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.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Amendment No. 1)*
Under the Securities Exchange Act of 1934
ALIMERA SCIENCES, INC.
(Name of Issuer)
Common Stock, $0.01 Par Value
(Title of Class of Securities)
016259103
(CUSIP Number)
Intersouth Partners
c/o Dennis Dougherty
102 City Hall Plaza, Suite 200
Durham, NC 27701
(919) 493-6640
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
August 16, 2016
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule l3G 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 § 240.13d-7 for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons 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. 016259103 | Page 2 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Partners V, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
300,168 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
300,168 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
300,168 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.5% | |||||
14. | Type of Reporting Person
PN |
CUSIP No. 016259103 | Page 3 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Affiliates V, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
14,068 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
14,068 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
14,068 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.02% | |||||
14. | Type of Reporting Person
PN |
CUSIP No. 016259103 | Page 4 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Associates V, LLC | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
314,236 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
314,236 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
314,236 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.5% | |||||
14. | Type of Reporting Person
CO |
CUSIP No. 016259103 | Page 5 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Partners VI, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
382,715 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
382,715 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
382,715 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.6% | |||||
14. | Type of Reporting Person
PN |
CUSIP No. 016259103 | Page 6 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Associates VI, LLC | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
382,715 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
382,715 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
382,715 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.6% | |||||
14. | Type of Reporting Person
CO |
CUSIP No. 016259103 | Page 7 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Partners VII, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
212,210 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
212,210 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
212,210 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.3% | |||||
14. | Type of Reporting Person
PN |
CUSIP No. 016259103 | Page 8 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Intersouth Associates, VII, LLC | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
212,210 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
212,210 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
212,210 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
0.3% | |||||
14. | Type of Reporting Person
CO |
CUSIP No. 016259103 | Page 9 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Dennis Dougherty | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
United States | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
909,161 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
909,161 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
909,161 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
1.4% | |||||
14. | Type of Reporting Person
IN |
CUSIP No. 016259103 | Page 10 of 19 |
1. | Name of Reporting Person I.R.S. Identification No. of Above Person (Entities Only)
Mitch Mumma | |||||
2. | Check the Appropriate Box if a Member of a Group
(a) ☒ (b) ☐ | |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
Not Applicable | |||||
6. | Citizenship or Place of Organization
United States | |||||
Number of Shares Beneficially Owned By Each Reporting Person with
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
909,161 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
909,161 | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
909,161 | |||||
12. | Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
1.4% | |||||
14. | Type of Reporting Person
IN |
CUSIP No. 016259103 | Page 11 of 19 |
This Amendment No. 1 on Schedule 13D (Schedule 13D/A) amends the statement on Schedule 13D, dated September 10, 2010, which relates to the Common Stock, par value $0.01 per share (the Common Stock) of Alimera Sciences, Inc. (the Issuer) filed by:
Intersouth Partners V, L.P. (ISP V)
Intersouth Affiliates V, L.P. (IS Affiliates)
Intersouth Associates V, LLC (ISA V)
Intersouth Partners VI, L.P. (ISP VI)
Intersouth Associates VI, LLC (ISA VI)
Intersouth Partners VII, L.P. (ISP VII)
Intersouth Associates VII, LLC (ISA VII)
Dennis Dougherty (Dougherty)
Mitch Mumma (Mumma)
(collectively, the Reporting Persons).
Except as expressly amended below, the Schedule 13D, dated September 10, 2010, remains in effect.
As of March 9, 2017, the Reporting Persons beneficially own less than five percent of Issuers outstanding Common Stock. This is the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons.
Item 2. | Identity and Background. |
(b) | The Reporting Persons business address is 102 City Hall Plaza, Suite 200, Durham, North Carolina 27701. |
(f) | The Reporting Persons that are entities are organized under the laws of the state of Delaware. |
Item 5. | Interest in Securities of the Issuer. |
(a) | Aggregate number and percentage beneficially owned: |
ISP V 300,168 or less than 1% |
IS Affiliates 14,068 or less than 1% |
ISA V 314,236 or less than 1% |
ISP VI 382,715 or less than 1% |
ISA VI 382,715 or less than 1% |
ISP VII 212,210 or less than 1% |
ISA VII 212,210 or less than 1% |
Dougherty 909,161 or 1.4% |
Mumma 909,161 or 1.4% |
CUSIP No. 016259103 | Page 12 of 19 |
(b) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote |
ISP V 0
IS Affiliates 0
ISA V 0
ISP VI 0
ISA VI 0
ISP VII 0
ISA VII 0
Dougherty 0
Mumma 0
(ii) | Sole power to dispose or to direct the disposition of |
ISP V 0
IS Affiliates 0
ISA V 0
ISP VI 0
ISA VI 0
ISP VII 0
ISA VII 0
Dougherty 0
Mumma 0
(iii) | Shared power to dispose or to direct the disposition of |
ISP V 300,168 or less than 1%
IS Affiliates 14,068 or less than 1%
ISA V 314,236 or less than 1%
ISP VI 382,715 or less than 1%
ISA VI 382,715 or less than 1%
ISP VII 212,210 or less than 1%
ISA VII 212,210 or less than 1%
Dougherty 909,161 or 1.4%
Mumma 909,161 or 1.4%
(iv) | Shared power to vote or to direct the vote |
ISP V 300,168 or less than 1%
IS Affiliates 14,068 or less than 1%
ISA V 314,236 or less than 1%
ISP VI 382,715 or less than 1%
ISA VI 382,715 or less than 1%
ISP VII 212,210 or less than 1%
ISA VII 212,210 or less than 1%
Dougherty 909,161 or 1.4%
Mumma 909,161 or 1.4%
(c) Schedule I hereto sets forth all transactions with respect to the Issuers Common Stock effected by the Reporting Persons since the filing of the initial Schedule 13D. All such transactions were effected in the open market.
CUSIP No. 016259103 | Page 13 of 19 |
Item 7. | Materials to be Filed as Exhibits. |
Exhibit A Joint Filing Agreement (appears at page 16 of this statement).
Schedule I Transactions in the Shares of the Issuer since the Filing of the Initial Schedule 13D.
CUSIP No. 016259103 | Page 14 of 19 |
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.
Date: June 8, 2017
INTERSOUTH PARTNERS V, L.P. | ||
By: Intersouth Associates V, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH AFFILIATES V, L.P. | ||
By: Intersouth Associates V, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH ASSOCIATES V, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH PARTNERS VI, L.P. | ||
By: Intersouth Associates VI, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member |
CUSIP No. 016259103 | Page 15 of 19 |
INTERSOUTH ASSOCIATES VI, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH PARTNERS VII, L.P. | ||
By: Intersouth Associates VII, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH ASSOCIATES VII, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
/s/ Dennis Dougherty | ||
Dennis Dougherty | ||
/s/ Mitch Mumma | ||
Mitch Mumma |
CUSIP No. 016259103 | Page 16 of 19 |
Exhibit A
AGREEMENT REGARDING THE JOINT FILING OF AMENDMENT NO. 1 TO SCHEDULE 13D
The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Amendment No. 1 to Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule jointly on behalf of each such party.
Date: June 8, 2017
[Signature Pages Follow]
CUSIP No. 016259103 | Page 17 of 19 |
IN WITNESS WHEREOF, the parties hereto have executed and delivered this Agreement as of the date first written above.
INTERSOUTH PARTNERS V, L.P. | ||
By: Intersouth Associates V, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH AFFILIATES V, L.P. | ||
By: Intersouth Associates V, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH ASSOCIATES V, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH PARTNERS VI, L.P. | ||
By: Intersouth Associates VI, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
INTERSOUTH ASSOCIATES VI, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member |
CUSIP No. 016259103 | Page 18 of 19 |
INTERSOUTH PARTNERS VII, L.P. | ||
By: Intersouth Associates VII, LLC, | ||
Its General Partner | ||
By: | /s/ Dennis Dougherty | |
Name: | < /td> | Dennis Dougherty |
Title: | Managing Member | |
INTERSOUTH ASSOCIATES VII, LLC | ||
By: | /s/ Dennis Dougherty | |
Name: | Dennis Dougherty | |
Title: | Managing Member | |
/s/ Dennis Dougherty | ||
Dennis Dougherty | ||
/s/ Mitch Mumma | ||
Mitch Mumma |
CUSIP No. 016259103 | Page 19 of 19 |
Schedule I
Transactions in the Shares of the Issuer since the Filing of the Initial Schedule 13D
Trade Date |
Price per share |
Intersouth Affiliates V, L.P. Shares Sold |
Intersouth Partners V, L.P. Shares Sold |
Intersouth Partners VI, L.P. Shares Sold |
Intersouth Partners VII, L.P. Shares Sold |
|||||||||||||||
1/23/2017 |
$ | 1.19 | 3,750 | 82,250 | 105,250 | 58,750 | ||||||||||||||
2/13/2017 |
$ | 1.23 | 69 | 1,513 | 1,937 | 1,081 | ||||||||||||||
2/14/2017 |
$ | 1.24 | 5,425 | 118,999 | 152,276 | 85,000 | ||||||||||||||
2/15/2017 |
$ | 1.25 | 605 | 13,278 | 16,992 | 9,485 | ||||||||||||||
2/16/2017 |
$ | 1.23 | 5,150 | 112,959 | 144,546 | 80,685 | ||||||||||||||
3/6/2017 |
$ | 1.36 | 1,800 | 39,480 | 50,520 | 28,200 | ||||||||||||||
3/7/2017 |
$ | 1.32 | 1,643 | 36,045 | 46,124 | 25,746 | ||||||||||||||
3/8/2017 |
$ | 1.30 | 3,750 | 82,250 | 105,250 | 58,750 | ||||||||||||||
3/9/2017 |
$ | 1.33 | 3,999 | 87,711 | 112,239 | 62,651 | ||||||||||||||
3/10/2017 |
$ | 1.40 | 3,808 | 83,514 | 106,867 | 59,653 | ||||||||||||||
3/17/2017 |
$ | 1.64 | 2,638 | 57,857 | 74,037 | 41,327 | ||||||||||||||
3/20/2017 |
$ | 1.50 | 1,500 | 32,900 | 42,100 | 23,500 | ||||||||||||||
3/21/2017 |
$ | 1.42 | 1,463 | 32,083 | 41,055 | 22,916 | ||||||||||||||
3/22/2017 |
$ | 1.37 | 999 | 21,919 | 28,049 | 15,657 | ||||||||||||||
4/10/2017 |
$ | 1.45 | 3,000 | 65,800 | 84,200 | 47,000 | ||||||||||||||
4/11/2017 |
$ | 1.44 | 3,382 | 74,190 | 94,936 | 52,992 | ||||||||||||||
4/12/2017 |
$ | 1.40 | 5,728 | 125,642 | 160,777 | 89,745 | ||||||||||||||
4/13/2017 |
$ | 1.39 | 2,889 | 63,368 | 81,088 | 45,263 | ||||||||||||||
5/10/2017 |
$ | 1.59 | 1,025 | 22,484 | 28,771 | 16,059 | ||||||||||||||
5/11/2017 |
$ | 1.52 | 5,639 | 123,685 | 158,271 | 88,346 | ||||||||||||||
5/12/2017 |
$ | 1.50 | 585 | 12,831 | 16,419 | 9,165 | ||||||||||||||
5/19/2017 |
$ | 1.50 | 611 | 13,403 | 17,151 | 9,574 | ||||||||||||||
5/22/2017 |
$ | 1.50 | 25 | 559 | 716 | 400 | ||||||||||||||
5/24/2017 |
$ | 1.50 | 39 | 855 | 1,095 | 611 | ||||||||||||||
|
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|||||||||||||
Total shares sold: |
|
59,522 | 1,305,575 | 1,670,666 | 932,556 | |||||||||||||||
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