0001615774-17-006131.txt : 20171101 0001615774-17-006131.hdr.sgml : 20171101 20171101164445 ACCESSION NUMBER: 0001615774-17-006131 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 GROUP MEMBERS: VIVO VENTURES FUND VI, L.P. GROUP MEMBERS: VIVO VENTURES VI AFFILIATES FUND, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Eiger BioPharmaceuticals, Inc. CENTRAL INDEX KEY: 0001305253 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 361004130 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87931 FILM NUMBER: 171169522 BUSINESS ADDRESS: STREET 1: 350 CAMBRIDGE AVE STREET 2: SUITE 350 CITY: PALO ALTO STATE: CA ZIP: 94306 BUSINESS PHONE: 650-279-9845 MAIL ADDRESS: STREET 1: 350 CAMBRIDGE AVE STREET 2: SUITE 350 CITY: PALO ALTO STATE: CA ZIP: 94306 FORMER COMPANY: FORMER CONFORMED NAME: Celladon Corp DATE OF NAME CHANGE: 20041005 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Vivo Ventures VI, LLC CENTRAL INDEX KEY: 0001469547 IRS NUMBER: 208829402 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13D/A 1 s107971_13da.htm SC 13D/A

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D/A

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

Eiger BioPharmaceuticals, Inc.

(Name of Issuer)

 

Common Stock, $0.001 par value per share

(Title of Class of Securities)

 

28249U 105

(CUSIP Number)

 

Frank Kung

Vivo Capital LLC

505 Hamilton Avenue, Suite 207

Palo Alto, CA 94301

Telephone: (650) 688-0818

 

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

October 30, 2017

(Date of Event Which Requires Filing of This Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 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).  

 

 

 

 

           
1

NAME OF REPORTING PERSON

 

Vivo Ventures VI, LLC

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐
  (b) ☐
3 SEC USE ONLY
4 SOURCE OF FUNDS Not Applicable
5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐

6 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 7 SOLE VOTING POWER 0
8 SHARED VOTING POWER 1,787,091 (1)
9 SOLE DISPOSITIVE POWER 0
10 SHARED DISPOSITIVE POWER 1,787,091 (1)
11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,787,091 (1)  
12

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

☐

   
13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

17.5%(2)

   
14 TYPE OF REPORTING PERSON OO

 

(1)Consists of (a) 1,774,095 shares of Common Stock held by Vivo Ventures Fund VI, L.P. (“Fund VI”) and (b) 12,996 shares held by Vivo Ventures VI Affiliates Fund, L.P. (“VI Affiliates Fund”). Vivo Ventures VI, LLC is the sole general partner of each of Fund VI and VI Affiliated Fund and may be deemed to beneficially own such shares. The voting members of Vivo Ventures VI, LLC are Dr. Frank Kung, Dr. Albert Cha, and Dr. Edgar Engleman, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares.

(2)This percentage is calculated based on 10,221,779 shares of Common Stock, $0.001 par value, of the Issuer outstanding after the completion of the Issuer’s offering, as disclosed in the final prospectus filed by the Issuer on October 30, 2017, pursuant to Rule 424(b)(5) under the Securities Act of 1933, as amended, which forms part of the Issuer’s Registration Statement on Form S-3 (File No. 333-212114). The Reporting Person’s beneficial ownership changed primarily due to an increase in the total number of shares of the Issuer’s Common Stock outstanding.

 

 

 

           
1

NAME OF REPORTING PERSON

 

Vivo Ventures Fund VI, L.P.

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐
  (b) ☐
3 SEC USE ONLY
4 SOURCE OF FUNDS WC
5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐

6 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 7 SOLE VOTING POWER 0
8 SHARED VOTING POWER 1,774,095
9 SOLE DISPOSITIVE POWER 0
10 SHARED DISPOSITIVE POWER 1,774,095
11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,774,095  
12

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

☐

   
13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

17.4%(1)

   
14 TYPE OF REPORTING PERSON PN

 

(1)This percentage is calculated based on 10,221,779 shares of Common Stock, $0.001 par value, of the Issuer outstanding after the completion of the Issuer’s offering, as disclosed in the final prospectus filed by the Issuer on October 30, 2017, pursuant to Rule 424(b)(5) under the Securities Act of 1933, as amended, which forms part of the Issuer’s Registration Statement on Form S-3 (File No. 333-212114). The Reporting Person’s beneficial ownership changed primarily due to an increase in the total number of shares of the Issuer’s Common Stock outstanding.

 

 

 

           
1

NAME OF REPORTING PERSON

 

Vivo Ventures VI Affiliates Fund, L.P.

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐
  (b) ☐
3 SEC USE ONLY
4 SOURCE OF FUNDS WC
5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐

6 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 7 SOLE VOTING POWER 0
8 SHARED VOTING POWER 12,996
9 SOLE DISPOSITIVE POWER 0
10 SHARED DISPOSITIVE POWER 12,996
11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

12,996  
12

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

☐

   
13

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

0.1%(1)

   
14 TYPE OF REPORTING PERSON PN

 

(1)This percentage is calculated based on 10,221,779 shares of Common Stock, $0.001 par value, of the Issuer outstanding after the completion of the Issuer’s offering, as disclosed in the final prospectus filed by the Issuer on October 30, 2017, pursuant to Rule 424(b)(5) under the Securities Act of 1933, as amended, which forms part of the Issuer’s Registration Statement on Form S-3 (File No. 333-212114). The Reporting Person’s beneficial ownership changed primarily due to an increase in the total number of shares of the Issuer’s Common Stock outstanding.

 

 

 

SCHEDULE 13D/A

 

Explanatory Note: This Amendment No. 1 (the “Amendment”), which amends and supplements the statement on Schedule 13D, filed on April 1, 2016 (the “Prior 13D”) by the Reporting Persons, relates to the common stock, par value $0.001 per share (the “Common Stock”), of Eiger BioPharmaceuticals, Inc., a Delaware corporation (the “Issuer”). The principal executive offices of the Issuer are located at 350 Cambridge Avenue, Suite 350, Palo Alto, CA 94306.

 

The purpose of this Amendment is to report changes in the Reporting Persons’ beneficial ownerships of the Issuer’s Common Stock, which resulted primarily due to increases in the total number of shares of the Issuer’s Common Stock outstanding. Except as specifically provided herein, this Amendment does not modify any of the information previously reported on the Prior 13D. All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Prior 13D.

 

Item 4. Purpose of Transaction

 

Vivo Ventures Fund VI, L.P. purchased 186,136 shares of Common Stock on August 18, 2016.

 

Vivo Ventures VI Affiliates Fund, L.P. purchased 1,364 shares of Common Stock on August 18, 2016.

 

Item 5. Interest in Securities of the Issuer

 

(a)            The information requested by this paragraph is incorporated herein by reference to the information provided on the cover pages to this Amendment.

 

(b)            The information requested by this paragraph is incorporated herein by reference to the information provided on the cover pages to this Amendment.

 

(c)            Except as disclosed herein, none of the Reporting Persons or their affiliates has effected any other transactions in the securities of the Issuer during the past 60 days.

 

(d)            Not applicable.

 

(e)            Not applicable.

 

 

 

 

Signature

 

After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

November 1, 2017 VIVO VENTURES VI, LLC
   
   By:  /s/ Frank Kung
    Frank Kung
Managing Member

 

  VIVO VENTURES FUND VI, L.P.
   
  By: Vivo Ventures VI, LLC
Its: General Partner
   
   By:  /s/ Frank Kung
    Frank Kung
Managing Member

  

  VIVO VENTURES VI AFFILIATES FUND, L.P.
   
  By: Vivo Ventures VI, LLC
Its: General Partner
   
   By:  /s/ Frank kung
    Frank Kung
Managing Member