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
What is insider trading>>
_____________________
| OMB APPROVAL |
|_____________________|
|OMB NUMBER: |
UNITED STATES |EXPIRES: |
SECURITIES AND EXCHANGE COMMISSION | JUNE 30, 2012 |
Washington, D.C. 20549 |ESTIMATED AVERAGE |
|BURDEN HOURS |
|PER RESPONSE ...11 |
SCHEDULE 13G _____________________|
Under the Securities Exchange Act of 1934
(Amendment No. _ )*
Viveve Medical Inc (VIVE)
---------------------------------------------
(Name of Issuer)
Common Stock
-------------------------------------------------
(Title of Class of Securities)
92852W303
----------------------------------------------------
(CUSIP Number)
December 31, 2019
------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] 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. 92852W303 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Investment Group, L.P.
------------------------------------------------------------------------------
(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
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 244,811
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
244,811
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,811
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%*
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
IA
------------------------------------------------------------------------------
*The reporting persons are the beneficial owners of 244,811 shares of Common
Stock of the Issuer, which constitute approximately 6.1% of the Issuer's
outstanding Common Stock shares. The percentage calculation assumes that there
are currently 4,023,472 outstanding shares of Common Stock of the Issuer,
based on the Issuer's 8K, as filed with the Securities and Exchange Commission
on November 27, 2019.
------------------------------------------------------------------------------
CUSIP No. 92852W303 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Fund GP, LLC
------------------------------------------------------------------------------
(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
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 244,811
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
244,811
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,811
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%*
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
OO
------------------------------------------------------------------------------
*The reporting persons are the beneficial owners of 244,811 shares of Common
Stock of the Issuer, which constitute approximately 6.1% of the Issuer's
outstanding Common Stock shares. The percentage calculation assumes that there
are currently 4,023,472 outstanding shares of Common Stock of the Issuer,
based on the Issuer's 8K, as filed with the Securities and Exchange Commission
on November 27, 2019.
------------------------------------------------------------------------------
CUSIP No. 92852W303 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Fund 2 GP, LLC
------------------------------------------------------------------------------
(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
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 244,811
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
244,811
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,811
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%*
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
OO
------------------------------------------------------------------------------
*The reporting persons are the beneficial owners of 244,811 shares of Common
Stock of the Issuer, which constitute approximately 6.1% of the Issuer's
outstanding Common Stock shares. The percentage calculation assumes that there
are currently 4,023,472 outstanding shares of Common Stock of the Issuer,
based on the Issuer's 8K, as filed with the Securities and Exchange Commission
on November 27, 2019.
------------------------------------------------------------------------------
CUSIP No. 92852W303 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alyeska Fund 3 GP, LLC
------------------------------------------------------------------------------
(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
Delaware
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 244,811
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
244,811
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,811
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%*
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
OO
------------------------------------------------------------------------------
*The reporting persons are the beneficial owners of 244,811 shares of Common
Stock of the Issuer, which constitute approximately 6.1% of the Issuer's
outstanding Common Stock shares. The percentage calculation assumes that there
are currently 4,023,472 outstanding shares of Common Stock of the Issuer,
based on the Issuer's 8K, as filed with the Securities and Exchange Commission
on November 27, 2019.
-------------------------------------------------------------------------------
CUSIP No. 92852W303 SCHEDULE 13G
------------------------------------------------------------------------------
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Anand Parekh
------------------------------------------------------------------------------
(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
United States of America
------------------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 244,811
EACH REPORTING -------------------------------------------
PERSON WITH (7) SOLE DISPOSITIVE POWER
0
-------------------------------------------
(8) SHARED DISPOSITIVE POWER
244,811
------------------------------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,811
------------------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
------------------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.1%*
------------------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON (See Instructions)
IN
------------------------------------------------------------------------------
*The reporting persons are the beneficial owners of 244,811 shares of Common
Stock of the Issuer, which constitute approximately 6.1% of the Issuer's
outstanding Common Stock shares. The percentage calculation assumes that there
are currently 4,023,472 outstanding shares of Common Stock of the Issuer,
based on the Issuer's 8K, as filed with the Securities and Exchange Commission
on November 27, 2019.
CUSIP NO. 92852W303 SCHEDULE 13G
Item 1(a). Name of Issuer:
Viveve Medical, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
345 Inverness Drive South, Building B, Suite 250
Englewood, Colorado 80112
Item 2(a). Name of Persons Filing
:
(i) Alyeska Investment Group, L.P.
(ii) Alyeska Fund GP, LLC
(iii) Alyeska Fund 2 GP, LLC
(iv) Alyeska Fund 3 GP, LLC
(v) Anand Parekh
Item 2(b). Address of Principal Business Office or, if None, Residence:
(i) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(ii) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(iii) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(iv) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
(v) 77 West Wacker Drive, 7th Floor
Chicago, IL 60601
Item 2(c). Citizenship:
(i) Alyeska Investment Group, L.P.- Delaware
(ii) Alyeska Fund GP, LLC- Delaware
(iii) Alyeska Fund 2 GP, LLC- Delaware
(iv) Alyeska Fund 3 GP, LLC- Delaware
(v) Anand Parekh - United States of America
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
92852W303
Item 3. If This Statement is Filed Pursuant to Sections 240.13d-1(b)
or 240.13d-2(b), Check Whether the Person Filing is a:
(a) Alyeska Investment Group, L.P., a limited partnership organized under the
laws of the State of Delaware, is a registered investment adviser under Section
203 of the Investment Advisers Act of 1940, as amended, and is reporting in
accordance with 240.13d-1(b)(1)(ii)(E).
(b) Alyeska Fund GP, LLC, a limited liability company organized under the laws
of the State of Delaware, serves as the General Partner and control person of
Alyeska Master Fund, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
(c) Alyeska Fund 2 GP, LLC, a limited liability company organized under the laws
of the State of Delaware, serves as the General Partner and control person of
Alyeska Master Fund 2, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
(d) Alyeska Fund 3 GP, LLC, a limited liability company organized under the laws
of the State of Delaware, serves as the General Partner and control person of
Alyeska Master Fund 3, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
(e) Anand Parekh is the Chief Executive Officer and control person of Alyeska
Investment Group, L.P., and is reporting in accordance with
240.13d-1(b)(1)(ii)(G).
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: Please refer to items 5-9 of the cover
pages attached hereto
(b) Percent of class: Please refer to item 11 of the cover pages attached
hereto
(c) Number of shares as to which the person has: Please refer to items
5-8 of the cover pages attached hereto
The reporting persons are the beneficial owners of (i) 81,811 shares of
Common Stock of the Issuer, and (ii) warrants to purchase 163,000 shares of
the Issuer's Common Stock (the "Warrants"). Per their terms, the Warrants can
only be exercised into such number of shares that would constitute 9.99% of the
total number of Common Stock of the Issuer outstanding immediately after giving
effect to the issuance of shares of Common Stock upon exercise of the Warrants
by the Holder. Accordingly, as of December 31, 2019, the reporting persons may
exercise all 163,000 shares of Common Stock under the Warrants, and as such, are
reporting beneficial ownership of 244,811 shares. The percentage calculation
assumes that there are currently 4,023,472 outstanding shares of Common Stock
of the Issuer, based on the Issuer's 8K, as filed with the Securities and
Exchange Commission on November 27, 2019.
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable
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 or
Controlling Person.
Not Applicable
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 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.
CUSIP NO. 92852W303 SCHEDULE 13G
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.
Dated: February 14, 2020
Alyeska Investment Group, L.P.
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 2 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 3 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Anand Parekh
By: /s/ Anand Parekh
-------------------------------
Name: Anand Parekh
Individually
CUSIP NO. 92852W303 SCHEDULE 13G
Exhibit A
Agreement
The undersigned agree that the statement to which this exhibit is appended is
filed on behalf of each of them.
Dated: February 14, 2020
Alyeska Investment Group, L.P.
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 2 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Alyeska Fund 3 GP, LLC
By: /s/ Jason Bragg
-------------------------------
Name: Jason Bragg
Title: Chief Financial Officer
Anand Parekh
By: /s/ Anand Parekh
-------------------------------
Name: Anand Parekh
Individually