Amended Statement of Beneficial Ownership (sc 13d/a)

Date : 02/14/2019 @ 4:58PM
Source : Edgar (US Regulatory)
Stock : BioAmber Inc. (BIOAQ)
Quote : 0.017  0.0005 (3.03%) @ 9:01PM

Amended Statement of Beneficial Ownership (sc 13d/a)

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

SCHEDULE 13D

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 2)*

 

BioAmber Inc.
(Name of Issuer)
 
Common Stock, par value $0.01
(Title of Class of Securities)
 
09072Q 106
(CUSIP Number)

 

Christophe Blanche

Sofinnova Partners

Immeuble le Centorial

16-18 rue du 4 Septembre

75002 Paris

France

(+33) 1 53 05 41 04

 

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
December 31, 2018
(Date of Event Which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ¨

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

 

* 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 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. 09072Q 106 Page 2 of 11

 

1.

Name of Reporting Persons

 

Sofinnova Capital VI FCPR (“SC VI”)

EIN: 98-0583711

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

¨

x

3.

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

WC

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6.

Citizenship or Place of Organization

 

France

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

3,294,037 shares, except that Sofinnova Partners SAS, a French corporation (“SP SAS”), the management company of SC VI, may be deemed to have sole voting power, and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Monique Saulnier (“Saulnier”), Henrijette Richter (“Richter”), and Graziano Seghezzi (“Seghezzi”), the managing partners of SP SAS, may be deemed to have shared power to vote these shares.

8.

Shared Voting Power

 

See row 7.

9.

Sole Dispositive Power

 

3,294,037 shares, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Saulnier, Richter, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to dispose of these shares.

10.

Shared Dispositive Power

 

See row 9.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

00

 

 

 

 

CUSIP No. 09072Q 106 Page 3 of 11

 

1.

Name of Reporting Persons

 

Sofinnova Partners SAS, a French corporation (“SP SAS”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

¨

x

3.

SEC USE ONLY

  

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)          

 

¨
6.

Citizenship or Place of Organization

 

France

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Lucquin, Papiernik, Saulnier, Richter, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to vote these shares.

8.

Shared Voting Power

 

See row 7.

9.

Sole Dispositive Power

 

3,294,037 shares, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Saulnier, Richter, and Seghezzi, the managing partners of SP SAS, may be deemed to have shared power to dispose of these shares.

10.

Shared Dispositive Power

 

See row 9.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)    

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

00

 

 

 

 

CUSIP No. 09072Q 106 Page 4 of 11

 

1.

Name of Reporting Persons

 

Denis Lucquin (“Lucquin”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

 

¨

x

3.

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)          

 

¨
6.

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8.

Shared Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9.

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)   

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

 

CUSIP No. 09072Q 106 Page 5 of 11

 

1.

Name of Reporting Persons

 

Antoine Papiernik (“Papiernik”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

 

¨

x

3.

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)          

 

¨
6.

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8.

Shared Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9.

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

 

CUSIP No. 09072Q 106 Page 6 of 11

 

1.

Name of Reporting Persons

 

Monique Saulnier (“Saulnier”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

 

¨

x

3.

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)          

 

¨
6.

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8.

Shared Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9.

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

 

CUSIP No. 09072Q 106 Page 7 of 11

 

1.

Name of Reporting Persons

 

Henrijette Richter (“Richter”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

¨

x

3.

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)          

 

¨
6.

Citizenship or Place of Organization

 

Danish Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8.

Shared Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Richter, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9.

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Richter, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

 

CUSIP No. 09072Q 106 Page 8 of 11

 

1.

Name of Reporting Persons

 

Graziano Seghezzi (“Seghezzi”)

2.

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

¨

x

3.

SEC USE ONLY

  

4.

Source of Funds (see instructions)

 

00

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

  

¨
6.

Citizenship or Place of Organization

 

Italian Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8.

Shared Voting Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9.

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

3,294,037

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

2.5%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

 

CUSIP No. 09072Q 106 Page 9 of 11

 

This Amendment No. 2 (“Amendment No. 2”) amends and supplements the Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) by SC IV, SP SAS, and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Monique Saulnier (“Saulnier”), the managing partners of SP SAS (collectively, the “Listed Persons” and together with SC IV and SP SAS, the “Filing Persons”) on May 21, 2013. Rafaèle Tordjman ceased to be a managing partner of SP SAS on February 28, 2017, and is not a Listed Person on this Amendment No. 2. Graziano Seghezzi (“Seghezzi”) and Henrijette Richter (“Richter”) became managing partners of SP SAS and each is included as a Listed Person on this Amendment No. 2. Except as specifically provided herein, this Amendment No. 2 does not modify any of the information previously reported in the Schedule 13D, as amended. The sole purpose of this Amendment No. 2 is to report that the Filing Persons own less than a 5% interest in the issuer solely due to an increase in the total outstanding ordinary shares of the issuer.

 

Item 5. Interest in Securities of the Issuer.

 

(e) The Filing Persons ceased to be the beneficial owner of more than 5% of the class of securities on March 27, 2018.

 

 

 

 

CUSIP No. 09072Q 106 Page 10 of 11

 

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, 2019

 

SOFINNOVA CAPITAL VI FCPR    
       
By: SOFINNOVA PARTNERS SAS    
Its: Management Company   /s/ Denis Lucquin
      Denis Lucquin
By: /s/ Monique Saulnier    
  Name:   Monique Saulnier   /s/ Antoine Papiernik
  Title:     Managing Director and CFO   Antoine Papiernik
       
SOFINNOVA PARTNERS SAS   /s/ Henrijette Richter
      Henrijette Richter
By: /s/ Monique Saulnier    
  Name:   Monique Saulnier   /s/ Monique Saulnier
  Title:     Managing Director and CFO   Monique Saulnier
       
      /s/ Graziano Seghezzi
      Graziano Seghezzi

 

 

 

 

CUSIP No. 09072Q 106 Page 11 of 11

 

EXHIBIT A

 

Joint Filing Agreement

 

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the common stock of ProQR Therapeutics N.V. and further agree that this agreement be included as an exhibit to such filing. Each party to this agreement expressly authorizes each other party to file on its behalf any and all amendments to such statement. Each party to this agreement agrees that this joint filing agreement may be signed in counterparts.

 

In evidence whereof, the undersigned have caused this Agreement to be executed on their behalf this 13 th day of February, 2019.

 

SOFINNOVA CAPITAL VI FCPR    
       
By: SOFINNOVA PARTNERS SAS    
Its: Management Company   /s/ Denis Lucquin
      Denis Lucquin
By: /s/ Monique Saulnier    
  Name:   Monique Saulnier   /s/ Antoine Papiernik
  Title:     Managing Director and CFO   Antoine Papiernik
       
SOFINNOVA PARTNERS SAS   /s/ Henrijette Richter
      Henrijette Richter
By: /s/ Monique Saulnier    
  Name:   Monique Saulnier   /s/ Monique Saulnier
  Title:     SManaging Director and CFO   Monique Saulnier
       
      /s/ Graziano Seghezzi
      Graziano Seghezzi

 

 

 

BioAmber Inc. (USOTC:BIOAQ)
Historical Stock Chart

1 Year : From Aug 2018 to Aug 2019

Click Here for more BioAmber Inc. Charts.

BioAmber Inc. (USOTC:BIOAQ)
Intraday Stock Chart

Today : Monday 19 August 2019

Click Here for more BioAmber Inc. Charts.

Latest BIOAQ Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.