Statement of Ownership (sc 13g)
January 12 2018 - 5:02PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
RESHAPE
LIFESCIENCES INC.
(Name of Issuer)
Common Stock, par value $0.01 per share
(Title of Class of Securities)
29365M505
(CUSIP Number)
December 19, 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)
*
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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 the disclosures provided in a prior cover page.
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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).
SCHEDULE 13G
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CUSIP No. 29365M505
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Page
2
of 8
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(1)
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Names of
reporting persons
Endeavour Medtech Growth LP
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Guernsey
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
3,421,641
(1)
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(6)
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Shared voting power
-0-
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(7)
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Sole dispositive power
3,421,641
(1)
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(8)
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Shared dispositive power
-0-
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(9)
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Aggregate amount beneficially owned by each reporting person
3,421,641
(1)
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
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(11)
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Percent of class represented by amount
in Row (9)
10.8%
(2)
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(12)
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Type of reporting person (see
instructions)
PN
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(1)
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Includes (i) 2,709,841 shares of common stock, par value $0.01 per share (the Common Stock), of ReShape Lifesciences Inc. (the Issuer), and (ii) 711,800 shares of Common Stock issuable upon
conversion of 7,118 shares of Series C Convertible Preferred Stock, par value $0.01 per share (the Series C Convertible Preferred Stock), of the Issuer.
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(2)
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Percentage calculated using a denominator of 31,668,913 shares of Common Stock of the Issuer, which includes (i) 29,957,113 shares of Common Stock of the Issuer outstanding as of December 19, 2017, as reported
by the Issuer in its Form
8-K
filed on December 22, 2017, (ii) 1,000,000 shares of Common Stock of the Issuer issued to Endeavour Medtech Growth LP (Medtech Growth LP) after its election to
convert 10,000 shares of Series C Convertible Preferred Stock of the Issuer made on December 19, 2017, and (iii) 711,800 shares of Common Stock issuable upon conversion of 7,118 shares of Series C Convertible Preferred Stock.
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SCHEDULE 13G
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CUSIP No. 29365M505
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Page
3
of 8
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(1)
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Names of
reporting persons
Endeavour Medtech GP Limited
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Guernsey
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
3,421,641
(1)
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(6)
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Shared voting power
-0-
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(7)
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Sole dispositive power
3,421,641
(1)
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(8)
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Shared dispositive power
-0-
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(9)
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Aggregate amount beneficially owned by each reporting person
3,421,641
(1)
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
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(11)
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Percent of class represented by amount
in Row (9)
10.8%
(2)
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(12)
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Type of reporting person (see
instructions)
OO/HC
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(1)
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Includes (i) 2,709,841 shares of Common Stock of the Issuer, and (ii) 711,800 shares of Common Stock of the Issuer issuable upon conversion of 7,118 shares of Series C Convertible Preferred Stock of the Issuer,
each of which are held by Medtech Growth LP, of which Endeavour Medtech GP Limited (Medtech GP) is the general partner.
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(2)
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Percentage calculated using a denominator of 31,668,913 shares of Common Stock of the Issuer, which includes (i) 29,957,113 shares of Common Stock of the Issuer outstanding as of December 19, 2017, as reported
by the Issuer in its Form
8-K
filed on December 22, 2017, (ii) 1,000,000 shares of Common Stock of the Issuer issued to Medtech Growth LP (of which Medtech GP is the general partner) after its election to
convert 10,000 shares of Series C Convertible Preferred Stock of the Issuer made on December 19, 2017, and (iii) 711,800 shares of Common Stock issuable upon conversion of 7,118 shares of Series C Convertible Preferred Stock held by Medtech
Growth LP (of which Medtech GP is the general partner).
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SCHEDULE 13G
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CUSIP No. 29365M505
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Page
4
of 8
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Item 1.
ReShape Lifesciences Inc. (the Issuer).
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(b)
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Address of Issuers Principal Executive Offices
:
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2800 Patton Road
St. Paul, Minnesota 55113.
Item 2.
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(a)
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Name of Person Filing
:
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This Schedule 13G is filed by:
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(i)
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Endeavour Medtech Growth LP, a Guernsey registered limited partnership (Medtech Growth LP); and
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(ii)
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Endeavour Medtech GP Limited, a Guernsey registered company (Medtech GP), which is the general partner of Medtech Growth LP and may be deemed to control Medtech Growth LP and have voting power and
dispositive power with respect to equity securities owned by Medtech Growth LP.
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Each of Medtech Growth LP and Medtech GP are
sometimes individually referred to herein as a Reporting Person and collectively as the Reporting Persons.
The
Reporting Persons have entered into a joint filing agreement, a copy of which is attached as Exhibit A.
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(b)
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Address of the Principal Office or, if none, residence
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c/o Ipes (Guernsey) Limited
Attn: James Nicolle
1
Royal Plaza, Royal Avenue
St. Peter Port
Guernsey, GY1 2HL
Channel
Islands
Each of the Reporting Persons is organized under the laws of Guernsey.
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(d)
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Title of Class of Securities:
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Common stock, par value $0.01 per share
29365M505
SCHEDULE 13G
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CUSIP No. 29365M505
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Page
5
of 8
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Item 3. If this statement is filed pursuant to Rule
13d-1(b),
or
13d-2(b)
or (c), check whether the person filing is a:
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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☐
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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☐
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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☐
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C
80a-8).
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(e)
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☐
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An investment adviser in accordance with
§240.13d-1(b)(1)(ii)(E).
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with
§240.13d-1(b)(1)(ii)(F).
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(g)
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☐
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A parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G).
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(h)
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☐
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
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(i)
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☐
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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).
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(j)
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☐
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Group, in accordance with
§240.13d-1(b)(1)(ii)(J).
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Item 4. Ownership.
With respect to the beneficial ownership of the Reporting Persons, see Items 5 through 11 of the cover pages to this Schedule 13G, which are
incorporated herein by reference.
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.
Not applicable.
SCHEDULE 13G
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CUSIP No. 29365M505
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Page
6
of 8
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Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of
Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing
below, each of the undersigned certifies that, to the best of its 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.
SCHEDULE 13G
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CUSIP No. 29365M505
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Page
7
of 8
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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: January 12, 2018
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ENDEAVOUR MEDTECH GROWTH LP
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By:
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Endeavour Medtech GP Limited
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Its:
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General Partner
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By:
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/s/ James Nicolle
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Name:
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James Nicolle
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Title:
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Director
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ENDEAVOUR MEDTECH GP LIMITED
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By:
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/s/ James Nicolle
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Name:
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James Nicolle
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Title:
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Director
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SCHEDULE 13G
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CUSIP No. 29365M505
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Page
8
of 8
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EXHIBIT INDEX
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Exhibit A
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Joint Filing Agreement by and between Endeavour Medtech Growth LP and Endeavour Medtech GP Limited, dated January 12, 2018.*
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