Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 13, 2020, plus 425,000 shares of Common Stock issuable upon the exercise of 850,000 Warrants.
| Page 2 of 6 |
SCHEDULE 13G
| CUSIP No. | 212326300 |
| 1 | Names of Reporting Persons | ||
| Fosun Industrial Co., Limited | |||
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
| (a) x (b) ¨ | |||
| 3 | SEC Use Only | ||
| 4 | Citizenship or Place of Organization | ||
| Hong Kong | |||
|
Number of |
5 | Sole Voting Power | |
| 0 | |||
| 6 | Shared Voting Power | ||
| 1,170,385 (1) | |||
| 7 | Sole Dispositive Power | ||
| 0 | |||
| 8 | Shared Dispositive Power | ||
| 1,170,385 (1) | |||
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
| 1,170,385 (1) | |||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | ||
| ¨ | |||
| 11 | Percent of Class Represented by Amount in Row (9) | ||
| 4.1% (2) | |||
| 12 | Type of Reporting Person (See Instructions) | ||
| CO | |||
(1) Includes 425,000 shares of Common Stock issuable upon the exercise of 850,000 Warrants issued by the Issuer, each exercisable for one half of a share of Common Stock.
(2) This percentage is calculated based on 27,810,082 shares of Common Stock of the Issuer outstanding as of November 6, 2020, as reported in the Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 13, 2020, plus 425,000 shares of Common Stock issuable upon the exercise of 850,000 Warrants.
| Page 3 of 6 |
Item 1.
| (a) | Name of Issuer: |
ContraFect Corporation
| (b) | Address of Issuer’s Principal Executive Offices: |
28 Wells Avenue, Third Floor
Yonkers, New York 10701
Item 2.
| (a) | Name of Person Filing: |
This Schedule 13G is filed by Shanghai Fosun Pharmaceutical (Group) Co., Ltd. (“Shanghai Fosun”), a company organized under the laws of the People’s Republic of China (“China”), and Fosun Industrial Co., Limited (“Fosun Industrial”, together with Shanghai Fosun, the “Reporting Persons”), a company organized under the laws of the Hong Kong Special Administrative Region of China (“Hong Kong”).
Fosun Industrial is a wholly-owned subsidiary of Shanghai Fosun.
| (b) | Address of Principal Business Office or, if None, Residence: |
The address of the principal business office for Shanghai Fosun is Building A, No. 1289 Yishan Road, Shanghai, China. The address of the principal business office for Fosun Industrial is Level 54, Hopewell Centre, 183 Queen’s Road East, Hong Kong.
| (c) | Citizenship: |
See Item 2(a)
| (d) | Title of Class of Securities: |
Common stock, par value US $0.0001 per share (“Common Stock”), of the Issuer
| (e) | CUSIP No.: |
212326300
| Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
| (a) | ¨ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
| (b) | ¨ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | ¨ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | ¨ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | ¨ | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
| (f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
| Page 4 of 6 |
| (g) | ¨ | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
| (h) | ¨ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | ¨ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | ¨ | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); |
| (k) | ¨ | Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
| Item 4. | Ownership. |
| (a) | See Item 9 of the cover pages to this Schedule 13G for the aggregate number of Common Stock that are beneficially owned by each Reporting Person as of December 31, 2020. |
| (b) | See Item 11 of the cover pages to this Schedule 13G for the percentage of Common Stock that are beneficially owned by each Reporting Person as of December 31, 2020. |
| (c) | See Items 5 through 8 of the cover pages to this Schedule 13G for the number of Common Stock that are beneficially owned by each Reporting Person as of December 31, 2020 as to which there is sole or shared power to vote or direct the vote, and sole or shared power to dispose or direct the disposition. |
| Item 5. | Ownership of Five Percent or Less of a Class. |
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 five percent of the class of securities, check the following x.
| 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 or Control Person. |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group. |
See Item 2.
| Item 9. | Notice of Dissolution of Group. |
Not applicable.
| Page 5 of 6 |
| Item 10. | Certifications. |
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.
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.
Dated: January 26, 2021
| SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD. | |||
| By: | /s/ Wu Yifang | ||
| Wu Yifang | |||
| Executive Director | |||
| FOSUN INDUSTRIAL CO., LIMITED | |||
| By: | /s/ Chen Qiyu | ||
| Chen Qiyu | |||
| Director | |||
| Page 6 of 6 |
EXHIBIT INDEX