Filing Details
- Accession Number:
- 0001144204-17-010071
- Form Type:
- 13D Filing
- Publication Date:
- 2017-02-21 13:49:34
- Filed By:
- Sofinnova Capital Vi Fcpr
- Company:
- Bioamber Inc. (NYSE:BIOA)
- Filing Date:
- 2017-02-21
- SEC Url:
- 13D 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 |
|---|---|---|---|---|---|---|
| Sofinnova Capital VI FCPR ( SC VI ) EIN 98-058371 | 3,294,037 | 3,294,037 | 3,294,037 | 3,294,037 | 3,294,037 | 9.6% |
| Sofinnova Partners SAS, a French corporation ( SP SAS ) | , | 3,294,037 | 3,294,037 | 3,294,037 | 3,294,037 | 9.6% |
| Denis Lucquin ( Lucquin ) | 3,294,037 | 3,294,037 | 0 | 3,294,037 | 3,294,037 | 9.6% |
| Antoine Papiernik ( Papiernik ) | , | 3,294,037 | 0 | 3,294,037 | 3,294,037 | 9.6% |
| Rafa le Tordjman ( Tordjman ) | 0 | 0 | 3,294,037 | 9.6% | ||
| Monique Saulnier ( Saulnier ) | , | 0 | 3,294,037 | 9.6% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1)*
BioAmber Inc.
(Name of Issuer)
Common Stock, par value $0.01
(Title of Class of Securities)
9072Q 106
(CUSIP Number)
Ha-Jin Shin
Sofinnova Partners
Immeuble le Centorial
16-18 rue du 4 Septembre
75002 Paris
France
(+33) 1 53 05 41 04
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 18, 2016
(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. 09072Q 106 | Page 2 of 9 |
| 1. | Name of Reporting Persons
Sofinnova Capital VI FCPR (“SC VI”) EIN: 98-0583711 | |
| 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
3,294,037 shares, except that Sofinnova Partners SAS, a French corporation (“SP SAS”), the management company of SC VI, may be deemed to have sole voting power, and Denis Lucquin (“Lucquin”), Antoine Papiernik (“Papiernik”), Rafaèle Tordjman (“Tordjman”) and Monique Saulnier (“Saulnier”), 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
3,294,037 shares, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Tordjman and Saulnier, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
00 |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 3 of 9 |
| 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Lucquin, Papiernik, Tordjman and Saulnier, 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
3,294,037 shares, except that SP SAS, the management company of SC VI, may be deemed to have sole power to dispose of these shares, and Lucquin, Papiernik, Tordjman and Saulnier, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
00 |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 4 of 9 |
| 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
IN |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 5 of 9 |
| 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
IN |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 6 of 9 |
| 1. | Name of Reporting Persons
Rafaèle Tordjman (“Tordjman”) | |
| 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have sole voting power, and Tordjman, 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, and Tordjman, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
IN |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 7 of 9 |
| 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, 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
3,294,037 shares, of which 3,294,037 shares are owned directly by SC VI. SP SAS, the management company of SC VI, may be deemed to have power to dispose of these shares, 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
3,294,037 |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions) ¨
|
| 13. | Percent of Class Represented by Amount in Row 11
9.6% (1) |
| 14. | Type of Reporting Person (see instructions)
IN |
| (1) The percentage is calculated based upon 34,269,945 shares of Common Stock consisting of (i) 28,836,983 shares of Common Stock as reported in the most recent Form 10-Q filed by the Issuer with the Securities and Exchange Commission on November 7, 2016, (ii) 1,748,750 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on December 23, 2016 and (iii) 3,684,212 shares of Common Stock as reported in Form 424B5 filed by the Issuer with the Securities and Exchange Commission on January 24, 2017. |
| CUSIP No. 09072Q 106 | Page 8 of 9 |
This Amendment No. 1 (“Amendment No. 1”) amends and supplements the Schedule 13D (the “Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) by SC IV, SP SAS, and Lucquin, Papiernik, Tordjman, and Saulnier, the managing partners of SP SAS (collectively, the “Listed Persons” and together with SC IV and SP SAS, the “Filing Persons”) on May 21, 2013. Except as specifically provided herein, this Amendment No. 1 does not modify any of the information previously reported in the Schedule 13D. Capitalized terms used herein shall have the meaning ascribed to them in the Schedule 13D.
Item 2. Identity and Background
Item 2(b) of the Schedule 13D is hereby amended and restated as follows:
(b) The address of the principal place of business for each of the Filing Persons is Sofinnova Partners, Immeuble le Centorial, 16-18 rue du 4 September, 75002 Paris, France.
Item 5. Interest in Securities of the Issuer.
Item 5(c) of the Schedule 13D is hereby amended and supplemented as follows:
(c) SC IV effected the following sales of shares of Common Stock on the dates indicated below:
| Date | Price per share | Number of shares | How effected |
| October 26, 2016 | $5.0000 | 50,000 | Open market |
| November 17, 2016 | $5.0439 | 50,000 | Open market |
| November 18, 2016 | $5.5000 | 50,000 | Open market |
| November 18, 2016 | $6.0000 | 6,595 | Open market |
| November 21, 2016 | $6.0000 | 43,405 | Open market |
| November 22, 2016 | $6.5000 | 1,453 | Open market |
| January 6, 2017 | $5.6000 | 100,000 | Block trade |
| CUSIP No. 09072Q 106 | Page 9 of 9 |
SIGNATURES
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 20, 2017
| SOFINNOVA CAPITAL VI FCPR | |||
| By: | SOFINNOVA PARTNERS SAS | /s/ Denis Lucquin | |
| Its: | Management Company | Denis Lucquin | |
| By: | /s/ Monique Saulnier | /s/ Antoine Papiernik | |
| Name: Monique Saulnier | Antoine Papiernik | ||
| Title: Managing Director and CFO | |||
| /s/ Rafaèle Tordjman | |||
| SOFINNOVA PARTNERS SAS | Rafaèle Tordjman | ||
| By: | /s/ Monique Saulnier | /s/ Monique Saulnier | |
| Name: Monique Saulnier | Monique Saulnier | ||
| Title: Managing Director and CFO | |||