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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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
§ 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO § 240.13d-2
(Amendment No. 4)*
| OncoGenex Pharmaceuticals, Inc. |
(Name of Issuer)
| Common Stock, $.001 par value |
(Title of Class of Securities)
| 68230A106 |
(CUSIP Number)
| December 31, 2016 |
(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)
☐ 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. 68230A106 | Page 2 of 7 |
| 1 | NAMES OF REPORTING PERSONS
H.I.G. Oncogenex, LLC (formerly H.I.G. Oncogenex, Inc.) | |||||
| 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 | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 | SOLE VOTING POWER
0 | ||||
| 6 | SHARED VOTING POWER
— | |||||
| 7 | SOLE DISPOSITIVE POWER
0 | |||||
| 8 | SHARED DISPOSITIVE POWER
— | |||||
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 | |||||
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
| |||||
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% | |||||
|
12 |
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO | |||||
| CUSIP No. 68230A106 | Page 3 of 7 |
| 1 | NAMES OF REPORTING PERSONS
Sami W. Mnaymneh | |||||
| 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 | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
| 6 | SHARED VOTING POWER
— | |||||
| 7 | SOLE DISPOSITIVE POWER
0 | |||||
| 8 | SHARED DISPOSITIVE POWER
— | |||||
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 | |||||
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
| |||||
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% | |||||
|
12 |
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN | |||||
| CUSIP No. 68230A106 | Page 4 of 7 |
| 1 | NAMES OF REPORTING PERSONS
Anthony Tamer | |||||
| 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 | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: |
5 | SOLE VOTING POWER
0 | ||||
| 6 | SHARED VOTING POWER
— | |||||
| 7 | SOLE DISPOSITIVE POWER
0 | |||||
| 8 | SHARED DISPOSITIVE POWER
— | |||||
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 | |||||
|
10 |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ☐
| |||||
|
11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% | |||||
|
12 |
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN | |||||
| CUSIP No. 68230A106 | Page 5 of 7 |
| Item 1 | (a). |
Name of Issuer: | ||||||||||
| OncoGenex Pharmaceuticals, Inc. | ||||||||||||
| Item 1 | (b). |
Address of Issuer’s Principal Executive Offices: | ||||||||||
| 1522 217th Place, SE, Suite 100 Bothell, Washington 98021 |
||||||||||||
| Item 2 | (a). |
Name of Person Filing: | ||||||||||
| H.I.G. Oncogenex, LLC Sami W. Mnaymneh Anthony Tamer |
||||||||||||
| Item 2 | (b). |
Address of Principal Business Office or, if None, Residence: | ||||||||||
| c/o 1450 Brickell Avenue, 31st Floor Miami, Florida 33131 |
||||||||||||
| Item 2 | (c). |
Citizenship: | ||||||||||
| H.I.G. Oncogenex, LLC |
Delaware | |||||||||||
| Sami W. Mnaymneh |
United States | |||||||||||
| Anthony Tamer |
United States | |||||||||||
| Item 2 | (d). |
Title of Class of Securities: | ||||||||||
| Common Stock, par value $0.001 per share (“Common Stock”) | ||||||||||||
| Item 2 | (e). |
CUSIP Number: | ||||||||||
| 68230A106 | ||||||||||||
| 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: | |||||||||||
| (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 § 240.13d-1(b)(1)(ii)(E); | ||||||||||
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | ||||||||||
| (g) | ☐ | A parent holding company or control person in accordance with § 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 § 240.13d-1(b)(1)(ii)(J); | ||||||||||
| (k) | ☐ | Group, in accordance with § 240.13d-1(b)(1)(ii)(K). | ||||||||||
| CUSIP No. 68230A106 | Page 6 of 7 |
| Item 4. | Ownership. | |||||||||||
| (a) | Amount beneficially owned: | |||||||||||
| H.I.G. Oncogenex, LLC |
0 | |||||||||||
| Sami W. Mnaymneh |
0 | |||||||||||
| Anthony Tamer |
0 | |||||||||||
| (b) | Percent of class: | |||||||||||
| H.I.G. Oncogenex, LLC |
0% | |||||||||||
| < /td> | Sami W. Mnaymneh |
0% | ||||||||||
| Anthony Tamer |
0% | |||||||||||
| (c) | Number of shares as to which the person has: | |||||||||||
| (i) | Sole power to vote or to direct the vote: | |||||||||||
| H.I.G. Oncogenex, LLC |
0 | |||||||||||
| Sami W. Mnaymneh |
0 | |||||||||||
| Anthony Tamer |
0 | |||||||||||
| (ii) | Shared power to vote or to direct the vote: | |||||||||||
| 0 |
||||||||||||
| (iii) | Sole power to dispose or to direct the disposition of: | |||||||||||
| H.I.G. Oncogenex, LLC |
0 | |||||||||||
| Sami W. Mnaymneh |
0 | |||||||||||
| Anthony Tamer |
0 | |||||||||||
| (iv) | Shared power to dispose or to direct the disposition of: | |||||||||||
| 0 |
||||||||||||
| 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 Control Person. | |||||||||||
| Item 8. | Identification and Classification of Members of the Group. | |||||||||||
| H.I.G. Oncogenex, LLC Sami W. Mnaymneh Anthony Tamer
See the attached Exhibit 1. |
||||||||||||
| 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. | ||||||||||||
| CUSIP No. 68230A106 | Page 7 of 7 |
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.
Date: February 14, 2017
| H.I.G. ONCOGENEX, LLC | ||
| By: | /s/ Richard Siegel | |
| Authorized Signatory | ||
| /s/ Sami Mnaymneh | ||
| SAMI W. MNAYMNEH | ||
| /s/ Anthony Tamer | ||
| ANTHONY TAMER | ||
Exhibit 1
JOINT FILING AGREEMENT
The undersigned hereby agree that this Amendment No. 4 to Schedule 13G filed by us with respect to the Common Stock, $0.001 par value, of OncoGenex Pharmaceuticals, Inc. is filed on behalf of each of us.
| Dated: February 14, 2017 | H.I.G. ONCOGENEX, LLC | |||
| By: | /s/ Richard Siegel | |||
| Authorized Signatory | ||||
| /s/ Sami Mnaymneh | ||||
| SAMI W. MNAYMNEH | ||||
| /s/ Anthony Tamer | ||||
| ANTHONY TAMER | ||||