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 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Centogene N.V.
(Name of Issuer)
Common Shares, 0.12 par value per share
(Title of Class of Securities)
N1976T109
(CUSIP Number)
Stefan Fischer
TVM Capital
Ottostrasse 4
80333 Munich, Germany
(49) 89998992-48
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
January 31, 2022
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G 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 Section 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, as amended (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. N1976T109
1. |
Names of Reporting Persons.
TVM Life Science Innovation I L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Quebec, Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
1.632.606 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
;1.632.606 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1.632.606 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
6.0% | |||||
14. | Type of Reporting Person (See Instructions)
PN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
TVM Life Science Innovation I (GP) Limited | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Jersey |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
1.632.606 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
1.632.606 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1.632.606 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
6.0% | |||||
14. | Type of Reporting Person (See Instructions)
OO |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
TVM Life Science Innovation II SCSp | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Luxembourg |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
2,798,080 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
2,798,080 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
2,798,080 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
10.2% | |||||
14. | Type of Reporting Person (See Instructions)
OO |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
TVM Life Science Innovation II (GP) S.a r.l. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Luxembourg |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
2,798,080 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
2,798,080 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
2,798,080 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
10.2% | |||||
14. | Type of Reporting Person (See Instructions)
OO |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Hubert Birner | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Germany |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
4,430,686 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
4,430,686 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
4,430,686 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
16.1% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Stefan Fischer | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Germany |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
4,430,686 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
4,430,686 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
4,430,686 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
16.1% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Luc Marengere | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
1,632,606 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
1,632,606 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,632,606 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
6.0% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Reshentha Beeby | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
1,632,606 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
1,632,606 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,632,606 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
6.0% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Gary Leatt | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
1,632,606 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
1,632,606 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,632,606 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
6.0% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Monica Morsch | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
2,798,080 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
2,798,080 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
2,798,080 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
10.2% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Jens Hoellermann | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owned by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
2,798,080 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
2,798,080 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
2,798,080 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
10.2% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
CUSIP No. N1976T109
1. |
Names of Reporting Persons.
Ganash Lokanathen | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC Use Only
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Canada |
Number of Shares Beneficially Owne d by Each Reporting Person With
|
7. | Sole Voting Power
0 | ||||
8. | Shared Voting Power
2,798,080 | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
2,798,080 |
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
2,798,080 | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
10.2% | |||||
14. | Type of Reporting Person (See Instructions)
IN |
Explanatory Note
This Amendment No. 2 (this Amendment) amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on January 14, 2020 by the Reporting Persons (as amended from time to time, the Schedule 13D), relating to their beneficial ownership of shares of Common Stock of Centogene N.V. (the Issuer). Except to the extent set forth in this Amendment, all material information disclosed in the Schedule 13D remains unchanged. Capitalized terms used but not defined in this Amendment have the respective meanings set forth in the Schedule 13D.
Item 3. | Source and Amount of Funds or Other Consideration |
Item 3 of the Schedule 13D is hereby amended and supplemented as follows:
TVM II purchased the securities set forth in Item 5 using funds from working capital.
Item 5. | Interest in Securities of the Issuer |
Item 5 of the Schedule 13D is hereby amended and supplemented as follows:
(a)-(b) The information set forth in rows 7 through 13 of the cover pages to this Schedule 13D is incorporated by reference. The percentage set forth in row 13 is based on 27,066,224 outstanding shares of Common Stock, as reported by the Issuer to the Reporting Persons, and includes the Warrants set forth in Item 5(c) below.
(c) On January 31, 2022 TVM II acquired 1,493,029 shares of Common Stock and warrants to acquire 447,909 shares of Common Stock (Warrants) from the Issuer at a purchase price of $3.73 per share in the Issuers private placement financing. The Warrants are exercisable at an exercise price of $7.72 per share at an exercise price of $7.72 per share and expire December 31, 2026.
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer |
Item 6 of the Schedule 13D is hereby amended and supplemented as follows:
The information set forth in Item 5(c) above is incorporated by reference into this Item 6.
The securities set forth in Item 5(c) were acquired pursuant to a Securities Purchase Agreement, a copy of which is filed as Exhibit 4 to this Schedule 13D and is incorporated by reference into this Item 6.
Item 7. | Material to be Filed as Exhibits |
Item 7 of the Schedule 13D is hereby amended and supplemented as follows:
Exhibit 4 Securities Purchase Agreement, dated January 31, 2022, by and among Centogene N.V. and the Investors identified on Schedule 1 attached thereto (incorporated by reference to Exhibit 99.4 to the Issuers Form 6-K furnished with the SEC on February 1, 2022) (the Issuer has omitted portions of this exhibit pursuant to Item 601(b)(10)(iv) of Regulation S-K on the basis that the Company customarily and actually treats that information as private or confidential and the omitted information is not material)
Exhibit 5 Warrant Agreement, dated January 31, 2022, by and among Centogene N.V. and the Investors identified on Schedule 1 attached thereto (incorporated by reference to Exhibit 99.5 to the Issuers Form 6-K furnished with the SEC on February 1, 2022)
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: March 11, 2022
TVM LIFE SCIENCE INNOVATION I L.P.
By: TVM LIFE SCIENCE INNOVATION I (GP) LIMITED, its general partner
By: | /s/ Reshentha Beeby | |
Name: | Reshentha Beeby | |
Title: | Director |
TVM LIFE SCIENCE INNOVATION I (GP) LIMITED
By: | /s/ Reshentha Beeby | |
Name: | Reshentha Beeby | |
Title: | Director |
TVM LIFE SCIENCE INNOVATION II SCSP
By: TVM LIFE SCIENCE INNOVATION II (GP) S.A R.L., its general partner
By: | /s/ Monica Morsch | |
Name: | Monica Morsch | |
Title: | Class B Manager | |
By: | /s/ Ganash Lokanathen | |
Name: | Ganash Lokanathen | |
Title: | Class A Manager |
TVM LIFE SCIENCE INNOVATION II (GP) S.A R.L.
By: | /s/ Monica Morsch | |
Name: | Monica Morsch | |
Title: | Class B Manager | |
By: | /s/ Ganash Lokanathen | |
Name: | Ganash Lokanathen | |
Title: | Class A Manager |
/s/ Hubert Birner |
Hubert Birner |
/s/ Stefan Fischer |
Stefan Fischer |
/s/ Luc Marengere |
Luc Marengere |
/s/ Reshentha Beeby |
Reshentha Beeby |
/s/ Gary Leatt |
Gary Leatt |
/s/ Monica Mosch |
Monica Mosch |
/s/ Jens Hoellermann |
Jens Hoellermann |
/s/ Ganash Lokanathen |
Ganash Lokanathen |