Statement of Ownership (sc 13g)
June 29 2017 - 5:00PM
Edgar (US Regulatory)
|
UNITED STATES
|
|
|
SECURITIES AND EXCHANGE COMMISSION
|
|
|
Washington, D.C. 20549
|
|
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Savara Inc.
(Name
of Issuer)
Common
Stock, $0.001 Par Value
(Title
of Class of Securities)
805111101
(CUSIP
Number)
June
7, 2017
(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).
CUSIP
No. 805111101
|
|
|
1.
|
Names
of Reporting Persons
Zambon SpA (“ZSPA”)
|
|
|
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
Italy
|
|
|
|
Number
of
Shares
Beneficially
Owned by
Each
Reporting
Person With
|
5.
|
Sole
Voting Power
4,693,540 shares
|
|
6.
|
Shared
Voting Power
0 shares
|
|
7.
|
Sole
Dispositive Power
4,693,540 shares
|
|
8.
|
Shared
Dispositive Power
0 shares
|
|
|
9.
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
4,693,540 shares
|
|
|
10.
|
Check
if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
|
|
|
11.
|
Percent
of Class Represented by Amount in Row (9)
19.5%
|
|
|
12.
|
Type
of Reporting Person (See Instructions)
CO
|
|
|
|
|
|
|
CUSIP
No. 805111101
|
|
|
1.
|
Names
of Reporting Persons
Zambon Company SpA (“ZCSPA”)
|
|
|
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
Italy
|
|
|
|
Number
of
Shares
Beneficially
Owned by
Each
Reporting
Person With
|
5.
|
Sole
Voting Power
4,693,540 shares (1)
|
|
6.
|
Shared
Voting Power
0 shares
|
|
7.
|
Sole
Dispositive Power
4,693,540 shares (1)
|
|
8.
|
Shared
Dispositive Power
0 shares
|
|
|
9.
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
4,693,540 shares (1)
|
|
|
10.
|
Check
if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
|
|
|
11.
|
Percent
of Class Represented by Amount in Row (9)
19.5%
|
|
|
12.
|
Type
of Reporting Person (See Instructions)
CO
|
|
|
|
|
|
|
(1)
Represents shares held directly by ZSPA, a wholly-owned subsidiary of ZCSPA.
Item 1.
|
|
(a)
|
Name
of Issuer
Savara Inc.
|
|
(b)
|
Address
of Issuer’s Principal Executive Offices
900 South Capital of Texas Highway, Las Cimas IV, Suite 150
Austin,
TX 78746
|
|
Item 2.
|
|
(a)
|
Name
of Person Filing
Zambon Company SpA (“ZCSPA”) and Zambon SpA (“ZSPA”). The foregoing entities are collectively
referred to as the “Reporting Persons.”
|
|
(b)
|
Address
of Principal Business Office or, if none, Residence
Zambon
Company SpA
Via
Lillo del Duca, 10
Bresso,
MI 20091
Italy
Zambon
SpA
Via
Lillo del Duca, 10
Bresso,
MI 20091
Italy
|
|
(c)
|
Citizenship
ZCSPA
is a corporation organized under the laws of Italy. ZSPA is a corporation organized under the laws of Italy.
|
|
(d)
|
Title
of Class of Securities
Common Stock, $0.001 Par Value
|
|
(e)
|
CUSIP
Number
805111101
|
|
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 (15 U.S.C. 78o);
|
|
(b)
|
☐
|
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
|
|
(c)
|
☐
|
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
|
|
(d)
|
☐
|
Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
|
|
(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)(1)(ii)(G);
|
|
(h)
|
☐
|
A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
(i)
|
☐
|
A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company
Act of 1940 (15 U.S.C. 80a-3);
|
|
(j)
|
☐
|
Group,
in accordance with §240.13d-1(b)(1)(ii)(J).
|
Provide the following information regarding the aggregate
number and percentage of the class of securities of the issuer identified in Item 1.
The approximate percentages of Common Stock reported
as beneficially owned by the Reporting Persons is based upon 24,102,956 shares of Common Stock outstanding as of June 7, 2017,
as reported in the Issuer’s prospectus supplement dated June 2, 2017, including 613,157 sold pursuant to the partial exercise
of the underwriters' option to purchase additional shares of Common Stock.
|
(a)
|
Amount
beneficially owned:
See
Row 9 of cover page for each Reporting Person.
|
|
(b)
|
Percent
of class:
See
Row 11 of cover page for each Reporting Person.
|
|
(c)
|
Number
of shares as to which the person has:
|
|
|
(i)
|
Sole
power to vote or to direct the vote
See
Row 5 of cover page for each Reporting Person.
|
|
|
(ii)
|
Shared
power to vote or to direct the vote
See
Row 6 of cover page for each Reporting Person.
|
|
|
(iii)
|
Sole
power to dispose or to direct the disposition of
See
Row 7 of cover page for each Reporting Person.
|
|
|
(iv)
|
Shared
power to dispose or to direct the disposition of
See
Row 8 of cover page for each Reporting Person.
|
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
|
N/A
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported
on By the Parent Holding Company or Control Person
|
N/A
Item 8.
|
Identification and Classification of Members of the Group
|
N/A
Item 9.
|
Notice of Dissolution of Group
|
N/A
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.
Dated:
June 29, 2017
|
ZAMBON COMPANY SPA
|
|
|
|
By:
|
Rosella De Dominicis
|
|
|
|
Head
of Legal Affairs
|
|
|
|
|
|
|
|
ZAMBON SPA
|
|
|
|
By:
|
Rosella De Dominicis
|
|
|
|
Head
of Legal Affairs
|
|
|
|
ATTENTION
|
|
Intentional
misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).
|
Savara Inc. (AMEX:MSTX)
Historical Stock Chart
From Dec 2024 to Jan 2025
Savara Inc. (AMEX:MSTX)
Historical Stock Chart
From Jan 2024 to Jan 2025