0001193125-13-060307.txt : 20130214 0001193125-13-060307.hdr.sgml : 20130214 20130214162926 ACCESSION NUMBER: 0001193125-13-060307 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 GROUP MEMBERS: JACOB GOTTLIEB GROUP MEMBERS: JG ASSET, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Grifols SA CENTRAL INDEX KEY: 0001438569 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86354 FILM NUMBER: 13614565 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY STREET 2: SUITE 2376 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-969-3335 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: SUITE 2376 CITY: NEW YORK STATE: NY ZIP: 10036 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Visium Asset Management, LP CENTRAL INDEX KEY: 0001377452 IRS NUMBER: 203313013 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE - 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-474-8800 MAIL ADDRESS: STREET 1: 888 SEVENTH AVENUE - 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: Visium Asset Management LLC DATE OF NAME CHANGE: 20061004 SC 13G/A 1 d487077dsc13ga.htm SCHEDULE 13G (AMENDMENT NO. 2) Schedule 13G (Amendment No. 2)

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

Grifols S.A.

(Name of Issuer)

COMMON STOCK, $0.001 PER SHARE

(Title of Class of Securities)

398438408

(CUSIP Number)

December 31, 2012

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x 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 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 (“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. 398438408          Page 2 of 10 Pages

 

  1   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

 

Visium Asset Management, LP

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    United States

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

    None

   6   

SHARED VOTING POWER

 

    3,143,239 (See Item 4)

   7   

SOLE DISPOSITIVE POWER

 

    None

   8   

SHARED DISPOSITIVE POWER

 

    3,143,239 (See Item 4)

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    3,143,2329 (See Item 4)

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*    ¨

 

    Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    2.4 %

12  

TYPE OF REPORTING PERSON*

 

    IA

 

 

Page 2 of 10 Pages


CUSIP No. 398438408          Page 3 of 10 Pages

 

  1   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

 

JG Asset, LLC

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    United States

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

    None

   6   

SHARED VOTING POWER

 

    3,143,239 (See Item 4)

   7   

SOLE DISPOSITIVE POWER

 

    None

   8   

SHARED DISPOSITIVE POWER

 

    3,143,239 (See Item 4)

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    3,143,239 (See Item 4)

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*    ¨

 

    Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    2.4 %

12  

TYPE OF REPORTING PERSON*

 

    HC

 

 

Page 3 of 10 Pages


CUSIP No. 398438408          Page 4 of 10 Pages

 

  1   

NAMES OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)

 

Jacob Gottlieb

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  ¨        (b)  ¨

 

  3  

SEC USE ONLY

 

  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

    United States

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

     

SOLE VOTING POWER

 

    None

   6   

SHARED VOTING POWER

 

    3,143,239 (See Item 4)

   7   

SOLE DISPOSITIVE POWER

 

    None

   8   

SHARED DISPOSITIVE POWER

 

    3,143,239 (See Item 4)

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

    3,143,239 (See Item 4)

10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*    ¨

 

    Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

    2.4 %

12  

TYPE OF REPORTING PERSON*

 

    HC, IN

 

 

Page 4 of 10 Pages


CUSIP No. 398438408          Page 5 of 10 Pages

 

Item 1     (a)   Name of Issuer:
      Grifols S.A.
    (b)   Address of Issuer’s Principal Executive Offices:
      Avinguda de la Generalitat, 152
      Parque empresarial Can Sant Joan
      08174 Sant Cugat del Valles, Barcelona - Spain
Item 2     (a) – (c)       This statement is filed on behalf of the following:
      (1)   Visium Asset Management, LP, a Delaware limited partnership (“VAM”), with its principal business office at Visium Asset Management, LP, 888 Seventh Avenue, New York, NY 10019.
      (2)   JG Asset, LLC, a Delaware limited liability company (“JG Asset”), with its principal business office c/o Visium Asset Management, LP, 888 Seventh Avenue, New York, NY 10019. JG Asset is the General Partner of VAM.
      (3)   Jacob Gottlieb (“Gottlieb”), a natural person, with his principal business office c/o Visium Asset Management, LP, 888 Seventh Avenue, New York, NY 10019. Gottlieb is the Managing Member of JG Asset.
    (d)   Title of Class of Securities:
      Common Stock, Par Value $0.001 Per Share
    (e)   CUSIP Number:
      398438408

 

Page 5 of 10 Pages


CUSIP No. 398438408          Page 6 of 10 Pages

 

Item 3     If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
¨   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
¨   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
¨   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
¨   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
x   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
¨   An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
x   A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
¨   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
¨   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);
¨   Group, in accordance with §240.13d-1(b)(1)(ii)(J).
Item 4     Ownership:
VAM      
    (a)   Amount Beneficially Owned:
   

By virtue of its position as investment manager to pooled investment funds, VAM may be deemed to beneficially own the 3,143,239 shares of the Company’s Common Stock beneficially owned by the pooled investment vehicles.

    (b)   Percent of Class:
      2.4 %

 

Page 6 of 10 Pages


CUSIP No. 398438408          Page 7 of 10 Pages

 

    (c)   Number of Shares as to which person has:
      (i)     sole power to vote or to direct vote:
          None
      (ii)     shared power to vote or to direct vote:
          3,143,239 shares
      (iii)     sole power to dispose or direct disposition of:
          None
      (iv)     shared power to dispose or to direct disposition of:
          3,143,239 shares
JG Asset          
    (a)   Amount Beneficially Owned:
   

By virtue of its position as General Partner to VAM, JG Asset may be deemed to beneficially own the 3,143,239 shares of the Company’s Common Stock beneficially owned by VAM.

    (b)   Percent of Class:
      2.4 %
    (c)   Number of Shares as to which person has:
      (i)     sole power to vote or to direct vote:
          None
      (ii)     shared power to vote or to direct vote:
          3,143,239 shares
      (iii)     sole power to dispose or direct disposition of:
          None
      (iv)     shared power to dispose or to direct disposition of:
          3,143,239 shares

 

Page 7 of 10 Pages


CUSIP No. 398438408          Page 8 of 10 Pages

 

Gottlieb          
    (a)   Amount Beneficially Owned:
   

   By virtue of his position as the Managing Member of JG Asset, Gottlieb may be deemed to beneficially own the 3,143,239 shares of the Company’s Common Stock beneficially owned by JG Asset.

    (b)   Percent of Class:
      2.4 %
    (c)   Number of Shares as to which person has:
      (i)     sole power to vote or to direct vote:
          None
      (ii)     shared power to vote or to direct vote:
          3,143,239 shares
      (iii)     sole power to dispose or direct disposition of:
          None
      (iv)     shared power to dispose or to direct disposition of:
          3,143,239 shares

VAM, JG Asset and Gottlieb disclaim beneficial ownership as to the Securities, except to the extent of his or its pecuniary interests therein. Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that any of the other individual officers and members of VAM or JG Asset is, for any purpose, the beneficial owner of any of the Securities.

 

Page 8 of 10 Pages


CUSIP No. 398438408          Page 9 of 10 Pages

 

Item 5       Ownership of Five Percent or Less of a Class:
      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 five percent of the class of securities.
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

 

Page 9 of 10 Pages


CUSIP No. 398438408          Page 10 of 10 Pages

 

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.

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 14, 2013

 

VISIUM ASSET MANAGEMENT, LP
By:  

/s/ Mark Gottlieb

  Mark Gottlieb
  Authorized Signatory
JG ASSET, LLC
By:  

/s/ Mark Gottlieb

  Mark Gottlieb
  Authorized Signatory
JACOB GOTTLIEB
By:  

/s/ Mark Gottlieb

  Mark Gottlieb
  Authorized Signatory

 

Page 10 of 10 Pages