0001193125-15-032537.txt : 20150204 0001193125-15-032537.hdr.sgml : 20150204 20150204060759 ACCESSION NUMBER: 0001193125-15-032537 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150204 DATE AS OF CHANGE: 20150204 GROUP MEMBERS: MATTHEW CRAWFORD GROUP MEMBERS: PINTO TECHNOLOGY VENTURES GP II, L.P. GROUP MEMBERS: PINTO TV GP CO LLC GROUP MEMBERS: RICK ANDERSON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Intersect ENT, Inc. CENTRAL INDEX KEY: 0001271214 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 200280837 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88513 FILM NUMBER: 15573431 BUSINESS ADDRESS: STREET 1: 1555 ADAMS DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-641-2100 MAIL ADDRESS: STREET 1: 1555 ADAMS DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: SINEXUS INC DATE OF NAME CHANGE: 20031124 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PTV SCIENCES II L P CENTRAL INDEX KEY: 0001364349 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 600 CONGRESS AVE SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 713-209-7555 MAIL ADDRESS: STREET 1: 600 CONGRESS AVE SUITE 200 CITY: AUSTIN STATE: TX ZIP: 78701 SC 13G 1 d864335dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*

 

 

Intersect ENT, Inc.

(Name of Issuer)

$0.001 par value common stock

(Title of Class of Securities)

46071F 10 3

(CUSIP Number)

December 31, 2014

(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)

x Rule 13d-1(d)

 

* 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).

 

 

 

SCHEDULE 13G

 

CUSIP No. 46071F 10 3   Page 2 of 10 Pages

 

  1.   

Names of Reporting Persons.

 

PTV Sciences II, L.P.

  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

 

2,576,966 shares

   7.   

Sole Dispositive Power

 

-0-

   8.   

Shared Dispositive Power

 

2,576,966 shares

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,576,966 shares

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

11.  

Percent of Class Represented by Amount in Row (9)

 

11.0%

12.  

Type of Reporting Person (See Instructions)

 

PN

SCHEDULE 13G

 

CUSIP No. 46071F 10 3   Page 3 of 10 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto Technology Ventures GP II, L.P.

  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

 

2,576,966 shares

   7.   

Sole Dispositive Power

 

-0-

   8.   

Shared Dispositive Power

 

2,576,966 shares

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,576,966 shares

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

11.  

Percent of Class Represented by Amount in Row (9)

 

11.0%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

SCHEDULE 13G

 

CUSIP No. 46071F 10 3   Page 4 of 10 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto TV GP Company LLC

  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

 

2,576,966 shares

   7.   

Sole Dispositive Power

 

-0-

   8.   

Shared Dispositive Power

 

2,576,966 shares

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,576,966 shares

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

11.  

Percent of Class Represented by Amount in Row (9)

 

11.0%

12.  

Type of Reporting Person (See Instructions)

 

OO

 

SCHEDULE 13G

 

CUSIP No. 46071F 10 3   Page 5 of 10 Pages

 

  1.   

Names of Reporting Persons.

 

Matthew Crawford

  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

 

2,576,966 shares

   7.   

Sole Dispositive Power

 

-0-

   8.   

Shared Dispositive Power

 

2,576,966 shares

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,576,966 shares

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

11.  

Percent of Class Represented by Amount in Row (9)

 

11.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

SCHEDULE 13G

 

CUSIP No. 46071F 10 3   Page 6 of 10 Pages

 

  1.   

Names of Reporting Persons.

 

Rick Anderson

  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

 

2,576,966 shares

   7.   

Sole Dispositive Power

 

-0-

   8.   

Shared Dispositive Power

 

2,576,966 shares

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,576,966 shares

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

11.  

Percent of Class Represented by Amount in Row (9)

 

11.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

Item 1.

(a) Name of Issuer:

Intersect ENT, Inc. (the “Issuer”)

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

1555 Adams Drive, Menlo Park, California 94025

Item 2.

(a) Name of Person(s) Filing:

This statement on Schedule 13G is filed by PTV Sciences II, L.P. (“PTVS II”), Pinto Technology Ventures GP II, L.P. (“PTV GP II”), Pinto TV GP Company LLC (“TV GP”), Matthew Crawford (“Mr. Crawford”) and Rick Anderson (“Mr. Anderson” and, collectively with PTVS II, PTV GP II, TV GP and Mr. Crawford, the “Reporting Persons”).

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

The address of the principal business office of each of the Reporting Persons is 3600 N. Capital of Texas Highway, Building B180, Austin, Texas 78746.

(c) Citizenship:

 

PTVS II    Delaware
PTV GP II    Delaware
TV GP    Delaware
Mr. Crawford    U.S. Citizen
Mr. Anderson    U.S. Citizen

(d) Title of Class of Securities:

common stock, $0.001 par value per share (the “Common Stock”)

(e) CUSIP Number: 46071F 10 3

 

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.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

Reporting

Persons

    Shares
Held
Directly(1)		      Sole
Voting
Power(1)		      Shared
Voting
Power(1)		      Sole
Dispositive
Power(1)		      Shared
Dispositive
Power(1)		      Beneficial
Ownership(1)		      Percentage
of Class
(1, 3)		  

PTVS II

      2,576,966         0         2,576,966         0         2,576,966         2,576,966         11.0 % 

PTV GP II (2)

      0         0         2,576,966         0         2,576,966         2,576,966         11.0 % 

TV GP (2)

      0         0         2,576,966         0         2,576,966         2,576,966         11.0 % 

Mr. Crawford (2)

      0         0         2,576,966         0         2,576,966         2,576,966         11.0 % 

Mr. Anderson (2)

      0         0         2,576,966         0         2,576,966         2,576,966         11.0 % 

 

(1) Represents the number of shares of Common Stock beneficially owned by the Reporting Person as of December 31, 2014.
(2) Pinto Technology Ventures GP II, L.P. (“PTV GP II”) is the general partner of PTV Sciences II, L.P. (“PTVS II”). Pinto TV GP Company LLC (“TV GP”) is the general partner of PTV GP II. Each of Messrs. Crawford and Anderson is a manager of TV GP and is deemed to have beneficial ownership of the shares held by PTVS II.
(3) This percentage is calculated based upon 23,376,751 shares of Common Stock outstanding as of October 31, 2014 as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 10, 2014.

 

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

If this 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 5 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.

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.

Not applicable.

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.

Dated: February 4, 2015

 

PTV Sciences II, L.P.
By:   Pinto Technology Ventures GP II, L.P
      its General Partner
By:   Pinto TV GP Company LLC
      its General Partner
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP II, L.P.
      its General Partner
By:   Pinto TV GP Company LLC
      its General Partner
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto TV GP Company LLC
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager

/s/ Matthew Crawford

Matthew Crawford

/s/ Rick Anderson

Rick Anderson

JOINT FILING AGREEMENT

In accordance with Rule 13(d)-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and to all amendments to such statement.

Dated: February 4, 2015

 

PTV Sciences II, L.P.
By:   Pinto Technology Ventures GP II, L.P
        its General Partner
By:   Pinto TV GP Company LLC
        its General Partner
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP II, L.P.
                    its General Partner
By:   Pinto TV GP Company LLC
        its General Partner
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto TV GP Company LLC
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager

/s/ Matthew Crawford

Matthew Crawford

/s/ Rick Anderson

Rick Anderson