You can access the original SEC filing by clicking here.
Ownership Summary Table
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Lough Ree Technologies Limited | 0 | 13,952,403 | 0 | 13,952,403 | 46.36% | |
Gurnet Point | 0 | 13,952,403 | 0 | 13,952,403 | 46.36% | |
Waypoint International GP | 0 | 13,952,403 | 0 | 13,952,403 | 46.36% |
Page 1 of 11 – SEC Filing
Innocoll Holdings Public Limited Company |
(Name of Issuer) |
Ordinary Shares, par value $0.01 per share |
(Title of class of securities) |
G4783X105 |
(CUSIP Number) |
(212) 310-8000 |
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
April 4, 2017 |
(Date of Event which Requires Filing of this Statement) |
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Page 2 of 11 – SEC Filing
CUSIP No. G4783X105 | 13D | Page 2 |
1 | NAME OF REPORTING PERSONS OR | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
Lough Ree Technologies Limited | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ☐ | ||
(b) | ☒ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS | ||||
OO | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ☐ | |||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Ireland | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | |||
0 | |||||
8 | SHARED VOTING POWER | ||||
13,952,403* | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
13,952,403* | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON | ||||
13,952,403* | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
46.36%† | |||||
14 | TYPE OF REPORTING PERSON | ||||
OO | |||||
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Page 3 of 11 – SEC Filing
CUSIP No. G4783X105 | 13D | Page 3 |
1 | NAME OF REPORTING PERSONS OR | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
Gurnet Point L.P. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ☐ | ||
(b) | ☒ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS | ||||
OO | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ☐ | |||
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 | ||||
13,952,403* | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
13,952,403* | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON | ||||
13,952,403* | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
46.36%† | |||||
14 | TYPE OF REPORTING PERSON | ||||
PN | |||||
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Page 4 of 11 – SEC Filing
CUSIP No. G4783X105 | 13D | Page 4 |
1 | NAME OF REPORTING PERSONS OR | ||||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | |||||
Waypoint International GP LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ☐ | ||
(b) | ☒ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS | ||||
OO | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | ☐ | |||
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 | ||||
13,952,403* | |||||
9 | SOLE DISPOSITIVE POWER | ||||
0 | |||||
10 | SHARED DISPOSITIVE POWER | ||||
13,952,403* | |||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON | ||||
13,952,403* | |||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | ☐ | |||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||
46.36%† | |||||
14 | TYPE OF REPORTING PERSON | ||||
OO | |||||
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Page 5 of 11 – SEC Filing
Item 1. | Security and Issuer. |
Item 2. | Identity and Background. |
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of Transaction. |
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Page 6 of 11 – SEC Filing
Item 5. | Interest in Securities of the Issuer. |
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Page 7 of 11 – SEC Filing
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
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Page 8 of 11 – SEC Filing
Item 7. | Material to be Filed as Exhibits. |
Exhibit Number | Description | |
1 | Transaction Agreement, dated as of April 4, 2017, by and among Gurnet Point L.P. (acting through its general partner, Waypoint International GP LLC), Lough Ree Technologies Limited and Innocoll Holdings plc (incorporated by reference to Exhibit 2.1 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
2 | Rule 2.5 Announcement, dated April 4, 2017 (incorporated by reference to Exhibit 99.1 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
3 | Form of Director Irrevocable (incorporated by reference to Exhibit 10.3 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
4 | Irrevocable Undertaking of Cam Investment Cayman Holdings LP, dated April 4, 2017 (incorporated by reference to Exhibit 10.4 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
5 | Irrevocable Undertaking of The New York Distressed Debt Trading Desk of Morgan Stanley & Co., LLC, dated April 4, 2017 (incorporated by reference to Exhibit 10.5 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
6 | Irrevocable Undertaking of Sofinnova Venture Partners VIII, L.P., dated April 4, 2017 (incorporated by reference to Exhibit 10.4 of Innocoll Holdings plc’s Current Report on Form 8-K, filed with the SEC on April 4, 2017) | |
Joint Filing Agreement, dated as of April 14, 2017, by and among Lough Ree Technologies Limited, Gurnet Point, L.P. and Waypoint International GP LLC |
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Page 9 of 11 – SEC Filing
Date: April 14, 2017 | LOUGH REE TECHNOLOGIES LIMITED |
/s/ James B. Singleton | |
Name: James B. Singleton | |
Title: Director | |
Date: April 14, 2017 | GURNET POINT L.P. By: Waypoint International GP LLC |
/s/ James B. Singleton | |
Name: James B. Singleton | |
Title: Secretary | |
Date: April 14, 2017 | WAYPOINT INTERNATIONAL GP LLC |
/s/ James B. Singleton | |
Name: James B. Singleton | |
Title: Secretary |
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Page 10 of 11 – SEC Filing
I. | Lough Ree Technologies Limited |
Name | Citizenship | Present Principal Occupation | Present Business Address | ||||||||
Directors | |||||||||||
Christopher Viehbacher | Canada and Germany | Managing Partner of Gurnet Point Capital LLC, which provides investment advisory services to Gurnet | c/o Gurnet Point Capital LLC 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
Gretchen McCarey | United States of America | Director, Finance and Operations for Waypoint Capital Services, Inc., which provides the central corporate services functions serving the Waypoint Group and Business Units with respect to U.S. matters | c/o Gurnet Point Capital LLC 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
Donald Travis Wilson | United States of America | Investment Partner, Gurnet Point Capital LLC, which provides investment advisory services to Gurnet | c/o Gurnet Point Capital LLC 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
James Singleton | United States of America and Ireland | General Counsel, Waypoint Capital Services, Inc., which provides the central corporate services functions serving the Waypoint Group and Business Units with respect to U.S. matters | c/o Gurnet Point Capital LLC 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
Gordon Douglas McNair | United Kingdom | Chief Financial Officer, Waypoint Corporate Services Limited, which provides the central corporate services functions serving the Waypoint Group and Business Units | Waypoint Corporate Services Ltd 1 Curzon Street London W1J 5HD |
II. | Waypoint International GP LLC; Gurnet Point L.P. |
Name | Citizenship | Present Principal Occupation | Present Business Address | ||||||||
Gretchen McCarey | United States of America | Director, Finance and Operations for Waypoint Capital Services, Inc., which provides the central corporate services functions serving the Waypoint Group and Business Units with respect to U.S. matters | 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
James Singleton | United States of America and Ireland | General Counsel, Waypoint Capital Services, Inc., which provides the central corporate services functions serving the Waypoint Group and Business Units with respect to U.S. matters | 55 Cambridge Parkway, Suite 401, Cambridge, MA 02142 | ||||||||
Stefan Meister | Switzerland | Group Chief Operating Officer, Waypoint International Holdings S.A., an investment holding company affiliated with Gurnet | c/o Bemido SA 1 Avenue Giuseppe-Motta 31-37, 1202 Geneva, Switzerland |
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Page 11 of 11 – SEC Filing
Shareholder | Innocoll Ordinary Shares |
Director Irrevocables | |
Shumeet Banerji | 308,660 |
David Brennan | 237,440 |
James Culverwell | 291,566 |
Anthony Zook | 542,396 |
Jonathan Symonds | 525,446 |
Rolf Schmidt | 386,587 |
Executive Officer Irrevocables | |
Jose Carmona | 7,142 |
Richard Fante | 16,630 |
Charles Katzer | 7,100 |
Lesley Russell | 7,142 |
Shareholder Irrevocables | |
The New York Distressed Debt Trading Desk of Morgan Stanley & Co. LLC | 3,365,978 |
Sofinnova Venture Partners VIII, L.P. | 2,103,173 |
Cam Investment Cayman Holdings LP | 4,085,469 |
Schmidt Parties* | 2,067,674 |
* | Reflects shares beneficially owned by Paul G. Oxholm; F.W. Schmidt; Investment Partners, LP; BigCreek, LP; Cacoosing Family Charitable Foundation; the Irrevocable Trust of Rolf D. Schmidt and Renate U. Schmidt Dated November 30 1990; and the Irrevocable Trust of Friedrich Wilhelm Schmidt and Peggy Ann Schmidt Dated October 24, 1990 |