Filing Details

Accession Number:
0001144204-19-007825
Form Type:
13D Filing
Publication Date:
2019-02-14 12:02:54
Filed By:
Sofinnova Capital Vii Fcpr
Company:
Altamira Therapeutics Ltd.
Filing Date:
2019-02-14
SEC Url:
13D Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Sofinnova Capital VII FCPR ( SC VII ) EIN 98-10 331,147 331,147 331,147 331,147 331,147 0.88 %
Sofinnova Partners SAS, a French corporation ( SP SAS ) 331,147 331,147 331,147 331,147 331,147 0.88 %
Denis Lucquin ( Lucquin ) , 331,147 , 331,147 331,147 0.88 %
Antoine Papiernik ( Papiernik ) 0 331,147 0 331,147 331,147 0.88 %
Henrijette Richter ( Richter ) , 331,147 , 331,147 331,147 0.88 %
Monique Saulnier ( Saulnier ) 0 0 331,147 0.88 %
Graziano Seghezzi ( Seghezzi ) , , 331,147 0.88 %
Filing

 

 

 

CUSIP No. H0381L104 Page 1 of 10

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

SCHEDULE 13D

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 3)*

 

Auris Medical Holding AG
(Name of Issuer)

 

Ordinary Shares
(Title of Class of Securities)

 

H0381L104
(CUSIP Number)

 

Christophe Blanche

Sofinnova Partners

Immeuble le Centorial

16-18 rue du Quatre-Septembre

75002 Paris

France

+33 1 53 05 41 04

 
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
December 31, 2018
(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 §§240.13d-1(e), 240.13d-1(f) or 240.13d-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 Rule 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).

 

 

 

 

 

CUSIP No. H0381L104 Page 2 of 10

 

1. 

Name of Reporting Persons

 

Sofinnova Capital VII FCPR (“SC VII”)

EIN: 98-1028040

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a) 

(b) 

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

WC

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

¨

 

6. 

Citizenship or Place of Organization

 

France

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

331,147 shares, except that Sofinnova Partners SAS (“SP SAS”), a French corporation and the management company of SC VII, may be deemed to have sole power to dispose of these shares, and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Monique Saulnier (“Saulnier”), Graziano Seghezzi (“Seghezzi”) and Henrijette Richter (“Richter”), the managing partners of SP SAS, may be deemed to have shared power to dispose of such shares.

8. 

Shared Voting Power

 

See row 7.

9.

Sole Dispositive Power

 

331,147 shares, except that SP SAS, a French corporation and the management company of SC VII, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Saulnier, Seghezzi and Richter, the managing partners of SP SAS, may be deemed to have shared power to dispose of such shares.

10.

Shared Dispositive Power

 

See row 9.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

00

 

 

 

CUSIP No. H0381L104 Page 3 of 10

 

1. 

Name of Reporting Persons

 

Sofinnova Partners SAS, a French corporation (“SP SAS”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b) 

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6. 

Citizenship or Place of Organization

 

France

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Lucquin, Papiernik, Saulnier, Seghezzi and Richter, the managing partners of SP SAS, may be deemed to have shared power to vote these shares.

8.

Shared Voting Power

 

See row 7.

9.

Sole Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Lucquin, Papiernik, Saulnier, Seghezzi and Richter, the managing partners of SP SAS, may be deemed to have shared power to dispose of these shares.

10.

Shared Dispositive Power

 

See row 9.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

00

 

 

 

CUSIP No. H0381L104 Page 4 of 10

 

1. 

Name of Reporting Persons

 

Denis Lucquin (“Lucquin”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a) 

(b)  

 

¨

x

3. 

SEC USE ONLY

 

4.

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6. 

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7. 

Sole Voting Power

 

0

8. 

Shared Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9. 

Sole Dispositive Power

 

0

10.

Shared Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Lucquin, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)  

 

¨
13.

Percent of Class Represented by Amount in Row 11

 

0.88%

14.

Type of Reporting Person (see instructions)

 

IN

 

 

 

CUSIP No. H0381L104 Page 5 of 10

 

1. 

Name of Reporting Persons

 

Antoine Papiernik (“Papiernik”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6. 

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7. 

Sole Voting Power

 

0

8. 

Shared Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9. 

Sole Dispositive Power

 

0

10. 

Shared Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Papiernik, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

IN

 

 

 

CUSIP No. H0381L104 Page 6 of 10

 

1.

Name of Reporting Persons

 

Henrijette Richter (“Richter”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b) 

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6. 

Citizenship or Place of Organization

 

Danish Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7. 

Sole Voting Power

 

0

8.

Shared Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Richter, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9. 

Sole Dispositive Power

 

0

10. 

Shared Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Richter, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

IN

 

 

 

CUSIP No. H0381L104 Page 7 of 10

 

1. 

Name of Reporting Persons

 

Monique Saulnier (“Saulnier”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b)

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6.

Citizenship or Place of Organization

 

French Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power

 

0

8. 

Shared Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9. 

Sole Dispositive Power

 

0

10. 

Shared Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Saulnier, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

IN

 

 

 

CUSIP No. H0381L104 Page 8 of 10

 

1. 

Name of Reporting Persons

 

Graziano Seghezzi (“Seghezzi”)

2. 

Check the Appropriate Box if a Member of a Group (see instructions)

(a)

(b) 

 

¨

x

3. 

SEC USE ONLY

 

4. 

Source of Funds (see instructions)

 

00

5. 

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

¨
6. 

Citizenship or Place of Organization

 

Italian Citizen

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7. 

Sole Voting Power

 

0

8. 

Shared Voting Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole voting power, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to vote these shares.

9. 

Sole Dispositive Power

 

0

10. 

Shared Dispositive Power

 

331,147 shares, all of which are owned directly by of SC VII. SP SAS, the management company of SC VII, may be deemed to have sole dispositive power, and Seghezzi, a managing partner of SP SAS, may be deemed to have shared power to dispose of these shares.

11. 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

331,147 shares

12. 

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) 

 

¨
13. 

Percent of Class Represented by Amount in Row 11

 

0.88%

14. 

Type of Reporting Person (see instructions)

 

IN

 

 

 

CUSIP No. H0381L104 Page 9 of 10

 

This Amendment No. 3 (“Amendment No. 3”) amends and supplements the Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) by Sofinnova Capital VII FCPR (“SC VII”), Sofinnova Partners SAS, a French corporation “SP SAS”), and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Monique Saulnier (“Saulnier”), the managing partners of SP SAS (collectively, the "Listed Persons" and together with SC VII and SP SAS, the “Filing Persons”) on August 5, 2014. Rafaèle Tordjman ceased to be a managing partner of SP SAS on February 28, 2017, and is not a Listed Person on this Amendment No. 3. Graziano Seghezzi (“Seghezzi”) and Henrijette Richter (“Richter”) became managing partners of SP SAS and each is included as a Listed Person on this Amendment No. 3. Except as specifically provided herein, this Amendment No. 3 does not modify any of the information previously reported in the Schedule 13D, as amended. Capitalized terms used herein shall have the meanings ascribed to them in the Schedule 13D. The sole purpose of this Amendment No. 3 is to report that the Filing Persons own less than a 5% interest in the issuer solely due to an increase in the total outstanding ordinary shares of the issuer.

 

Item 5. Interest in Securities of the Issuer.

 

(e)The Filing Persons ceased to be the beneficial owner of more than 5% of the class of securities as of January 25, 2019.

 

 

 

CUSIP No. H0381L104 Page 10 of 10

 

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.

 

Dated: February 13, 2019

 

SOFINNOVA CAPITAL VII FCPR   SOFINNOVA PARTNERS SAS
         
By: Sofinnova Partners SAS   By: /s/ Monique Saulnier
      Name: Monique Saulnier
      Title: Managing Partner

 

By: /s/ Monique Saulnier  
Name: Monique Satlnier  
Title: Managing Partner  

 

By: /s/ Denis Lucquin   By: /s/ Monique Saulnier
Name: Denis Lucquin   Name: Monique Saulnier

 

By: /s/ Antoine Papiernik   By: /s/ Henrijette Richter
Name: Antoine Papiernik   Name: Henrijette Richter

 

By: /s/ Graziano Seghezzi  
Name: Graziano Seghezzi