0000928204-12-000003.txt : 20120209
0000928204-12-000003.hdr.sgml : 20120209
20120209115516
ACCESSION NUMBER: 0000928204-12-000003
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120209
DATE AS OF CHANGE: 20120209
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: LPATH, INC
CENTRAL INDEX KEY: 0001251769
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 161630142
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-81182
FILM NUMBER: 12585382
BUSINESS ADDRESS:
STREET 1: 4025 SORRENTO VALLEY BLVD.
CITY: SAN DIEGO
STATE: CA
ZIP: 92121-1404
BUSINESS PHONE: 858-678-0800
MAIL ADDRESS:
STREET 1: 4025 SORRENTO VALLEY BLVD.
CITY: SAN DIEGO
STATE: CA
ZIP: 92121-1404
FORMER COMPANY:
FORMER CONFORMED NAME: LPATH INC
DATE OF NAME CHANGE: 20051202
FORMER COMPANY:
FORMER CONFORMED NAME: NEIGHBORHOOD CONNECTIONS INC
DATE OF NAME CHANGE: 20040323
FORMER COMPANY:
FORMER CONFORMED NAME: JCG INC
DATE OF NAME CHANGE: 20030702
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: WILLIAM HARRIS INVESTORS INC
CENTRAL INDEX KEY: 0000928204
IRS NUMBER: 363488341
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3126210590
MAIL ADDRESS:
STREET 1: 191 NORTH WACKER DRIVE
STREET 2: SUITE 1500
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: HARRIS WILLIAM INVESTORS INC
DATE OF NAME CHANGE: 19990407
SC 13G
1
lptnfinal.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20594
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No 5 - FINAL)*
LPATH, Inc.
(Name of Issuer)
Class A Common Stock
(Title of Class of Securities)
548910-10-8
(CUSIP Number)
Check the following box if a fee is being paid with this statement
[ ]. (A fee is not required only if the filing person: (1) has
a previous statement on file reporting beneficial ownership of more
than five percent of the class of securities described in Item 1
and (2) has filed no amendment subsequent thereto reporting
beneficial ownership of five percent or less of such class.)
(See Rule 13d-7).
*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).
1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Harris William Investors (William Harris Investors, Inc.)
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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:
5 SOLE VOTING POWER
NONE
6 SHARED VOTING POWER
NONE
7 SOLE DISPOSITIVE POWER
NONE
8 SHARED DISPOSITIVE POWER
NONE
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
NONE
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*[ ]
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
NONE
12 TYPE OF REPORTING PERSON*
IA
*SEE INSTRUCTION BEFORE FILLING OUT!
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Schedule 13G
Under the Securities Exchange Act of 1934
Amendment No 5 - FINAL
Item 1(a) Name of Issuer:
LPATH, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
4025 Sorrento Valley Blvd
San Diego, CA 92121
Item 2(a) Name of Person Filing:
William Harris Investors, Inc. (WHI)
Item 2(b) Address of Principal Business Office:
191 North Wacker Drive, Suite 1500
Chicago, IL 60606
Item 2(c) Citizenship:
The filing entity is a Delaware corporation
Item 2(d) Title of Class of Securities:
Class A Common Stock
Item 2(e) CUSIP Number:
548910-10-8
Item 3 Type of Person:
(e)[X] Investment Adviser registered under Section 203 of the
Investment Adviser Act of 1940
Item 4 Ownership at December 31, 2011:
(a) Amount beneficially owned:
NONE
(b) Percent of class:
NONE
Number of shares as to which the filing person has:
(i) Sole power to vote or to direct the vote:
NONE
(ii) Shared power to vote or to direct the vote:
NONE
(iii) Sole power to dispose or to direct the disposition of:
NONE
(iv) Shared power to dispose or to direct the disposition of:
NONE
Item 5 Ownership of Five Percent or Less of a Class:
WHI ceases to be a 13G filer with this filing, as ownership
has dropped to less than 5%.
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:
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 acquired in
the ordinary course of business and were not acquired for the
purpose of and do not have the effect of changing or influencing
the control of the issuer of such securities and were not acquired
in connection with or as a participant in any transaction having
such purpose or effect.
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: February 9, 2012
Signature:/s/ Marc Bassewitz
Name/Title: Marc Bassewitz, Vice President, General Counsel
and Chief Compliance Officer