Filing Details
- Accession Number:
- 0001387131-17-000668
- Form Type:
- 13G Filing
- Publication Date:
- 2017-02-09 16:56:16
- Filed By:
- Smith Robert J
- Company:
- Corindus Vascular Robotics Inc.
- Filing Date:
- 2017-02-09
- SEC Url:
- 13G Filing
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 |
|---|---|---|---|---|---|---|
| I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS(ENTITIES ONLY) ROBERT J. SMITH | 788,900 | 7 | 788,900 | 9 | 788,900 | 0.66% |
| I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS(ENTITIES ONLY) ENERGY CAPITAL | 9,481,148 | 7 | 9,481,148 | 9 | 9,481,148 | 7.97% |
| I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS(ENTITIES ONLY) PLATO ASSOCIATES | 915,161 | 7 | 915,161 | 9 | 915,161 | 0.77% |
| I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS(ENTITIES ONLY) JO CEE | 30,000 | 7 | 30,000 | 9 | 30,000 | 0.03% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934*
| CORINDUS VASCULAR ROBOTICS, INC. |
| (Name of Issuer) |
| Common Stock |
| (Title of Class of Securities) |
218730 109 |
| (CUSIP Number) |
December 31, 2016 |
(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 . | 218730 109 | Page 2 of 8 |
| 1 | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ROBERT J. SMITH | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ (b) ☐ | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | |||
NUMBER OF BENEFICIALLY EACH PERSON | 5 | SOLE VOTING POWER 788,900 | ||
| 6 | SHARED VOTING POWER | |||
| 7 | SOLE DISPOSITIVE POWER 788,900 | |||
| 8 | SHARED DISPOSITIVE POWER | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 788,900 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.66% | |||
| 12 | TYPE OF REPORTING PERSON IN | |||
| CUSIP No . | 218730 109 | Page 3 of 8 |
| 1 | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ENERGY CAPITAL, LLC | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 9,481,148 | (a) ☐ (b) ☐ | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | |||
NUMBER OF BENEFICIALLY EACH PERSON | 5 | SOLE VOTING POWER 9,481,148 | ||
| 6 | SHARED VOTING POWER | |||
| 7 | SOLE DISPOSITIVE POWER 9,481,148 | |||
| 8 | SHARED DISPOSITIVE POWER | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9,481,148 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.97% | |||
| 12 | TYPE OF REPORTING PERSON OO | |||
| CUSIP No . | 218730 109 | Page 4 of 8 |
| 1 | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PLATO & ASSOCIATES, LLC | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) ☐ (b) ☐ | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | |||
NUMBER OF BENEFICIALLY EACH PERSON | 5 | SOLE VOTING POWER 915,161 | ||
| 6 | SHARED VOTING POWER | |||
| 7 | SOLE DISPOSITIVE POWER 915,161 | |||
| 8 | SHARED DISPOSITIVE POWER | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 915,161 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.77% | |||
| 12 | TYPE OF REPORTING PERSON OO | |||
| CUSIP No . | 218730 109 | Page 5 of 8 |
| 1 | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) JO CEE, LLC | |||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 30,000 | (a) ☐ (b) ☐ | ||
| 3 | SEC USE ONLY | |||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION U.S. | |||
NUMBER OF BENEFICIALLY EACH PERSON | 5 | SOLE VOTING POWER 30,000 | ||
| 6 | SHARED VOTING POWER | |||
| 7 | SOLE DISPOSITIVE POWER 30,000 | |||
| 8 | SHARED DISPOSITIVE POWER | |||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,000 | |||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES | ☐ | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.03% | |||
| 12 | TYPE OF REPORTING PERSON OO | |||
| CUSIP No . | 218730 109 | Page 6 of 8 |
| Item 1(a). | Name of Issuer: CORINDUS VASCULAR ROBOTICS, INC. | ||
| Item 1(b). | Address of Issuer’s Principal Executive Offices: | 309 Waverley Oaks Road, Suite 105 | |
| Waltham, MA 02452 | |||
| Item 2(a). | Name of Person Filing: | Robert J. Smith | |
| (Energy Capital, LLC) | |||
| (Plato & Associates, LLC) | |||
| (Jo Cee, LLC) | |||
| Item 2(b). | Address of Principal Business Office or, if None, Residence: | 13650 Fiddlesticks Blvd. | |
| Suite 202-324 | |||
| Ft. Myers, FL 33912 | |||
| Item 2(c). | Citizenship: | U.S. | |
| Item 2(d). | Title of Class of Securities: | Common Stock | |
| Item 2(e). | CUSIP Number: | 218730 109 | |
| Item 3. | If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a: | ||
| (a) | ☐ | Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). | |
| (b) | ☐ | Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). | |
| (c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). | |
| (d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). | |
| (e) | ☐ | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | |
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |
| (g) | ☐ | A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G); | |
| (h) | ☐ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3); | |
| (j) | ☐ | Group, in accordance with §240.13d-1(b)(1)(ii)(J). | |
| CUSIP No . | 218730 109 | Page7 of 8 |
| Item 4. | Ownership. | ||
| Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. | |||
| (a) | Amount beneficially owned: 11,215,209 | ||
| (b) | Percent of class: 9.42% | ||
| (c) | Number of shares as to which such person has: | ||
| (i) | Sole power to vote or to direct the vote 11,215,209 | ||
| (ii) | Shared power to vote or to direct the vote | ||
| (iii) | Sole power to dispose or to direct the disposition of 11,215,209 | ||
| (iv) | Shared power to dispose or to direct the disposition of | ||
| CUSIP No . | 218730 109 | Page 8 of 8 |
| Item 5. | Ownership of Five Percent or Less of a Class. |
| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐ | |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. N/A |
| Item 7. | Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding Company or Control Person. N/A |
| Item 8. | Identification and Classification of Members of the Group. N/A |
| Item 9. | Notice of Dissolution of Group. N/A |
| 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.
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: | February 9, 2017 | ||
| Signature: | /s/ Robert J. Smith | ||
| Name: | Robert J. Smith | ||
| Title: | Individually and as Sole Member of Energy Capital, LLC, Plato & Associates, LLC, and | ||