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.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b),
(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 1)*
NeuroMetrix, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
641255104
- --------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2005
- --------------------------------------------------------------------------------
(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)
[X] 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
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).
(Continued on following pages)
Page 1 of 12 Pages
Exhibit Index on Page 11
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 2 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi Ventures IV, L.P. ("DV IV")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
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 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
PN
- ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 3 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi BioInvestments IV, L.P. ("DBI IV")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
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 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
PN
- ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 4 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Delphi Management Partners IV, L.L.C. ("DMP IV")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
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 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
OO
- ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 5 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James J. Bochnowski ("Bochnowski")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) (b) X
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------ ---------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ------------ ---------------------------------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------
------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
IN
- ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 6 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David L. Douglass ("Douglass")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) (b) X
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------ ---------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ------------ ---------------------------------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
IN
- ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- ------------------- --------------------------------------
CUSIP NO. 641255104 13 G Page 7 of 12 Pages
- ---------------------------------------------------------- ------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Donald J. Lothrop ("Lothrop")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) (b) X
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------ ---------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ------------ ---------------------------------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY 0 shares
OWNED BY EACH
REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 0
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
IN
- ------------ ---------------------------------------------------------------------------------------------------------
Page 8 of 12 Pages
This Amendment No. 1 amends the previous statement on Schedule 13G
filed by Delphi Ventures IV, L.P., a Delaware limited partnership ("DV
IV"), Delphi BioInvestments IV, L.P., a Delaware limited partnership
("DBI IV"), Delphi Management Partners IV, L.L.C., a Delaware limited
liability company ("DMP IV") and the general partner of DV IV and DBI
IV, James J. Bochnowski ("Bochnowski"), David L. Douglass ("Douglass")
and Donald J. Lothrop ("Lothrop"), the managing members of DMP IV. The
foregoing entities and individuals are collectively referred to as the
"Reporting Persons". Only those items as to which there has been a
change are included in this Amendment No. 1.
DMP IV is the general partner of DV IV and DBI IV and may be deemed to
have sole power to vote and sole power to dispose of shares of the
issuer directly owned by DV IV and DBI IV. Bochnowski, Douglass and
Lothrop are the managing members of DMP IV and may be deemed to have
shared power to vote and shared power to dispose of the shares of the
issuer directly owned by DV IV and DBI IV.
ITEM 4. OWNERSHIP:
----------
The following information with respect to the ownership of the Common
Stock of the issuer by the persons filing this Statement is provided
as of December 31, 2005
(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 such 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: [X] Yes
Page 9 of 12 Pages
SIGNATURES
----------
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 __, 2006
DELPHI VENTURES IV, L.P., a Delaware
Limited Partnership
By: Delphi Management Partners IV, L.L.C.,
a Delaware Limited Liability Company
Its General Partner
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski
Member
DELPHI BIOINVESTMENTS IV, L.P.,
a Delaware Limited Partnership
By: Delphi Management Partners IV, L.L.C.,
a Delaware Limited Liability Company
Its General Partner
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski
Member
DELPHI MANAGEMENT PARTNERS IV, L.L.C.,
a Delaware Limited Liability Company
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski
Member
Page 10 of 12 Pages
JAMES J. BOCHNOWSKI
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski
DAVID L. DOUGLASS
By: /s/ David L. Douglass
------------------------------------
David L. Douglass
DONALD J. LOTHROP
By: /s/ Donald J. Lothrop
-------------------------------
Donald J. Lothrop
Page 11 of 12 Pages
EXHIBIT INDEX
-------------
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
Exhibit A: Agreement of Joint Filing 12
Page 12 of 12 Pages
EXHIBIT A
---------
Agreement of Joint Filing
-------------------------
The undersigned hereby agree that a single Schedule 13G (or any amendment
thereto) relating to the Common Stock of NeuroMetrix, Inc. shall be filed on
behalf of each of the undersigned and that this Agreement shall be filed as an
exhibit to such Schedule 13G.
Date: February __, 2006
February __, 2006 DELPHI MANAGEMENT PARTNERS IV, L.L.C.,
a Delaware Limited Liability Company
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski, Member
February __, 2006 DELPHI VENTURES IV, L.P.,
a Delaware Limited Partnership
By: Delphi Management Partners IV, L.L.C.,
a Delaware Limited Liability Company
Its General Partner
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski, Member
February __, 2006 DELPHI BIOINVESTMENTS IV, L.P.,
a Delaware Limited Partnership
By: Delphi Management Partners IV, L.L.C.,
a Delaware Limited Liability Company
Its General Partner
By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski, Member
February __, 2006 By: /s/ James J. Bochnowski
------------------------------------
James J. Bochnowski
February __, 2006 By: /s/ David L. Douglass
------------------------------------
David L. Douglass
February __, 2006 By: /s/ Donald J. Lothrop
------------------------------------
Donald J. Lothrop