0001235802-20-000135.txt : 20201119 0001235802-20-000135.hdr.sgml : 20201119 20201119171138 ACCESSION NUMBER: 0001235802-20-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201117 FILED AS OF DATE: 20201119 DATE AS OF CHANGE: 20201119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rizzo Matthew CENTRAL INDEX KEY: 0001732511 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34951 FILM NUMBER: 201329560 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Xtant Medical Holdings, Inc. CENTRAL INDEX KEY: 0001453593 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 205313323 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 664 CRUISER LANE CITY: BELGRADE STATE: MT ZIP: 59714 BUSINESS PHONE: 406-388-0480 MAIL ADDRESS: STREET 1: 664 CRUISER LANE CITY: BELGRADE STATE: MT ZIP: 59714 FORMER COMPANY: FORMER CONFORMED NAME: Bacterin International Holdings, Inc. DATE OF NAME CHANGE: 20100615 FORMER COMPANY: FORMER CONFORMED NAME: K KITZ INC DATE OF NAME CHANGE: 20090108 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-11-17 0 0001453593 Xtant Medical Holdings, Inc. XTNT 0001732511 Rizzo Matthew 664 CRUISER LANE BELGRADE MT 59714 1 0 1 0 Common Stock 2020-11-17 4 X 0 765992 0.01 A 53468376 I See Footnotes Common Stock 2020-11-17 4 X 0 765992 0.01 A 54234368 I See Footnotes Common Stock 2020-11-17 4 X 0 1531984 0.01 A 55766352 I See Footnotes Common Stock 2020-11-17 4 X 0 434008 0.01 A 15734696 I See Footnotes Common Stock 2020-11-17 4 X 0 434008 0.01 A 16168704 I See Footnotes Common Stock 2020-11-17 4 X 0 868016 0.01 A 17036720 I See Footnotes Common Stock 70423 D Warrant (right to buy) 0.01 2020-11-17 4 X 0 765992 0 D 2018-09-17 2028-08-01 Common Stock 765992 0 I See Footnotes Warrant (right to buy) 0.01 2020-11-17 4 X 0 434008 0 D 2018-09-17 2028-08-01 Common Stock 434008 0 I See Footnote Warrant (right to buy) 0.01 2020-11-17 4 X 0 765992 0 D 2019-04-11 2029-04-01 Common Stoc 765992 0 I See Footnotes Warrant (right to buy) 0.01 2020-11-17 4 X 0 434008 0 D 2019-04-11 2029-04-01 Common Stock 434008 0 I See Footnotes Warrant (right to buy) 0.01 2020-11-17 4 X 0 1531984 0 D 2020-11-06 2030-05-06 Common Stock 1531984 0 I See Footnotes Warrant (right to buy) 0.01 2020-11-17 4 X 0 868016 0 D 2020-11-06 2030-05-06 Common Stock 868016 0 I See Footnotes These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. Each of ROS Acquisition, OrbiMed Royalty Opportunities II, LP ("ORO II"), Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. The Reporting Person is an employee of Advisors. These securities are held of record by ORO II. OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. These shares are to be issued upon vesting pursuant to a restricted stock unit award granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, conditioned upon the Reporting Person remaining a director of the Company through the vesting date. /s/ Amy Culbert, attorney-in-fact 2020-11-19