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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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)*
Neptune Wellness Solutions Inc.
-----------------------------------------------------
(Name of Issuer)
Common Shares
-----------------------------------------------------
(Title of Class of Securities)
64079L204
-----------------------------------------------------
(CUSIP Number)
July 13, 2022
-----------------------------------------------------
(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)
[x] 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).
Persons who respond to the collection of information contained in this form are
not required to respond unless the form displays a currently valid OMB control
number.
SEC 1745 (3-06)
CUSIP No.64079L204 13G Page 2 of 10 Pages
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1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley
I.R.S. # 36-3145972
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
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3. SEC USE ONLY:
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4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
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NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 544,484
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
545,185
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
545,185
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
7.2%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
HC, CO
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CUSIP No.64079L204 13G Page 3 of 10 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
MS Capital Partners Adviser Inc
I.R.S. # 26-1506736
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 542,814
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
542,814
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
542,814
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
7.1%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
IA
--------------------------------------------------------------------------------
CUSIP No.64079L204 13G Page 4 of 10 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
MS Expansion Credit II GP LP
I.R.S. # 85-2952044
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 542,814
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
542,814
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
542,814
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
7.1%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
PN
--------------------------------------------------------------------------------
CUSIP No.64079L204 13G Page 5 of 10 Pages
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
NH Expansion Credit Fund Holdings, LP
I.R.S. # 81-3982448
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY:
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
Delaware.
--------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 542,814
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
542,814
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
542,814
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
7.1%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
PN
--------------------------------------------------------------------------------
CUSIP No.64079L204 13G Page 6 of 10 Pages
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Item 1. (a) Name of Issuer:
Neptune Wellness Solutions Inc.
--------------------------------------------------------------
(b) Address of Issuer's Principal Executive Offices:
545 PROMENADE DU CENTROPOLIS
SUITE 100
LAVAL A8 H7T 0A3
CANADA
--------------------------------------------------------------
Item 2. (a) Name of Person Filing:
(1) Morgan Stanley
(2) MS Capital Partners Adviser Inc
(3) MS Expansion Credit II GP LP
(4) NH Expansion Credit Fund Holdings LP
--------------------------------------------------------------
(b) Address of Principal Business Office, or if None, Residence:
(1) 1585 Broadway New York, NY 10036
(2) 1585 Broadway New York, NY 10036
(3) 1585 Broadway New York, NY 10036
(4) 1585 Broadway New York, NY 10036
--------------------------------------------------------------
(c) Citizenship:
(1) Delaware.
(2) Delaware.
(3) Delaware.
(4) Delaware.
--------------------------------------------------------------
(d) Title of Class of Securities:
Common Shares
--------------------------------------------------------------
(e) CUSIP Number:
64079L204
--------------------------------------------------------------
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the Act
(15 U.S.C. 78o).
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with Sections
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] A non-U.S. institution in accordance with section
240.13d-1(b)(1)(ii)(J);
(k) [ ] Group, in accordance with sections 240.13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with
sections 240.13d-1(b)(1)(ii)(J), please specify the type
of institution: Not Applicable
CUSIP No.64079L204 13G Page 7 of 10 Pages
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Item 4. Ownership as of July 13, 2022.*
(a) Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b) Percent of Class:
See the response(s) to Item 11 on the attached cover page(s).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
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.
See Exhibit 99.2
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certification.
(1) 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.
* In Accordance with the Securities and Exchange Commission Release
No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the
securities beneficially owned, or that may be deemed to be beneficially owned,
by certain operating units (collectively, the "MS Reporting Units") of Morgan
Stanley and its subsidiaries and affiliates (collectively, "MS"). This filing
does not reflect securities, if any, beneficially owned by any oper
ating units
of MS whose ownership of securities is disaggregated from that of the MS
Reporting Units in accordance with the Release.
CUSIP No.64079L204 13G Page 8 of 10 Pages
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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: August 23, 2022
Signature: /s/ Christopher O'Hara
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Name/Title: Christopher O'Hara/Authorized Signatory, Morgan Stanley
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MORGAN STANLEY
Date: August 23, 2022
Signature: /s/ Debra Abramovitz
--------------------------------------------------------------------
Name/Title: Debra Abramovitz/Authorized Signatory,
MS Capital Partners Adviser Inc
--------------------------------------------------------------------
MS Capital Partners Adviser Inc
Date: August 23, 2022
Signature: /s/ Debra Abramovitz
--------------------------------------------------------------------
Name/Title: Debra Abramovitz/Authorized Signatory,
MS Expansion Credit II GP LP
--------------------------------------------------------------------
MS Expansion Credit II GP LP
Date: August 23, 2022
Signature: /s/ Debra Abramovitz
--------------------------------------------------------------------
Name/Title: Debra Abramovitz/Authorized Signatory,
NH Expansion Credit Fund Holdings, LP
--------------------------------------------------------------------
NH Expansion Credit Fund Holdings, LP
EXHIBIT NO. EXHIBITS PAGE
----------- ---------- ----
99.1 Joint Filing Agreement 9
99.2 Item 7 Information 10
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.64079L204 13G Page 9 of 10 Pages
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EXHIBIT NO. 99.1 TO SCHEDULE 13G
JOINT FILING AGREEMENT
---------------------------------------------------
August 23, 2022
---------------------------------------------------
MORGAN STANLEY, MS Capital Partners Adviser Inc, MS Expansion
Credit II GP LP, and NH Expansion Credit Fund Holdings,
LP hereby agree that, unless differentiated, this
Schedule 13G is filed on behalf of each of the parties.
MORGAN STANLEY
BY: /s/ Christopher O'Hara
---------------------------------------------------------------------
Christopher O'Hara/Authorized Signatory, Morgan Stanley
MS Capital Partners Adviser Inc
BY: /s/ Debra Abramovitz
---------------------------------------------------------------------
Debra Abramovitz/Authorized Signatory,
MS Capital Partners Adviser Inc
MS Expansion Credit II GP LP
BY: /s/ Debra Abramovitz
---------------------------------------------------------------------
Debra Abramovitz/Authorized Signatory,
MS Expansion Credit II GP LP
NH Expansion Credit Fund Holdings, LP
BY: /s/ Debra Abramovitz
---------------------------------------------------------------------
Debra Abramovitz/Authorized Signatory,
NH Expansion Credit Fund Holdings, LP
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.64079L204 13G Page 10 of 10 Pages
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EXHIBIT NO. 99.2
------------------
ITEM 7 INFORMATION
The securities being reported by Morgan Stanley as a parent
holding company are owned by NH Expansion Credit Fund Holdings, LP.