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.
- Peter Lynch
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
| SCHEDULE 13G/A |
Under the Securities Exchange Act of 1934
(Amendment No. 2) * |
| Nabriva Therapeutics plc |
| (Name of Issuer) |
| Ordinary Shares |
| (Title of Class of Securities) |
| G63637105 |
| (CUSIP Number) |
| July 27, 2018 |
| (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 on 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).
| CUSIP No. G63637105 | ||||
| 1 | NAMES OF REPORTING PERSONS | |||
| Vivo Capital VIII, LLC | ||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | |||
| (a) ☐ | ||||
| (b) ☐ | ||||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
| Delaware | ||||
NUMBER OF SHARES |
5 | SOLE VOTING POWER | ||
| 4,801,333 (1) | ||||
| 6 | SHARED VOTING POWER | |||
| 0 | ||||
| 7 | SOLE DISPOSITIVE POWER | |||
| 4,801,333 (1) | ||||
| 8 | SHARED DISPOSITIVE POWER | |||
| 0 | ||||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 4,801,333 (1) | ||||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | |||
| ☐ | ||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |||
| 7.2 % (2) | ||||
| 12 | TYPE OF REPORTING PERSON (See Instructions) | |||
| OO | ||||
| (1) | The ordinary shares are held of record by Vivo Hong Kong VIII, Co., Limited, a wholly owned subsidiary of Vivo Capital Fund VIII, L.P., and Vivo Hong Kong VIII Surplus, Co., Limited, a wholly owned subsidiary of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. |
| (2) | Based on 66,484,159 ordinary shares outstanding as disclosed in the prospectus filed by the Issuer on July 27, 2018, pursuant to Rule 424(b)(5) under the Securities Act of 1933, which is part of the Issuer’s Registration Statement on Form S-3 (File No. 333-223739). |
| CUSIP No. G63637105 | ||||
| 1 | NAMES OF REPORTING PERSONS | |||
| Vivo Opportunity, LLC | ||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) | |||
| (a) ☐ | ||||
| (b) ☐ | ||||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
| Delaware | ||||
NUMBER
OF BENEFICIALLY PERSON |
5 | SOLE VOTING POWER | ||
| 1,817,857 (1) | ||||
| 6 | SHARED VOTING POWER | |||
| 0 | ||||
| 7 | SOLE DISPOSITIVE POWER | |||
| 1,817,857 (1) | ||||
| 8 | SHARED DISPOSITIVE POWER | |||
| 0 | ||||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
| 1,817,857 (1) | ||||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) | |||
| ☐ | ||||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |||
| 2.7 % (2) | ||||
| 12 | TYPE OF REPORTING PERSON (See Instructions) | |||
| OO | ||||
| (1) | The shares of Common Stock of the Issuers are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. |
| (2) | Based on 66,484,159 ordinary shares outstanding as disclosed in the prospectus filed by the Issuer on July 27, 2018, pursuant to Rule 424(b)(5) under the Securities Act of 1933, which is part of the Issuer’s Registration Statement on Form S-3 (File No. 333-223739). |
| Item 1. (a) | Name of Issuer: |
Nabriva Therapeutics plc
| (b) | Address of Issuer’s Principal Executive Offices: |
25-28 North Wall Quay,
IFSC, Dublin 1, Ireland
| Item 2. (a) | Name of Person Filing: |
This Amendment No. 2 to 13G is filed jointly by Vivo Capital VIII, LLC and Vivo Opportunity, LLC. Vivo Capital VIII, LLC and Vivo Opportunity, LLC have entered into a Joint Filing Agreement, a copy of which is filed with this Amendment No. 1 to Schedule 13G as Exhibit 99.1.
| (b) | Address of Principal Business Office or, if None, Residence: |
505 Hamilton Avenue, Suite 207, Palo Alto, CA, 94301
| (c) | Citizenship: |
Vivo Capital VIII, LLC, is a Delaware limited liability company.
Vivo Opportunity, LLC is a Delaware limited liability company.
| (d) | Title of Class of Securities: |
Ordinary Shares
| (e) | CUSIP Number: |
G63637105
| 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. |
| (b) | ☐ | Bank as defined in Section 3(a)(6) of the Act. |
| (c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act. |
| (d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940. |
| (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); |
| (g) | ☐ | A parent holding company or control person in accordance with § 240.13d-1(b)(l)(ii)(G); |
| (h) | ☐ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; |
| (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)(l)(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: ________________
Not Applicable.
| Item 4. | Ownership. |
| (a) | Amount beneficially owned: |
| 1. | Vivo Capital VIII, LLC. |
The following ordinary shares are held of record by Vivo Hong Kong VIII, Co., Limited and Vivo Hong Kong VIII Surplus, Co., Limited, as follows:
| ● | Vivo Hong Kong VIII Co, Limited: 4,218,777 |
| ● | Vivo Hong Kong VIII Surplus Co., Limited: 582,556 |
Vivo Hong Kong VIII, Co., Limited is a wholly owned subsidiary of Vivo Capital Fund VIII, L.P. Vivo Hong Kong VIII Surplus, Co., Limited is a wholly owned subsidiary of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares.
| 2. | Vivo Opportunity, LLC |
The 1,817,857 shares of ordinary shares are held of record by Vivo Opportunity Fund, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. The voting members of Vivo Opportunity, LLC are Frank Kung, Albert Cha, Shan Fu, Gaurav Aggarwal and Michael Chang, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares.
| (b) | Percent of class: |
Vivo Capital VIII, LLC: 7.2%
Vivo Opportunity, LLC: 2.7%
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: |
Vivo Capital LLC: 4,801,333
Vivo Opportunity LLC: 1,817,857
| (ii) | Shared power to vote or to direct the vote: 0 |
| (iii) | Sole power to dispose or to direct the disposition of: |
Vivo Capital LLC: 4,801,333
Vivo Opportunity LLC: 1,817,857
| (iv) | Shared power to dispose of or to direct the disposition of: 0 |
| 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 or Control Person. |
Not Applicable.
| Item 8. | Identification and Classification of Members of the Group. |
Not applicable.
| Item 9. | Notice of Dissolution of Group. |
Not applicable.
| 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, other than activities solely in connection with a nomination under §240.14a-11.
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.
| Vivo Capital VIII, LLC | ||
| August 6, 2018 | ||
| (Date) | ||
| /s/ Frank Kung | ||
| (Signature) | ||
| Managing Member | ||
| (Title) | ||
| Vivo Opportunity, LLC | ||
| August 6, 2018 | ||
| (Date) | ||
| /s/ Gaurav Aggarwal | ||
| (Signature) | ||
| Managing Member | ||
| (Title) |