Sec Form 13G Filing - ESSEX WOODLANDS HEALTH VENTURES FUND VII LP filing for ENDOLOGIX INC (ELGX) - 2016-02-12

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

ENDOLOGIX, INC.

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

29266S106

(CUSIP Number)

Martin P. Sutter

Essex Woodlands Health Ventures Fund VII, L.P.

21 Waterway Avenue, Suite 225

The Woodlands, Texas 77380

(281) 364-1555

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

September 11, 2012

(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)

x 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).

 

 

 


SCHEDULE 13G

 

CUSIP No. 29266S106   Page 2 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures Fund VII, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,257,468

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 29266S106   Page 3 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VII, L.P.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,257,468

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

PN


CUSIP No. 29266S106   Page 4 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Essex Woodlands Health Ventures VII, L.L.C.

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   6   

SHARED VOTING POWER

 

-0-

   7   

SOLE DISPOSITIVE POWER

 

1,257,468

   8   

SHARED DISPOSITIVE POWER

 

-0-

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 29266S106   Page 5 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

James L. Currie

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 29266S106   Page 6 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Martin P. Sutter

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 29266S106   Page 7 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Immanuel Thangaraj

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 29266S106   Page 8 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Jeff Himawan

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 29266S106   Page 9 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Petri Vainio

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 29266S106   Page 10 of 15 Pages

 

  1   

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Ronald Eastman

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  x

 

  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

 

1,257,468

   7   

SOLE DISPOSITIVE POWER

 

-0-

   8   

SHARED DISPOSITIVE POWER

 

1,257,468

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,257,468

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  ¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

1.9%

12  

TYPE OF REPORTING PERSON

 

IN


ORIGINAL REPORT ON SCHEDULE 13G/A

Item 1.

 

  (a) Name of Issuer: Endologix, Inc.

 

  (b) Address of Issuer’s Principal Executive Offices:

2 Musick

Irvine, CA 92618

Item 2.

(a) Name of Person Filing: This Schedule 13G/A is being filed jointly by Essex Woodlands Health Ventures Fund VII, L.P., a Delaware limited partnership (“Essex VII Fund), Essex Woodlands Health Ventures VII, L.P., a Delaware limited partnership, the general partner of Essex VII (the “Essex VII Fund GP”), Essex Woodlands Health Ventures VII, L.L.C., a Delaware limited company, (“Essex VII General Partner), James L. Currie, an individual, Martin P. Sutter, an individual, Immanuel Thangaraj, an individual, Petri Vainio, an individual, Jeff Himawan, an individual, and Ronald Eastman, an individual (each a “Manager, collectively, the Managers, and together with the Essex VII Fund, Essex VII Fund GP and the Essex VII General Partner, the Reporting Persons).

(b) Address of Principal Business Office: The address of the principal business of each of the Reporting Persons is 21 Waterway, Suite 225, The Woodlands, Texas 77380.

(c) Citizenship: (i) Essex Woodlands Health Ventures Fund VII, L.P. is a Delaware limited partnership; (ii) Essex Woodlands Health Ventures VII, L.P. is a Delaware limited partnership, (iii) Essex Woodlands Health Ventures VII, L.L.C. is a Delaware limited liability company; (iv) James L. Currie, Martin P. Sutter, Immanuel Thangaraj, Petri Vainio, Jeff Himawan and Ronald Eastman are all individuals who are citizens of the United States.

(d) Title and Class of Securities: Common Stock

(e) CUSIP Number: 29266S106

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).

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a) Amount beneficially owned:

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,257,468 shares.

For each of the Managers, 1,257,468 shares.

 

(b) Percent of class:

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1.9%, based on 67,789,498 shares of common stock issued and outstanding as of October 26, 2015 as reported in the Issuer’s Form 10-Q filed on October 30, 2015.

For each of the Managers, 1.9%.

 

(c) Number of shares as to which such person has:

 

(i) Sole power to vote or to direct the vote:

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,257,468 shares.

 

(ii) Shared power to vote or to direct the vote:

For each of the Managers, 1,257,468 shares.

 

(iii) Sole power to dispose or to direct the disposition of:

For each of Essex VII, the Essex VII GP and the Essex VII General Partner, 1,257,468 shares.

 

(iv) Shared power to dispose or to direct the disposition of:

For each of the Managers, 1,257,468 shares.


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  x.

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

N/A

Item 8. Identification and Classification of Members of the Group

N/A

Item 9. Notice of Dissolution of Group

N/A

Item 10. Certification

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 the purpose or effect.


SIGNATURES

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Date: February 12, 2016.

 

ESSEX WOODLANDS HEALTH VENTURES FUND VII, L.P.       INDIVIDUALS:

By: Essex Woodlands Health Ventures VII, L.P.,

            Its General Partner

     

            /s/ James L. Currie

Name: James L. Currie

By: Essex Woodlands Health Ventures VII, .L.L.C.,

            Its General Partner

     
     

            /s/ Martin P. Sutter

      Name: Martin P. Sutter
By:  

    /s/ Martin P. Sutter

     
Name:       Martin P. Sutter      
Title:       Managing Director      
       

            /s/ Immanuel Thangaraj

        Name: Immanuel Thangaraj
ESSEX WOODLANDS HEALTH VENTURES VII, L.P.      

By: Essex Woodlands Health Ventures VII, .L.L.C.,

            Its General Partner

     

            /s/ Jeff Himawan

Name: Jeff Himawan

By:

 

    /s/ Martin P. Sutter

     
Name:       Martin P. Sutter      

            /s/ Petri Vainio

Title:       Managing Director       Name: Petri Vainio
ESSEX WOODLANDS HEALTH VENTURES VII, L.L.C.      
     

            /s/ Ronald Eastman

By:  

    /s/ Martin P. Sutter

      Name: Ronald Eastman
Name:       Martin P. Sutter      
Title:       Managing Director