UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

W ASHINGTON , D.C. 20549

 

 

SCHEDULE 13G

U NDER THE S ECURITIES E XCHANGE A CT OF 1934

(Amendment No.     )*

 

 

Vaccinogen, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

918641101

(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)

 

* 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).

 

 

 

 

Page 1 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III, L.P.

  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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

134,452

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

134,452

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

134,452

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.4%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

Page 2 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III-QP, L.P.

  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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

2,020,872

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

2,020,872

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,020,872

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

5.4%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

Page 3 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III GmbH & Co. Beteiligungs KG

  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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

169,503

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

169,503

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

169,503

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.5%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

Page 4 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III Parallel Fund, L.P.

  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

 

Germany

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

61,121

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

61,121

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

61,121

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.2%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

Page 5 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM Asset Management Investors 2003 BVIII 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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

39,970

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

39,970

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

39,970

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.1%

12.  

Type of Reporting Person (See Instructions)

 

OO

 

Page 6 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III GP, L.P.

  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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,385,948*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,385,948*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,385,948*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.4%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

* The shares are held as follows: 2,020,872 by MPM BioVentures III-QP, L.P. (“BV III QP”), 134,452 by MPM BioVentures III, L.P. (“BV III”), 61,121 by MPM BioVentures III Parallel Fund, L.P. (“BV Parallel”) and 169,503 by MPM BioVentures III GmbH & Co. Beteiligungs KG (“BV KG”). The Reporting Person is the direct general partner of BV III QP, BV III, BV Parallel and BV KG.

 

Page 7 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

MPM BioVentures III 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

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,385,948*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,385,948*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,385,948*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.4%

12.  

Type of Reporting Person (See Instructions)

 

OO

 

* The shares are held as follows: 2,020,872 by BV III QP, 134,452 by BV III, 61,121 by BV Parallel and 169,503 by BV KG. The Reporting Person is the indirect general partner of BV III QP, BV III, BV Parallel and BV KG.

 

Page 8 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Luke Evnin

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by MPM Asset Management Investors 2003 BVIII LLC (“AM 2003”), 61,121 by BV Parallel and 169,503 by BV KG. MPM BioVentures III GP, L.P. (“MPM III GP”) and MPM BioVentures III LLC (“MPM III LLC”) are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 9 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Ansbert Gadicke

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 10 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Nicholas Galakatos

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 11 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Kurt Wheeler

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 12 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Nicholas Simon III

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 13 of 20


CUSIP No. 918641101  

 

  1.   

Name of Reporting Persons

 

Dennis Henner

  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

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,425,918*

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,425,918*

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,425,918*

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

6.5%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

* Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

Page 14 of 20


Item 1.

 

  (a) Name of Issuer

Vaccinogen, Inc.

 

  (b) Address of Issuer’s Principal Executive Offices

949 Fell Street

Baltimore, MD 21231

 

Item 2.

 

  (a) Name of Person Filing

MPM BioVentures III, LP

MPM BioVentures III-QP, L.P.

MPM BioVentures III Parallel Fund, L.P.

MPM BioVentures III GmbH & Co. Beteiligungs KG

MPM Asset Management Investors 2003 BVIII LLC

MPM BioVentures III GP, L.P.

MPM BioVentures III LLC

Luke Evnin

Ansbert Gadicke

Nicholas Galakatos

Kurt Wheeler

Nicholas Simon III

Dennis Henner

 

  (b) Address of Principal Business Office or, if none, Residence

c/o MPM Capital LLC

450 Kendall Street

Cambridge, MA 02142

 

  (c) Citizenship

All entities were organized in Delaware except MPM BioVentures III GmbH & Co. Beteiligungs KG, which was organized in Germany. The individuals are all United States citizens.

 

  (d) Title of Class of Securities

Common Stock

 

  (e) CUSIP Number

918641101

 

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:

 

  Not applicable

 

Page 15 of 20


Item 4. Ownership

 

MPM Entity

   Shares Held
Directly
     Sole Voting
Power
     Shared
Voting
Power
     Sole
Dispositive
Power
     Shared
Dispositive
Power
     Beneficial
Ownership
     Percentage
of Class
 

BV III QP

     2,020,872         2,020,872         0         2,020,872         0         2,020,872         5.4

BV III

     124,452         124,452         0         124,452         0         124,452         0.4

AM 2003

     39,970         39,970         0         39,970         0         39,970         0.1

BV Parallel

     61,121         61,121         0         61,121         0         61,121         0.2

BV KG

     169,503         169,503         0         169,503         0         169,503         0.5

MPM III GP(1)

     0         0         2,385,948         0         2,385,948         2,385,948         6.4

MPM III LLC(1)

     0         0         2,385,948         0         2,385,948         2,385,948         6.4

Luke Evnin(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Ansbert Gadicke(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Nicholas Galakatos(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Michael Steinmetz(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Kurt Wheeler(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Nicholas Simon III(2)

     0         0         2,425,918         0         2,425,918         2,425,918         6.5

Dennis Henner(2)

     0         0         2,425,918            2,425,918         2,425,918         6.5

 

(1) Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and, BV KG.
(2) Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003.

 

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

 

  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 a Group

 

  Not Applicable

 

Item 10. Certification

Not Applicable

 

Page 16 of 20


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: February 10, 2017

 

MPM BIOVENTURES III, L.P.
By:    MPM BioVentures III GP, L.P.,
   its General Partner
By:    MPM BioVentures III LLC,
   its General Partner
By:   

/s/ Luke Evnin

   Name: Luke Evnin
   Title: Series A Member
MPM BIOVENTURES III-QP, L.P.
By:    MPM BioVentures III GP, L.P.,
   its General Partner
By:    MPM BioVentures III LLC,
   its General Partner
By:   

/s/ Luke Evnin

   Name: Luke Evnin
   Title: Series A Member
 

 

MPM BIOVENTURES III PARALLEL FUND, L.P.
By:    MPM BioVentures III GP, L.P.,
   its General Partner
By:    MPM BioVentures III LLC,
   its General Partner
By:   

/s/ Luke Evnin

   Name: Luke Evnin
   Title: Series A Member
MPM BIOVENTURES III GMBH & CO. BETEILIGUNGS KG
By:    MPM BioVentures III GP, L.P.,
   in its capacity as the Managing Limited Partner
By:    MPM BioVentures III LLC,
   its General Partner
By:   

/s/ Luke Evnin

   Name: Luke Evnin
   Title: Series A Member
 

 

MPM ASSET MANAGEMENT INVESTORS 2003 BVIII LLC
By:   

/s/ Luke Evnin

  
   Name: Luke Evnin   
   Title: Manager   

 

MPM BIOVENTURES III GP, L.P.
By:    MPM BioVentures III LLC,
   its General Partner
By:   

/s/ Luke Evnin

Name:    Luke Evnin
Title:    Series A Member
MPM BIOVENTURES III LLC
By:   

/s/ Luke Evnin

Name:    Luke Evnin
Title:    Series A Member
 

 

By:   

/s/ Luke Evnin

   Name: Luke Evnin
By:   

/s/ Ansbert Gadicke

   Name: Ansbert Gadicke
 

 

By:   

/s/ Nicholas Galakatos

   Name: Nicholas Galakatos
By:   

/s/ Dennis Henner

   Name: Dennis Henner
 

 

By:  

/s/ Kurt Wheeler

          By:    

/s/ Nicholas Simon III

  Name: Kurt Wheeler       Name: Nicholas Simon III

EXHIBITS

 

A: Joint Filing Agreement

 

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