0001193125-14-194215.txt : 20140512 0001193125-14-194215.hdr.sgml : 20140512 20140512121333 ACCESSION NUMBER: 0001193125-14-194215 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20140512 DATE AS OF CHANGE: 20140512 GROUP MEMBERS: LSP LIFE SCIENCES FUND N.V. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Lombard Medical, Inc. CENTRAL INDEX KEY: 0001597426 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-88129 FILM NUMBER: 14832231 BUSINESS ADDRESS: STREET 1: LOMBARD MEDICAL HOUSE STREET 2: 4 TRIDENT PARK, BASIL HILL ROAD CITY: DIDCOT, OXFORDSHIRE STATE: X0 ZIP: OX11 7HJ BUSINESS PHONE: 1 345 949 1040 MAIL ADDRESS: STREET 1: CODAN TRUST COMPANY (CAYMAN) LIMITED STREET 2: CRICKET SQUARE, HUTCHINS DRIVE CITY: PO BOX 2681, GRAND CAYMAN STATE: E9 ZIP: KY1-1111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LSP Advisory B.V. CENTRAL INDEX KEY: 0001607645 IRS NUMBER: 000000000 STATE OF INCORPORATION: P7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: JOHANNES VERMEERPLEIN 9 CITY: AMSTERDAM STATE: P7 ZIP: 1071DV BUSINESS PHONE: 31 20 6645 500 MAIL ADDRESS: STREET 1: JOHANNES VERMEERPLEIN 9 CITY: AMSTERDAM STATE: P7 ZIP: 1071DV SC 13G 1 d725330dsc13g.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.     )

 

 

Lombard Medical, Inc.

(Name of Issuer)

Ordinary Shares

(Title of Class of Securities)

KYG555981094

(CUSIP Number)

April 30, 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)

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 the disclosures provided in a prior cover page.

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).

 

 

 


CUSIP No. KYG555981094   Schedule 13G   Page 1 of 7

 

1  

NAMES OF REPORTING PERSONS

 

LSP Life Sciences Fund N.V.

2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

3  

SEC USE ONLY

 

4  

CITIZEN OR PLACE OF ORGANIZATION

 

The Netherlands

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

   5     

SOLE VOTING POWER

 

0

   6   

SHARED VOTING POWER

 

824,675

   7   

SOLE DISPOSITIVE POWER

 

0

   8   

SHARED DISPOSITIVE POWER

 

824,675

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

824,675

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

5.1%

12  

TYPE OF REPORTING PERSON

 

OO

 


CUSIP No. KYG555981094   Schedule 13G   Page 2 of 7

 

1  

NAMES OF REPORTING PERSONS

 

LSP Advisory B.V.

2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ¨        (b)  ¨

 

3  

SEC USE ONLY

 

4  

CITIZEN OR PLACE OF ORGANIZATION

 

The Netherlands

NUMBER OF

SHARES

BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

   5     

SOLE VOTING POWER

 

0

   6   

SHARED VOTING POWER

 

824,675

   7   

SOLE DISPOSITIVE POWER

 

0

   8   

SHARED DISPOSITIVE POWER

 

824,675

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

824,675

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

5.1%

12  

TYPE OF REPORTING PERSON

 

OO

 


CUSIP No. KYG555981094   Schedule 13G   Page 3 of 7

 

ITEM 1.   (a)     Name of Issuer:

Lombard Medical, Inc. (the “Issuer”)

 

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

Lombard Medical House

4 Trident Park

Didcot

Oxfordshire OX11 7HJ

United Kingdom

ITEM 2.  (a)     Name of Person Filing:

Each of the following is hereinafter individually referred to as a “Reporting Person” and collectively as the “Reporting Persons.” This statement is filed on behalf of:

LSP Life Sciences Fund N.V.

LSP Advisory B.V.

 

   (b)     Address or Principal Business Office:

The business address of each of the Reporting Persons is c/o LSP, Johannes Vermeerplein 9, 1071 DV Amsterdam, the Netherlands.

 

   (c)     Citizenship of each Reporting Person is:

Each of the reporting persons is organized under the laws of the Netherlands.

 

   (d)     Title of Class of Securities:

Ordinary Shares of $0.01 par value per share (“Ordinary Shares”)

 

   (e)     CUSIP Number:

KYG555981094

ITEM 3.

Not applicable.


CUSIP No. KYG555981094   Schedule 13G   Page 4 of 7

 

 

ITEM 4. Ownership

Ownership (a-c)

The ownership information presented below represents beneficial ownership of Ordinary Shares of the Issuer as of May 12, 2014, based upon 16,185,797 Ordinary Shares outstanding as of April 30, 2014.

 

Reporting Person   

Amount

beneficially

owned

    

Percent

of class:

    Sole
power
to vote or
to direct
the vote:
     Shared
power to
vote or to
direct the
vote:
    

Sole
power to
dispose or
to direct
the
disposition

of:

    

Shared

power to

dispose or

to direct

the

disposition

of:

 

LSP Life Sciences Fund N.V.

     824,675         5.1     0         824,675         0         824,675   

LSP Advisory B.V.

     824,675         5.1     0         824,675         0         824,675   

LSP Life Sciences Fund N.V. is the record holder of 824,675 shares of the Issuer’s Ordinary Shares. LSP Advisory B.V. is the sole director of the LSP Life Sciences Fund N.V. and may as such be deemed to beneficially own the shares. The individual directors of LSP Advisory B.V. are Mark Wegter, Geraldine O’Keeffe and Joep Muijrers.

 

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

Not applicable.

 

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.


CUSIP No. KYG555981094   Schedule 13G   Page 5 of 7

 

 

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, other than activities solely in connection with a nomination under § 240.14a-11.

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: May 12, 2014

 

LSP Life Sciences Fund N.V.
By:   LSP Advisory B.V.,
  its Managing Director
Signed:  

/s/ Mark Wegter

Name:   Mark Wegter
Title:   Director A
Signed:  

/s/ Geraldine O’Keeffe

Name:   Geraldine O’Keeffe
Title:   Director B
LSP Advisory B.V.
Signed:  

/s/ Mark Wegter

Name:   Mark Wegter
Title:   Director A
Signed:  

/s/ Geraldine O’Keeffe

Name:   Geraldine O’Keeffe
Title:   Director B


LIST OF EXHIBITS

 

Exhibit
No.

  

Description

99    Joint Filing Agreement.
EX-99 2 d725330dex99.htm EX-99 EX-99

Exhibit 99

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other on behalf of each of them of such a statement on Schedule 13G with respect to the Ordinary Shares beneficially owned by each of them of Lombard Medical, Inc. This Joint Filing Agreement shall be included as an Exhibit to such Schedule 13G.

IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 12th day of May, 2014.

 

LSP Life Sciences Fund N.V.
By:   LSP Advisory B.V.,
  its Managing Director
Signed:  

/s/ Mark Wegter

Name:   Mark Wegter
Title:   Director A
Signed:  

/s/ Geraldine O’Keeffe

Name:   Geraldine O’Keeffe
Title:   Director B
LSP Advisory B.V.
Signed:  

/s/ Mark Wegter

Name:   Mark Wegter
Title:   Director A
Signed:  

/s/ Geraldine O’Keeffe

Name:   Geraldine O’Keeffe
Title:   Director B