Sec Form 13G Filing - Hargrove Reginald J. filing for COLLPLANT BIOTECHNOLOGIES SHS (CLGN) - 2020-11-27

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.  1 )*

(Name of Issuer)

(Title of Class of Securities)

(CUSIP Number)

Reginald J. Hargrove

Anna Hargrove

The Upper Ground Tater Trust

c/o Reginald J. Hargrove

1000 Westbank Dr., Ste #2A

Austin, TX 78746

Copy to:

Jason R. Schendel

Sheppard, Mullin, Richter & Hampton LLP

379 Lytton Ave.

Palo Alto, California 94301

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

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

*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 (the “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).

(1)   Consists of (a) 125,000 shares of the Issuer’s ordinary shares underlying American Depository Shares (“ADSs”) held by the Reporting Person directly and (b) 125,000 shares of the Issuer’s ordinary shares underlying ADSs issuable upon exercise of an ordinary warrant.

(2)   Based on 6,567,536 ordinary shares of the Issuer issued and outstanding as of August 31, 2020 (which number was set forth in the Report of Foreign Private Issuer on Form 6-K for the month of September 2020 filed with the SEC on September 1, 2020), plus the 125,000 shares of the Issuer’s ordinary shares underlying the ordinary warrant referred to in footnote (1) above.

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(1)   Based on 6,567,536 ordinary shares of the Issuer issued and outstanding as of August 31, 2020 (which number was set forth in the Report of Foreign Private Issuer on Form 6-K for the month of September 2020 filed with the SEC on September 1, 2020).

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(1)   Consists of (a) 26,000 ordinary shares underlying ADSs held bye to the Reporting Person directly, (b) 6,000 ordinary shares underlying ADSs held by the Reporting Person’s children, over which the Reporting Person may be deemed to have voting and/or dispositive control, and (c) 31,250 ordinary shares underlying ADSs issuable upon exercise of an ordinary warrant.

(2)   Based on 6,567,536 ordinary shares of the Issuer issued and outstanding as of August 31, 2020 (which number was set forth in the Report of Foreign Private Issuer on Form 6-K for the month of September 2020 filed with the SEC on September 1, 2020), plus the 31,250 shares of the Issuer’s ordinary shares underlying the ordinary warrant referred to in footnote (1) above.

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Item 1(a).              Name of Issuer:

CollPlant Biotechnologies Ltd. (the “Issuer”)

Item 1(b).              Address of Issuer’s Principal Executive Offices:

4 Oppenheimer St, Weizmann Science Park

Rehovot 7670104, Israel

Item 2(a).              Name of Person(s) Filing:

This statement is filed by the individuals and entities listed below, all of whom together are referred to herein as the “Reporting Persons”.

(i) The Upper Ground Tater Trust, a Texas trust,

(ii) Anna Hargrove, an individual, and

(iii) Reginald J. Hargrove, an individual.

Item 2(b).              Address of Principal Business Office or, if none, Residence:

The address of the principal business office of each Reporting Person is 1000 Westbank Dr, Ste #2A, Austin, TX 78746.

Item 2(c).              Citizenship:

See Item 4 of each cover page.

Item 2(d).              Title of Class of Securities:

See the cover page of this filing.

Item 2(e).              CUSIP Number:

19516R107.

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:

Not applicable.

Item 4.                   Ownership.

(a)           Amount beneficially owned:

See Item 9 of each cover page.

(b)           Percent of class:

See Item 11 of each cover page.

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

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

See Item 5 of each cover page.

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

See Item 6 of each cover page.

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

See Item 7 of each cover page.

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

See Item 8 of each cover page.

Item 5.                   Ownership of Five Percent or Less of a Class.

If the 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 or Control 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.

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SIGNATURES

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

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EXHIBIT INDEX

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EXHIBIT A

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Ordinary Shares, par value NIS 1.5 per share (including Ordinary Shares represented by American Depositary Shares (ADSs) at a ratio of one Ordinary Share per ADS, of CollPlant Biotechnologies Ltd., and further agree that this Joint Filing Agreement shall be included as an Exhibit to such joint filings.

The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.

This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.

IN WITNESS WHEREOF, the undersigned have executed this Agreement as of November 27, 2020.

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