Filing Details

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

(Amendment No.___)*

 

Under the Securities Exchange Act of 1934

 

Eyegate Pharmaceuticals, Inc.

(Name of Issuer)

 

COMMON STOCK, $0.01 PER SHARE PAR VALUE

(Title of Class of Securities)

 

30233M 107

(CUSIP Number)

 

September 7, 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)

x

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.  30233M 107

 

 

1		NAMES OF REPORTING PERSON   Jonathan Lau
2		CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)  o        (b)  o
3		SEC USE ONLY
4		CITIZENSHIP OR PLACE OF ORGANIZATION   United States of America
NUMBER OF SHARES  BENEFICIALLY   OWNED BY EACH REPORTING PERSON WITH:				5		SOLE VOTING POWER   3,809,380
				6		SHARED VOTING POWER   0
				7		SOLE DISPOSITIVE POWER   3,809,380
				8		SHARED DISPOSITIVE POWER    0
9		AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON   3,809,380
10		CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
11		PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9   8.77%**
12		TYPE OF REPORTING PERSON   IN

 

 

**

The percentage was calculated based on 43,443,878  shares of Common Stock issued and outstanding as of November 9, 2018 as reported in the Issuer’s Form 10-Q for the quarterly period ended September 30, 2018 and filed with the SEC on November 13, 2018 (the “10-Q”).

 

 

 

ITEM 1.

 

(a) - Name of Issuer: Eyegate Pharmaceuticals, Inc., a Delaware Corporation (the “Issuer”).

 

(b) - Address of Issuer's Principal Executive Offices: 271 Waverley Oaks Road, Suite 108, Waltham, MA 02452.

 

ITEM 2.

 

(a) - Name of Person Filing: Jonathan Lau

 

(b) – Address of Principal Business Office or, if none, Residence of all Reporting Persons: 137 Walden Street, Cambridge, MA 02140

 

(c) – Citizenship of all Reporting Persons: United States of America

 

(d) - Title of class of securities: Common Stock, par value $0.01 per share (the “Common Stock”)

 

(e) - CUSIP No.: 30233M 107

 

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)(1)(ii)(G);
	(h)	¨	A savings associations 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 of 1940 (15 U.S.C. 80a-3);
	(j)	¨	A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
	(k)	¨	Group, in accordance with §240.13d-1(b)(1)(ii)(J).
	Not applicable.

 

ITEM 4.

Ownership

	(a)	Amount beneficially owned: 3,809,380
	(b)	Percent of class: 8.77%**
	(c)	Number of shares as to which the person has:
		(i)	Sole power to vote or to direct the vote: 3,809,380
		(ii)	Shared power to vote to direct the vote: None
		(iii)	Sole power to dispose or to direct the disposition of: 3,809,380
		(iv)	Shared power to dispose or to direct the disposition of: None

 

**

The percentage was calculated based on 43,443,878   shares of Common Stock issued and outstanding as reported by the Issuer in the 10-Q.

 

 

 

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
	Not applicable.
ITEM 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
	Not applicable.
ITEM 8.	Identification and Classification of Members of the Group
	Not applicable.
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.

 

 

 

 

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: November 20, 2018

 

 

 

 

/s/ Jonathan Lau

Jonathan Lau