Statement of Changes in Beneficial Ownership (4)
December 18 2020 - 4:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ABG WTT-MedAvail Ltd |
2. Issuer Name and Ticker or Trading Symbol
MedAvail Holdings, Inc.
[
MDVL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
UNIT 3002-3004, 30TH FLOOR, GLOUCESTER TOWER, THE LANDMARK, CENTRAL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2020 |
(Street)
HONG KONG, K3
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/16/2020 | | P | | 15578 | A | $13.0611 (1) | 3821706 | I | See footnote (2) |
Common Stock | 12/16/2020 | | P | | 12851 | A | $13.0611 (1) | 2867779 | I | See footnote (3) |
Common Stock | 12/17/2020 | | P | | 6946 | A | $13.1201 (4) | 3828652 | I | See footnote (2) |
Common Stock | 12/17/2020 | | P | | 5731 | A | $13.1201 (4) | 2873510 | I | See footnote (3) |
Common Stock | 12/17/2020 | | P | | 1248 | A | $14.00 | 3829900 | I | See footnote (2) |
Common Stock | 12/17/2020 | | P | | 1029 | A | $14.00 | 2874539 | I | See footnote (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.00 to $13.20. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
(2) | These securities are held of record by ABG WTT-MedAvail Limited ("ABG WTT"). ABG WTT is wholly owned by Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. Voting and investment decisions with respect to any securities held of record by ABG WTT are made by the investment committee of ABG-WTT Global Life Science Capital Partners GP Limited, which is the general partner of ABG-WTT Global Life Science Capital Partners GP, L.P., which is the general partner of Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. As such, each of the foregoing entities may be deemed to share beneficial ownership of the shares held by ABG-WTT. Each of them disclaims any such beneficial ownership. |
(3) | These securities are held of record by Ally Bridge MedAlpha Master Fund L.P. ("MedAlpha"). Mr. Fan Yu is the sole shareholder of ABG Management Ltd., which is the sole member of each of Ally Bridge MedAlpha Management GP, LLC and Ally Bridge Group (NY) LLC. Ally Bridge Group (NY) LLC and Ally Bridge MedAlpha Management L.P., acting through its general partner Ally Bridge MedAlpha Management GP, LLC, manage MedAlpha's investments. As such, each of the foregoing entities and Mr. Fan Yu may be deemed to share beneficial ownership of the shares held of record by MedAlpha. Each of them disclaims any such beneficial ownership. |
(4) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.99 to $13.99. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ABG WTT-MedAvail Ltd UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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Ally Bridge Group-WTT Global Life Science Capital Partners, L.P. UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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ABG-WTT Global Life Science Capital Partners GP, L.P. UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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ABG-WTT Global Life Science Capital Partners GP Ltd UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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ABG Management Ltd. UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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Yu Fan UNIT 3002-3004, 30TH FLOOR GLOUCESTER TOWER, THE LANDMARK, CENTRAL HONG KONG, K3 |
| X |
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Ally Bridge MedAlpha Master Fund L.P. 430 PARK AVENUE, 12TH FLOOR, NEW YORK, NY 10022 |
| X |
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Ally Bridge MedAlpha Management L.P. 430 PARK AVENUE, 12TH FLOOR, NEW YORK, NY 10022 |
| X |
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Ally Bridge MedAlpha Management GP, LLC 430 PARK AVENUE, 12TH FLOOR, NEW YORK, NY 10022 |
| X |
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Ally Bridge Group (NY) LLC 430 PARK AVENUE, 12TH FLOOR, NEW YORK, NY 10022 |
| X |
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Signatures
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Ally Bridge Group-WTT Global Life Science Capital Partners, L.P., By: ABG-WTT Global Life Science Capital Partners GP, L.P., its general partner, By: ABG-WTT Global Life Science Capital Partners GP Limited, its general partner, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
ABG-WTT Global Life Science Capital Partners GP, L.P., By: ABG-WTT Global Life Science Capital Partners GP Limited, its general partner, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
ABG-WTT Global Life Science Capital Partners GP Limited, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
Ally Bridge MedAlpha Master Fund L.P., By: Ally Bridge MedAlpha General Partner L.P., its general partner, By: Ally Bridge MedAlpha GP, LLC, its general partner, By: /s/ Fan Yu, Manager | | 12/18/2020 |
**Signature of Reporting Person | Date |
Ally Bridge MedAlpha Management L.P., By: Ally Bridge MedAlpha Management GP, LLC, its general partner, By: ABG Management Ltd., its managing member, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
Ally Bridge MedAlpha Management GP, LLC, By: ABG Management Ltd., its managing member, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
Ally Bridge Group (NY) LLC, By: ABG Management Ltd., its managing member, By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
ABG Management Ltd., By: /s/ Fan Yu, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
ABG WTT-MedAvail Limited, By: /s/ Charles Chon, Director | | 12/18/2020 |
**Signature of Reporting Person | Date |
/s/ Fan Yu | | 12/18/2020 |
**Signature of Reporting Person | Date |
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