0001193125-18-301986.txt : 20181018 0001193125-18-301986.hdr.sgml : 20181018 20181018161559 ACCESSION NUMBER: 0001193125-18-301986 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20181018 DATE AS OF CHANGE: 20181018 GROUP MEMBERS: LSP ADVISORY GROUP B.V. GROUP MEMBERS: LSP LIFE SCIENCES FUND N.V. GROUP MEMBERS: MARCUS WEGTER SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Cocrystal Pharma, Inc. CENTRAL INDEX KEY: 0001412486 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 352528215 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87608 FILM NUMBER: 181128503 BUSINESS ADDRESS: STREET 1: 1860 MONTREAL ROAD CITY: TUCKER STATE: GA ZIP: 30084 BUSINESS PHONE: (425) 398-7178 MAIL ADDRESS: STREET 1: 1860 MONTREAL ROAD CITY: TUCKER STATE: GA ZIP: 30084 FORMER COMPANY: FORMER CONFORMED NAME: BIOZONE PHARMACEUTICALS, INC. DATE OF NAME CHANGE: 20110304 FORMER COMPANY: FORMER CONFORMED NAME: International Surf Resorts, Inc. DATE OF NAME CHANGE: 20070917 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 d649114dsc13g.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.    )

 

 

Cocrystal Pharma, Inc.

(Name of Issuer)

Ordinary Shares

(Title of Class of Securities)

19188J300

(CUSIP Number)

May 1, 2018

(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)

 

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. 19188J300    Schedule 13G    Page 1 of 9

 

  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

 

1,046,294

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

1,046,294

9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,046,294

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

3.5%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 19188J300    Schedule 13G    Page 2 of 9

 

  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

 

1,827,252

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

1,827,252

9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,827,252

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

6.1%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 19188J300    Schedule 13G    Page 3 of 9

 

  1   

NAMES OF REPORTING PERSONS

 

LSP Advisory Group 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

 

1,827,252

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

1,827,252

9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,827,252

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

6.1%

12  

TYPE OF REPORTING PERSON

 

OO


CUSIP No. 19188J300    Schedule 13G    Page 4 of 9

 

  1   

NAMES OF REPORTING PERSONS

 

Marcus Wegter

  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

 

1,827,252

      7     

SOLE DISPOSITIVE POWER

 

0

      8     

SHARED DISPOSITIVE POWER

 

1,827,252

9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,827,252

10  

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

 

Not Applicable

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

6.1%

12  

TYPE OF REPORTING PERSON

 

IN


CUSIP No. 19188J300    Schedule 13G    Page 5 of 9

 

ITEM 1.

(a) Name of Issuer:

Cocrystal Pharma, Inc. (the “Issuer”)

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

1860 Montreal Road

Tucker, GA 30084

 

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.

LSP Advisory Group B.V.

Marcus Wegter

(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 LSP Life Sciences Fund N.V., LSP Advisory B.V. and LSP Advisory Group B.V.is organized under the laws of the Netherlands. Mr. Wegter is a citizen of the Netherlands.

(d) Title of Class of Securities:

Common Stock, par value $0.001 per share (“Common Stock”)

(e) CUSIP Number:

19188J300

 

ITEM 3.

Not applicable.


CUSIP No. 19188J300    Schedule 13G    Page 6 of 9

 

ITEM 4.

Ownership

Ownership (a-c)

The ownership information presented below represents beneficial ownership of shares of Common Stock of the Issuer as of the date hereof, based upon 29,923,076 shares of Common Stock outstanding as of August 9, 2018.

 

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.

     1,046,294        3.5     0        1,046,294        0        1,046,294  

LSP Advisory B.V.

     1,827,252        6.1     0        1,827,252        0        1,827,252  

LSP Advisory Group B.V.

     1,827,252        6.1     0        1,827,252        0        1,827,252  

Marcus Wegter

     1,827,252        6.1     0        1,827,252        0        1,827,252  

LSP Life Sciences Fund N.V. is the record holder of 1,046,294 shares of Common Stock. LSP Advisory B.V. is the sole director of the LSP Life Sciences Fund N.V. and in such capacity may be deemed to beneficially own the shares held of record by LSP Life Sciences Fund N.V. In addition, LSP Advisory B.V. has the power to vote and dispose of 780,958 shares of Common Stock held in client accounts for which it serves as the investment advisor.

LSP Advisory Group B.V. is the sole shareholder of LSP Advisory B.V., and Marcus Wegter is the director of LSP Advisory Group B.V. Therefore, each of LSP Advisory Group B.V. and Mr. Wegter may be deemed to share beneficial ownership of the shares of Common Stock beneficially owned by LSP Advisory B.V.

 

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.


CUSIP No. 19188J300    Schedule 13G    Page 7 of 9

 

ITEM 9.

Notice of Dissolution of Group

Not applicable.

 

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.


CUSIP No. 19188J300    Schedule 13G    Page 8 of 9

 

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: October 18, 2018

 

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

 

Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director A

 

Signed:   /s/ Geraldine O’Keeffe
Name:   Geraldine O’Keeffe
Title:   Director B

 

LSP Advisory B.V.
Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director A

 

Signed:   /s/ Geraldine O’Keeffe
Name:   Geraldine O’Keeffe
Title:   Director B

 

LSP Advisory Group B.V.
Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director

 

/s/ Marcus Wegter
Marcus Wegter


CUSIP No. 19188J300    Schedule 13G    Page 9 of 9

 

LIST OF EXHIBITS

 

Exhibit No.   

Description

99    Joint Filing Agreement.
EX-99.1 2 d649114dex991.htm EX-99.1 EX-99.1

Exhibit 1

JOINT FILING AGREEMENT

The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

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 Common Stock of Cocrystal Pharma, Inc. beneficially owned by each of them. 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 18th day of October, 2018.

 

LSP Life Sciences Fund N.V.
By:   LSP Advisory B.V.,
  its Managing Director
Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director A
Signed:   /s/ Geraldine O’Keeffe
Name:   Geraldine O’Keeffe
Title:   Director B
LSP Advisory B.V.
Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director A
Signed:   /s/ Geraldine O’Keeffe
Name:   Geraldine O’Keeffe
Title:   Director B
LSP Advisory Group B.V.
Signed:   /s/ Marcus Wegter
Name:   Marcus Wegter
Title:   Director
/s/ Marcus Wegter
Marcus Wegter