0001193125-17-198516.txt : 20170608 0001193125-17-198516.hdr.sgml : 20170608 20170608160557 ACCESSION NUMBER: 0001193125-17-198516 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170608 DATE AS OF CHANGE: 20170608 GROUP MEMBERS: DENNIS DOUGHERTY GROUP MEMBERS: INTERSOUTH AFFILIATES V, L.P. GROUP MEMBERS: INTERSOUTH ASSOCIATES V, LLC GROUP MEMBERS: INTERSOUTH ASSOCIATES VI, LLC GROUP MEMBERS: INTERSOUTH ASSOCIATES, VII, LLC GROUP MEMBERS: INTERSOUTH PARTNERS V, L.P. GROUP MEMBERS: INTERSOUTH PARTNERS VII, L.P. GROUP MEMBERS: MITCH MUMMA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALIMERA SCIENCES INC CENTRAL INDEX KEY: 0001267602 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85452 FILM NUMBER: 17900280 BUSINESS ADDRESS: STREET 1: 6120 WINDWARD PARKWAY STREET 2: STE 290 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 6789905740 MAIL ADDRESS: STREET 1: 6120 WINDWARD PARKWAY STREET 2: STE 290 CITY: ALPHARETTA STATE: GA ZIP: 30005 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERSOUTH PARTNERS VI LP CENTRAL INDEX KEY: 0001221718 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 3211 SHANNON ROAD STREET 2: SUITE 610 CITY: DURHAM STATE: NC ZIP: 27707 BUSINESS PHONE: 9194936640 SC 13D/A 1 d403616dsc13da.htm SC 13D/A SC 13D/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

(Amendment No. 1)*

Under the Securities Exchange Act of 1934

 

 

ALIMERA SCIENCES, INC.

(Name of Issuer)

Common Stock, $0.01 Par Value

(Title of Class of Securities)

016259103

(CUSIP Number)

Intersouth Partners

c/o Dennis Dougherty

102 City Hall Plaza, Suite 200

Durham, NC 27701

(919) 493-6640

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

August 16, 2016

(Date of Event which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule l3G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ☐

 

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

 

 

 

* 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. 016259103    Page 2 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Partners V, L.P.

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

300,168

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

300,168

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

300,168

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.5%

14.  

Type of Reporting Person

 

PN

CUSIP No. 016259103    Page 3 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Affiliates V, L.P.

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

14,068

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

14,068

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

14,068

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.02%

14.  

Type of Reporting Person

 

PN

CUSIP No. 016259103    Page 4 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Associates V, LLC

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

314,236

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

314,236

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

314,236

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.5%

14.  

Type of Reporting Person

 

CO

CUSIP No. 016259103    Page 5 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Partners VI, L.P.

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

382,715

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

382,715

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

382,715

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.6%

14.  

Type of Reporting Person

 

PN

CUSIP No. 016259103    Page 6 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Associates VI, LLC

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

382,715

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

382,715

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

382,715

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.6%

14.  

Type of Reporting Person

 

CO

CUSIP No. 016259103    Page 7 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Partners VII, L.P.

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

212,210

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

212,210

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

212,210

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.3%

14.  

Type of Reporting Person

 

PN

CUSIP No. 016259103    Page 8 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Intersouth Associates, VII, LLC

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

212,210

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

212,210

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

212,210

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0.3%

14.  

Type of Reporting Person

 

CO

CUSIP No. 016259103    Page 9 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Dennis Dougherty

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

909,161

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

909,161

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

909,161

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

1.4%

14.  

Type of Reporting Person

 

IN

CUSIP No. 016259103    Page 10 of 19

 

  1.   

Name of Reporting Person

I.R.S. Identification No. of Above Person (Entities Only)

 

Mitch Mumma

  2.  

Check the Appropriate Box if a Member of a Group

 

(a)  ☒        (b)  ☐

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)

 

Not Applicable

  6.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned By

Each

Reporting

Person

with

 

      7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

909,161

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

909,161

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

909,161

12.  

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

1.4%

14.  

Type of Reporting Person

 

IN

CUSIP No. 016259103    Page 11 of 19

 

This Amendment No. 1 on Schedule 13D (“Schedule 13D/A”) amends the statement on Schedule 13D, dated September 10, 2010, which relates to the Common Stock, par value $0.01 per share (the “Common Stock”) of Alimera Sciences, Inc. (the “Issuer”) filed by:

Intersouth Partners V, L.P. (“ISP V”)

Intersouth Affiliates V, L.P. (“IS Affiliates”)

Intersouth Associates V, LLC (“ISA V”)

Intersouth Partners VI, L.P. (“ISP VI”)

Intersouth Associates VI, LLC (“ISA VI”)

Intersouth Partners VII, L.P. (“ISP VII”)

Intersouth Associates VII, LLC (“ISA VII”)

Dennis Dougherty (“Dougherty”)

Mitch Mumma (“Mumma”)

(collectively, the “Reporting Persons”).

Except as expressly amended below, the Schedule 13D, dated September 10, 2010, remains in effect.

As of March 9, 2017, the Reporting Persons beneficially own less than five percent of Issuer’s outstanding Common Stock. This is the final amendment to the Schedule 13D and constitutes an “exit filing” for the Reporting Persons.

 

Item 2. Identity and Background.

 

  (b) The Reporting Persons’ business address is 102 City Hall Plaza, Suite 200, Durham, North Carolina 27701.

 

  (f) The Reporting Persons that are entities are organized under the laws of the state of Delaware.

 

Item 5. Interest in Securities of the Issuer.

 

(a) Aggregate number and percentage beneficially owned:

 

  ISP V — 300,168 or less than 1%
  IS Affiliates — 14,068 or less than 1%
  ISA V — 314,236 or less than 1%
  ISP VI — 382,715 or less than 1%
  ISA VI — 382,715 or less than 1%
  ISP VII — 212,210 or less than 1%
  ISA VII — 212,210 or less than 1%
  Dougherty — 909,161 or 1.4%
  Mumma — 909,161 or 1.4%

CUSIP No. 016259103    Page 12 of 19

 

  (b) Number of shares as to which the person has:

 

  (i) Sole power to vote or to direct the vote

ISP V — 0

IS Affiliates — 0

ISA V — 0

ISP VI — 0

ISA VI — 0

ISP VII — 0

ISA VII — 0

Dougherty — 0

Mumma — 0

 

  (ii) Sole power to dispose or to direct the disposition of

ISP V — 0

IS Affiliates — 0

ISA V — 0

ISP VI — 0

ISA VI — 0

ISP VII — 0

ISA VII — 0

Dougherty — 0

Mumma — 0

 

  (iii) Shared power to dispose or to direct the disposition of

ISP V — 300,168 or less than 1%

IS Affiliates — 14,068 or less than 1%

ISA V — 314,236 or less than 1%

ISP VI — 382,715 or less than 1%

ISA VI — 382,715 or less than 1%

ISP VII — 212,210 or less than 1%

ISA VII — 212,210 or less than 1%

Dougherty — 909,161 or 1.4%

Mumma — 909,161 or 1.4%

 

  (iv) Shared power to vote or to direct the vote

ISP V — 300,168 or less than 1%

IS Affiliates — 14,068 or less than 1%

ISA V — 314,236 or less than 1%

ISP VI — 382,715 or less than 1%

ISA VI — 382,715 or less than 1%

ISP VII — 212,210 or less than 1%

ISA VII — 212,210 or less than 1%

Dougherty — 909,161 or 1.4%

Mumma — 909,161 or 1.4%

(c) Schedule I hereto sets forth all transactions with respect to the Issuer’s Common Stock effected by the Reporting Persons since the filing of the initial Schedule 13D. All such transactions were effected in the open market.

CUSIP No. 016259103    Page 13 of 19

 

Item 7. Materials to be Filed as Exhibits.

Exhibit A — Joint Filing Agreement (appears at page 16 of this statement).

Schedule I — Transactions in the Shares of the Issuer since the Filing of the Initial Schedule 13D.

CUSIP No. 016259103    Page 14 of 19

 

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: June 8, 2017

 

INTERSOUTH PARTNERS V, L.P.
By: Intersouth Associates V, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH AFFILIATES V, L.P.
By: Intersouth Associates V, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH ASSOCIATES V, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH PARTNERS VI, L.P.
By: Intersouth Associates VI, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member

CUSIP No. 016259103    Page 15 of 19

 

INTERSOUTH ASSOCIATES VI, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH PARTNERS VII, L.P.
By: Intersouth Associates VII, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH ASSOCIATES VII, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member

/s/ Dennis Dougherty

Dennis Dougherty

/s/ Mitch Mumma

Mitch Mumma

CUSIP No. 016259103    Page 16 of 19

 

Exhibit A

AGREEMENT REGARDING THE JOINT FILING OF AMENDMENT NO. 1 TO SCHEDULE 13D

The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Amendment No. 1 to Schedule 13D to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule jointly on behalf of each such party.

Date: June 8, 2017

[Signature Pages Follow]

CUSIP No. 016259103    Page 17 of 19

 

IN WITNESS WHEREOF, the parties hereto have executed and delivered this Agreement as of the date first written above.

 

INTERSOUTH PARTNERS V, L.P.
By: Intersouth Associates V, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH AFFILIATES V, L.P.
By: Intersouth Associates V, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH ASSOCIATES V, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH PARTNERS VI, L.P.
By: Intersouth Associates VI, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH ASSOCIATES VI, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member

CUSIP No. 016259103    Page 18 of 19

 

INTERSOUTH PARTNERS VII, L.P.
By: Intersouth Associates VII, LLC,
Its General Partner
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member
INTERSOUTH ASSOCIATES VII, LLC
By:  

/s/ Dennis Dougherty

Name:   Dennis Dougherty
Title:   Managing Member

/s/ Dennis Dougherty

Dennis Dougherty

/s/ Mitch Mumma

Mitch Mumma

CUSIP No. 016259103    Page 19 of 19

 

Schedule I

Transactions in the Shares of the Issuer since the Filing of the Initial Schedule 13D

 

Trade Date

    Price per
share		      Intersouth
Affiliates V, L.P.
Shares Sold		      Intersouth
Partners V, L.P.
Shares Sold		      Intersouth
Partners VI, L.P.
Shares Sold		      Intersouth
Partners VII, L.P.
Shares Sold		  

1/23/2017

    $ 1.19        3,750        82,250        105,250        58,750  

2/13/2017

    $ 1.23        69        1,513        1,937        1,081  

2/14/2017

    $ 1.24        5,425        118,999        152,276        85,000  

2/15/2017

    $ 1.25        605        13,278        16,992        9,485  

2/16/2017

    $ 1.23        5,150        112,959        144,546        80,685  

  3/6/2017

    $ 1.36        1,800        39,480        50,520        28,200  

  3/7/2017

    $ 1.32        1,643        36,045        46,124        25,746  

  3/8/2017

    $ 1.30        3,750        82,250        105,250        58,750  

  3/9/2017

    $ 1.33        3,999        87,711        112,239        62,651  

3/10/2017

    $ 1.40        3,808        83,514        106,867        59,653  

3/17/2017

    $ 1.64        2,638        57,857        74,037        41,327  

3/20/2017

    $ 1.50        1,500        32,900        42,100        23,500  

3/21/2017

    $ 1.42        1,463        32,083        41,055        22,916  

3/22/2017

    $ 1.37        999        21,919        28,049        15,657  

4/10/2017

    $ 1.45        3,000        65,800        84,200        47,000  

4/11/2017

    $ 1.44        3,382        74,190        94,936        52,992  

4/12/2017

    $ 1.40        5,728        125,642        160,777        89,745  

4/13/2017

    $ 1.39        2,889        63,368        81,088        45,263  

5/10/2017

    $ 1.59        1,025        22,484        28,771        16,059  

5/11/2017

    $ 1.52        5,639        123,685        158,271        88,346  

5/12/2017

    $ 1.50        585        12,831        16,419        9,165  

5/19/2017

    $ 1.50        611        13,403        17,151        9,574  

5/22/2017

    $ 1.50        25        559        716        400  

5/24/2017

    $ 1.50        39        855        1,095        611  
     

 

 

     

 

 

     

 

 

     

 

 

  

Total shares sold:

 

      59,522        1,305,575        1,670,666        932,556