Statement of Ownership (sc 13g)
28 Noviembre 2016 - 11:09AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
WaferGen Bio-systems Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
93041P308
(CUSIP Number)
Opaleye Management Inc., One Boston Place, Suite 2600 Boston, MA 02108,
617-229-5085
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 17, 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)
|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
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. 93041P308 13G Page 2 of 6 Pages
--------------------------------------------------------------------------------
1. Names of Reporting Persons.
Opaleye Management Inc.
I.R.S. Identification Nos. of above persons (entities only)
20-5648796
--------------------------------------------------------------------------------
2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
4. Citizenship or Place of Organization
Opaleye Management Inc.
--------------------------------------------------------------------------------
5. SOLE VOTING POWER
0 shares
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 970,000 shares
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 0 shares
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
970,000 shares
--------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
Opaleye Management Inc. -- 970,000 shares
--------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
--------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
Opalaye Management Inc. -- 5.12%
--------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
Opaleye Management Inc. -- 00 (Limited Liability Company)
--------------------------------------------------------------------------------
|
--------------------------------------------------------------------------------
CUSIP No. 93041P308 13G Page 3 of 6 Pages
--------------------------------------------------------------------------------
1. Names of Reporting Persons.
James Silverman
I.R.S. Identification Nos. of above persons (entities only)
N/A
--------------------------------------------------------------------------------
2. Check the Appropriate Box If a Member of a Group
(See Instructions)
(a) |_|
(b) |_|
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
4. Citizenship or Place of Organization
James Silverman -- United States
--------------------------------------------------------------------------------
5. SOLE VOTING POWER
0 shares
-------------------------------------------------------------
6. SHARED VOTING POWER
NUMBER OF
SHARES 995,000 shares
BENEFICIALLY -------------------------------------------------------------
OWNED BY EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 0 shares
-------------------------------------------------------------
8. SHARED DISPOSITIVE POWER
995,000 shares
--------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
James Silverman -- 995,000 shares
--------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) |_|
--------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
James Silverman -- 5.26%
--------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
James Silverman -- IN
--------------------------------------------------------------------------------
|
--------------------------------------------------------------------------------
CUSIP No. 93041P308 13G Page 4 of 6 Pages
Item 1.
(a) Name of Issuer:
WaferGen Bio-systems, Inc.
(b) Address of Issuer's Principal Executive Offices:
34700 Campus Drive
Fremont, CA 94555
Item 2.
(a) Name of Person Filing:
Opaleye Management Inc.
James Silverman
(b) Address of the Principal Office or, if none, residence:
Opaleye Management Inc.
James Silverman
One Boston Place
Suite 2600
Boston, MA 02108
(c) Citizenship:
Opaleye Management Inc. -- Massachusetts
James Silverman -- United States
(d) Title of Class of Securities:
Common Stock, $0.001 par value
(e) CUSIP Number: 93041P308
Item 3. If this statement is filed pursuant to SS.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 S.240.13d-1(b)(1)(ii)(E);
(f) |_| An employee benefit plan or endowment fund in accordance with
S.240.13d-1(b)(1)(ii)(F);
(g) |_| A parent holding company or control person in accordance with
S. 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) |_| Group, in accordance with S.240.13d-1(b)(1)(ii)(J).
|
CUSIP No. 93041P308 13G Page 5 of 6 Pages
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: Opaleye Management Inc. -- 970,000 shares
James Silverman -- 995,000 shares
(b) Percent of class: Opaleye Management Inc. -- 5.12%
James Silverman -- 5.26%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
Opaleye Management Inc. -- 0 shares
James Silverman -- 0 shares
(ii) Shared power to vote or to direct the vote:
Opaleye Management Inc. -- 970,000 shares
James Silverman -- 995,000 shares
(iii) Sole power to dispose or to direct the disposition
of:
Opaleye Management Inc. -- 0 shares
James Silverman -- 0 shares
(iiii) Shared power to dispose or to direct the disposition
of:
Opaleye Management Inc. -- 970,000 shares
James Silverman -- 995,000 shares
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.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company or Control Person.
Item 8. Identification and Classification of Members of the Group
Item 9. Notice of Dissolution of Group
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.
OPALEYE MANAGEMENT INC.
By: /s/ James Silverman
James Silverman, President
JAMES SILVERMAN
By: /s/ James Silverman
James Silverman, individually
|
CUSIP No. 93041P308 13G Page 6 of 6 Pages
JOINT FILING AGREEMENT
This Joint Filing Agreement, dated November 28, 2016, is entered into by and
between Opaleye Management Inc., a Massachusetts corporation, and James
Silverman, an individual (collectively referred to herein as (the "Filers")
Each of the Filers may be required to file with the U.S. Securities and
Exchange Commission a statement on Schedule 13G with respect to common stock,
$0.001 par value, of WaferGen Bio-systems Inc. beneficially owned by them from
time to time.Pursuant to and in accordance with Rule 13(d)(1)(k) promulgated
under the Securities Exchange Act of 1934, as amended, the Filers hereby agree
to file a single statement on Schedule 13G and/or 13D (and any amendments
thereto) on behalf of each of such parties, and hereby further agree to file
this Joint Filing Agreement as an exhibit to such statement, as required by
such rule. This Joint Filing Agreement may be terminated by any of the Filers
upon one week's prior written notice or such lesser period of notice as the
Filers may mutually agree.
Executed and delivered as of the date first above written.
OPALEYE MANAGEMENT INC.
By: /s/ James Silverman
James Silverman
President
JAMES SILVERMAN
By: /s/ James Silverman
James Silverman, individually
|
WaferGen Bio-Systems, Inc. (NASDAQ:WGBS)
Gráfica de Acción Histórica
De Oct 2024 a Nov 2024
WaferGen Bio-Systems, Inc. (NASDAQ:WGBS)
Gráfica de Acción Histórica
De Nov 2023 a Nov 2024
Real-Time news about Wafergen Bio-Systems, Inc. (NASDAQ): 0 recent articles
Más de Wafergen Bio-systems, Inc. Artículos de Noticias