Amended Statement of Ownership (sc 13g/a)
February 14 2017 - 11:20AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §
240.13d-2
(Amendment No. 2)
Egalet
Corporation
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
28226B104
(CUSIP Number)
December 31, 2016
(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)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
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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).
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1
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NAMES OF
REPORTING PERSONS
Omega Fund IV, L.P.
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2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
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CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.2
5
%
(2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
PN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
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1
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NAMES OF
REPORTING PERSONS
Omega Fund IV GP, L.P.
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2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐
(b)
☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.25% (2)
|
12
|
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TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
PN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
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1
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NAMES OF
REPORTING PERSONS
Omega Fund IV G.P. Manager, Ltd.
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Cayman Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.2
5
%
(2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
OO
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
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1
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NAMES OF
REPORTING PERSONS
Richard Lim
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
United States of America
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.25% (2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
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1
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NAMES OF
REPORTING PERSONS
Otello Stampacchia
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2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Italy
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.25% (2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
|
|
|
|
|
|
|
1
|
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NAMES OF
REPORTING PERSONS
Anne-Mari Paster
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
United States of America
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
314,574
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
314,574
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
314,574
|
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
1.2
5
%
(2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
|
|
|
|
|
|
|
1
|
|
NAMES OF
REPORTING PERSONS
Danish Biotech SPV I P/S
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Denmark
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
2,575,352
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
2,575,352
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,575,352
|
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
10.22
%
(2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
PN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
|
|
|
|
|
|
|
1
|
|
NAMES OF
REPORTING PERSONS
Danish Biotech SPV I, GP Ltd.
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
Guernsey
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
2,575,352
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
2,575,352
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,575,352
|
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
10.22% (2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
OO
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
|
|
|
|
|
|
|
1
|
|
NAMES OF
REPORTING PERSONS
Kris Allen
|
2
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
|
3
|
|
SEC USE ONLY
|
4
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
United Kingdom
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
|
|
SOLE VOTING POWER
0
|
|
6
|
|
SHARED VOTING POWER
2,575,352
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
2,575,352
|
9
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,575,352
|
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
10.22% (2)
|
12
|
|
TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
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|
|
|
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1
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NAMES OF
REPORTING PERSONS
Martin Mullins
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2
|
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
(a) ☐ (b) ☒
(1)
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3
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SEC USE ONLY
|
4
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CITIZENSHIP OR PLACE OF
ORGANIZATION
United Kingdom
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
|
5
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SOLE VOTING POWER
0
|
|
6
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SHARED VOTING POWER
2,575,352
|
|
7
|
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
|
SHARED DISPOSITIVE POWER
2,575,352
|
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,575,352
|
10
|
|
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
|
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9
10.22% (2)
|
12
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TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)
IN
|
(1)
|
This Schedule 13G is filed by Omega Fund IV, L.P. (Omega Fund), Omega Fund IV GP, L.P. (Omega GP), Omega Fund IV G.P. Manager, Ltd. (Omega Ltd), Richard Lim (Lim), Otello
Stampacchia (Stampacchia), Anne-Mari Paster (Paster), Danish Biotech SPV I P/S (Danish Biotech), Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd), Kris Allen (Allen), and Martin Mullins
(Mullins) (together, the Reporting Persons). Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund; and each of Omega Ltd and Omega GP may be deemed to own beneficially the
shares held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially
own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech. The Reporting Persons may be deemed a group for purposes of Section
13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
(2)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30, 2016, filed
with the Securities and Exchange Commission on November 8, 2016.
|
Introductory Note: This statement on Schedule 13G is filed on behalf of the Reporting Persons, in respect of
shares of Common Stock, par value $0.001 per share (Common Stock), of Egalet Corporation (the Issuer).
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Item 1(a)
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Name of Issuer:
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Egalet Corporation (the Issuer)
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Item 1(b)
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Address of issuers principal executive offices:
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Egalet Corporation
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600 Lee Road, Suite 100
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Wayne, PA 19087
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Items 2(a)
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Name of Reporting Persons filing:
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Omega Fund IV, L.P. (Omega Fund)
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Omega Fund IV GP, L.P. (Omega GP)
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Omega Fund IV G.P. Manager, Ltd. (Omega Ltd.)
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Richard Lim (Lim)
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Otello Stampacchia (Stampacchia)
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Anne-Mari Paster (Paster)
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Danish Biotech SPV I P/S (Danish Biotech)
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Danish Biotech SPV I, GP Ltd. (Danish Biotech Ltd)
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Kris Allen (Allen)
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Martin Mullins (Mullins)
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Item 2(b)
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Address or principal business office or, if none, residence:
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The address of the principal business office of
Omega Fund, Omega GP, Omega Ltd, Lim, Stampacchia, and Paster is c/o Omega Fund Management, LLC, 185 Dartmouth Street, Suite 502, Boston, MA 02116. The address of the principal business office of Allen, Mullins, and Danish Biotech Ltd is c/o IPES
(Guernsey) Limited, 1 Royal Plaza, Royal Avenue, St. Peter Port, Guernsey GY 1 2HL, Channel Islands, UK. The address of the principal business office of Danish Biotech is c/o Gorrissen Federspiel Kierkegarrd, H.C. Andersens Boulevard 12, 1553
Copenhagen, Denmark.
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Item 2(c)
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Citizenship:
|
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Name
|
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Citizenship or Place of Organization
|
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Omega Fund
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Cayman Islands
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Omega GP
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Cayman Islands
|
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Omega Ltd.
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Cayman Islands
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Lim
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United States of America
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Stampacchia
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Italy
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Paster
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United States of America
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Danish Biotech
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Denmark
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Danish Biotech Ltd
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Guernsey
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Allen
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United Kingdom
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Mullins
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United Kingdom
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Item 2(d)
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Title of class of securities:
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Common Stock, $0.001 par value per share
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Item 2(e)
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CUSIP No.:
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28226B104
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Item 3
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If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filings is a:
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Not applicable.
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Item 4
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Ownership
|
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|
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The following information with respect to the ownership of Common Stock of the Issuer by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2016:
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|
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
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Reporting Persons
|
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Shares of
Common
Stock Held
Directly
|
|
|
Sole
Voting
Power
|
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Shared
Voting
Power
|
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|
Sole
Dispositive
Power
|
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Shared
Dispositive
Power
|
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Beneficial
Ownership
|
|
|
Percentage
of Class
(1)
|
|
Omega Fund(2)(4)
|
|
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314,574
|
|
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0
|
|
|
|
314,574
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
314,574
|
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1.25
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%
|
Omega GP(2)(4)
|
|
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0
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
314,574
|
|
|
|
1.25
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%
|
Omega Ltd(2)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
314,574
|
|
|
|
1.25
|
%
|
Lim (2)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
314,574
|
|
|
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0
|
|
|
|
314,574
|
|
|
|
314,574
|
|
|
|
1.25
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%
|
Stampacchia(2)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
314,574
|
|
|
|
1.25
|
%
|
Paster(2)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
0
|
|
|
|
314,574
|
|
|
|
314,574
|
|
|
|
1.25
|
%
|
Danish Biotech(3)(4)
|
|
|
2,575,352
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
2,575,352
|
|
|
|
10.22
|
%
|
Danish Biotech Ltd(3)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
2,575,352
|
|
|
|
10.22
|
%
|
Allen(3)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
2,575,352
|
|
|
|
10.22
|
%
|
Mullins(3)(4)
|
|
|
0
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
0
|
|
|
|
2,575,352
|
|
|
|
2,575,352
|
|
|
|
10.22
|
%
|
(1)
|
This percentage is calculated based upon 25,189,125 shares of the Common Stock outstanding as of November 8, 2016 as set forth in the Issuers most recent Form 10-Q for the period ending September 30,
2016, filed with the Securities and Exchange Commission on November 8, 2016.
|
(2)
|
Omega Fund owns 314,574 shares. Omega Ltd serves as the general partner of Omega GP, which serves as the general partner of Omega Fund, and each of Omega GP and Omega Ltd may be deemed to own beneficially the shares
held by Omega Fund. Lim, Stampacchia, and Paster are the directors of Omega Ltd and may be deemed to beneficially own the shares held by Omega Fund.
|
(3)
|
Danish Biotech owns 2,575,352 shares. Danish Biotech Ltd is the general partner of Danish Biotech and may be deemed to beneficially own the shares held by Danish Biotech. Allen and Mullins are the directors of Danish
Biotech Ltd and may be deemed to beneficially own the shares held by Danish Biotech.
|
(4)
|
The Reporting Persons may be deemed a group for purposes of Section 13 of the Exchange Act and expressly disclaim status as a group for purposes of this Schedule 13G.
|
|
|
|
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 ☐.
|
|
|
Item 6
|
|
Ownership of More than Five Percent on Behalf of Another Person
|
|
|
|
|
If this statement is being filed to report the fact that as of the date hereof, the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the
following: ☐
|
|
|
|
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
|
|
|
|
|
Not applicable.
|
SIGNATURES
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:
|
|
February 13, 2017
|
|
OMEGA FUND IV, L.P.
|
|
|
BY:
|
|
Omega Fund IV GP, L.P.
|
ITS:
|
|
GENERAL PARTNER
|
|
|
BY:
|
|
Omega Fund IV G.P. Manager, Ltd.
|
ITS:
|
|
GENERAL PARTNER
|
|
|
By:
|
|
/s/ Anne-Mari Paster
|
|
|
Director
|
|
OMEGA FUND IV GP, L.P.
|
|
|
BY:
|
|
Omega Fund IV G.P. Manager, Ltd.
|
ITS:
|
|
GENERAL PARTNER
|
|
|
By:
|
|
/s/ Anne-Mari Paster
|
|
|
Director
|
|
OMEGA FUND IV G.P. MANAGER, LTD.
|
|
|
By:
|
|
/s/ Anne-Mari Paster
|
|
|
Director
|
|
/s/ Richard Lim
|
Richard Lim
|
|
/s/ Otello Stampacchia
|
Otello Stampacchia
|
|
/s/ Anne-Mari Paster
|
Anne-Mari Paster
|
|
DANISH BIOTECH SPV I P/S
|
|
|
By:
|
|
/s/ Martin Mullins
|
|
|
Martin Mullins, Director
|
|
|
By:
|
|
/s/ Kris Allen
|
|
|
Kris Allen, Director
|
|
DANISH BIOTECH SPV I, GP Ltd.
|
|
|
By:
|
|
/s/ Martin Mullins
|
|
|
Martin Mullins, Director
|
|
|
|
/s/ Kris Allen
|
Kris Allen
|
|
/s/ Martin Mullins
|
Martin Mullins
|
Exhibit(s)
:
|
|
|
|
|
Exhibit 99.1:
|
|
Joint Filing Statement
|