SCHEDULE 13D/A
This Final Amendment amends the Schedule 13D jointly filed on August 13, 2004 (the “Schedule 13D”) by Essex
Woodlands Health Ventures Fund V, L.P., a Delaware limited partnership (the “Partnership”), Essex Woodlands Health Ventures V, L.L.C., a Delaware limited liability company, the general partner of the Partnership (the
“General Partner”), Martin P. Sutter, Immanuel Thangaraj, Jeff Himawan and J. Douglas Eplett (each a “Manager”, collectively, the “Managers”, and together with the Partnership, and the General
Partner, the “Reporting Persons”).
Capitalized terms used herein which are not defined have the meanings given to such
terms in the Schedule 13D. Except as otherwise provided herein, all Items in the Schedule 13D remain unchanged.
Introduction:
The current changes in the total number of outstanding shares as well as changes in the beneficial ownership of the Reporting Persons (as defined below) is the
result of customary stock issuances conducted by the Issuer, previous sales by the Partnership and the conversion of the Issuer’s outstanding debt securities on June 9, 2021, which resulted in the Partnership’s ownership percentage
dropping below the 5% ownership level. Therefore this is the Partnership’s final amendment to the Schedule 13D filing.
Item 2. Identity and
Background.
(b) The address of the principal business of each of the Reporting Persons is 21 Waterway Avenue, Suite 225, The
Woodlands, Texas 77380.
Item 5. Interest in Securities of the Partnership
TOTAL OUTSTANDING SHARES. According to the Form 10-Q filed by the Issuer with the SEC on
November 15, 2021, the number of shares of the Issuer’s Common Stock outstanding on November 12, 2021 was 65,089,043 shares.
THE PARTNERSHIP. As of the date of filing of this Schedule 13D/A, the Partnership is the beneficial owner of 2,287,377 shares of Common Stock
(the “Securities”), which represents approximately 3.5% of the Common Stock outstanding, consisting of (i) 1,956,396 shares held by the Partnership, as to which it has sole voting and investment power and (ii) 330,981 shares of
Common Stock held by Immanuel Thangaraj, one of the Managers of the General Partner, as to which he has sole voting and investment power. The Partnership and the other Reporting Persons disclaim beneficial ownership of the Securities held by Mr.
Thangaraj.
THE GENERAL PARTNER. The General Partner of the Partnership may also be deemed to have sole voting and investment power with
respect to such Securities. The General Partner disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.
THE MANAGERS. Under the operating agreement of the General Partner, the Managers have the power by unanimous consent through the General
Partner to (i) cause the Partnership to buy and sell marketable securities of portfolio companies and (ii) direct the voting of such securities. As a result, the Managers may also be deemed to have shared dispositive power and voting power
with respect to the Securities held by the Partnership. The Managers disclaim beneficial ownership of such Securities except to the extent of their respective pecuniary interests therein.