UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDERTHE SECURITIES EXCHANGE ACTOF 1934
(Amendment No. )*
Vaccinogen, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
918641101
(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).
Page 1 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III, L.P. |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 134,452 |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 134,452 |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 134,452 |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 0.4% |
12. | | Type of Reporting Person (See Instructions) PN |
Page 2 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III-QP, L.P. |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 2,020,872 |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 2,020,872 |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,020,872 |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 5.4% |
12. | | Type of Reporting Person (See Instructions) PN |
Page 3 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III GmbH & Co. Beteiligungs KG |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 169,503 |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 169,503 |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 169,503 |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 0.5% |
12. | | Type of Reporting Person (See Instructions) PN |
Page 4 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III Parallel Fund, L.P. |
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 Germany |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 61,121 |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 61,121 |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 61,121 |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 0.2% |
12. | | Type of Reporting Person (See Instructions) PN |
Page 5 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM Asset Management Investors 2003 BVIII LLC |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 39,970 |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 39,970 |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 39,970 |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 0.1% |
12. | | Type of Reporting Person (See Instructions) OO |
Page 6 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III GP, L.P. |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,385,948* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,385,948* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,385,948* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.4% |
12. | | Type of Reporting Person (See Instructions) PN |
* | The shares are held as follows: 2,020,872 by MPM BioVentures III-QP, L.P. (“BV III QP”), 134,452 by MPM BioVentures III, L.P. (“BV III”), 61,121 by MPM BioVentures III Parallel Fund, L.P. (“BV Parallel”) and 169,503 by MPM BioVentures III GmbH & Co. Beteiligungs KG (“BV KG”). The Reporting Person is the direct general partner of BV III QP, BV III, BV Parallel and BV KG. |
Page 7 of 20
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III LLC |
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 Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,385,948* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,385,948* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,385,948* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.4% |
12. | | Type of Reporting Person (See Instructions) OO |
* | The shares are held as follows: 2,020,872 by BV III QP, 134,452 by BV III, 61,121 by BV Parallel and 169,503 by BV KG. The Reporting Person is the indirect general partner of BV III QP, BV III, BV Parallel and BV KG. |
Page 8 of 20
| | | | | | |
1. | | Name of Reporting Persons Luke Evnin |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by MPM Asset Management Investors 2003 BVIII LLC (“AM 2003”), 61,121 by BV Parallel and 169,503 by BV KG. MPM BioVentures III GP, L.P. (“MPM III GP”) and MPM BioVentures III LLC (“MPM III LLC”) are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 9 of 20
| | | | | | |
1. | | Name of Reporting Persons Ansbert Gadicke |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 10 of 20
| | | | | | |
1. | | Name of Reporting Persons Nicholas Galakatos |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 11 of 20
| | | | | | |
1. | | Name of Reporting Persons Kurt Wheeler |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 12 of 20
| | | | | | |
1. | | Name of Reporting Persons Nicholas Simon III |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 13 of 20
| | | | | | |
1. | | Name of Reporting Persons Dennis Henner |
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 United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,425,918* |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,425,918* |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,425,918* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |
11. | | Percent of Class Represented by Amount in Row (9) 6.5% |
12. | | Type of Reporting Person (See Instructions) IN |
* | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
Page 14 of 20
Vaccinogen, Inc.
| (b) | Address of Issuer’s Principal Executive Offices |
949 Fell Street
Baltimore, MD 21231
MPM BioVentures III, LP
MPM BioVentures III-QP, L.P.
MPM BioVentures III Parallel Fund, L.P.
MPM BioVentures III GmbH & Co. Beteiligungs KG
MPM Asset Management Investors 2003 BVIII LLC
MPM BioVentures III GP, L.P.
MPM BioVentures III LLC
Luke Evnin
Ansbert Gadicke
Nicholas Galakatos
Kurt Wheeler
Nicholas Simon III
Dennis Henner
| (b) | Address of Principal Business Office or, if none, Residence |
c/o MPM Capital LLC
450 Kendall Street
Cambridge, MA 02142
All entities were organized in Delaware except MPM BioVentures III GmbH & Co. Beteiligungs KG, which was organized in Germany. The individuals are all United States citizens.
| (d) | Title of Class of Securities |
Common Stock
918641101
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: |
Page 15 of 20
| | | | | | | | | | | | | | | | | | | | | | | | | | | | |
MPM Entity | | Shares Held Directly | | | Sole Voting Power | | | Shared Voting Power | | | Sole Dispositive Power | | | Shared Dispositive Power | | | Beneficial Ownership | | | Percentage of Class | |
BV III QP | | | 2,020,872 | | | | 2,020,872 | | | | 0 | | | | 2,020,872 | | | | 0 | | | | 2,020,872 | | | | 5.4 | % |
BV III | | | 124,452 | | | | 124,452 | | | | 0 | | | | 124,452 | | | | 0 | | | | 124,452 | | | | 0.4 | % |
AM 2003 | | | 39,970 | | | | 39,970 | | | | 0 | | | | 39,970 | | | | 0 | | | | 39,970 | | | | 0.1 | % |
BV Parallel | | | 61,121 | | | | 61,121 | | | | 0 | | | | 61,121 | | | | 0 | | | | 61,121 | | | | 0.2 | % |
BV KG | | | 169,503 | | | | 169,503 | | | | 0 | | | | 169,503 | | | | 0 | | | | 169,503 | | | | 0.5 | % |
MPM III GP(1) | | | 0 | | | | 0 | | | | 2,385,948 | | | | 0 | | | | 2,385,948 | | | | 2,385,948 | | | | 6.4 | % |
MPM III LLC(1) | | | 0 | | | | 0 | | | | 2,385,948 | | | | 0 | | | | 2,385,948 | | | | 2,385,948 | | | | 6.4 | % |
Luke Evnin(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Ansbert Gadicke(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Nicholas Galakatos(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Michael Steinmetz(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Kurt Wheeler(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Nicholas Simon III(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | 0 | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
Dennis Henner(2) | | | 0 | | | | 0 | | | | 2,425,918 | | | | | | | | 2,425,918 | | | | 2,425,918 | | | | 6.5 | % |
(1) | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and, BV KG. |
(2) | Includes the following shares: 2,020,872 by BV III QP, 134,452 by BV III, 39,970 by AM 2003, 61,121 by BV Parallel and 169,503 by BV KG. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel and BV KG. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2003. |
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 a Group |
Not Applicable
Page 16 of 20
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.
Dated: February 10, 2017
| | |
MPM BIOVENTURES III, L.P. |
| |
By: | | MPM BioVentures III GP, L.P., |
| | its General Partner |
| |
By: | | MPM BioVentures III LLC, |
| | its General Partner |
| |
By: | | /s/ Luke Evnin |
| | Name: Luke Evnin |
| | Title: Series A Member |
| | |
MPM BIOVENTURES III-QP, L.P. |
| |
By: | | MPM BioVentures III GP, L.P., |
| | its General Partner |
| |
By: | | MPM BioVentures III LLC, |
| | its General Partner |
| |
By: | | /s/ Luke Evnin |
| | Name: Luke Evnin |
| | Title: Series A Member |
| | |
MPM BIOVENTURES III PARALLEL FUND, L.P. |
| |
By: | | MPM BioVentures III GP, L.P., |
| | its General Partner |
| |
By: | | MPM BioVentures III LLC, |
| | its General Partner |
| |
By: | | /s/ Luke Evnin |
| | Name: Luke Evnin |
| | Title: Series A Member |
| | |
MPM BIOVENTURES III GMBH & CO. BETEILIGUNGS KG |
| |
By: | | MPM BioVentures III GP, L.P., |
| | in its capacity as the Managing Limited Partner |
| |
By: | | MPM BioVentures III LLC, |
| | its General Partner |
| |
By: | | /s/ Luke Evnin |
| | Name: Luke Evnin |
| | Title: Series A Member |
| | | | |
MPM ASSET MANAGEMENT INVESTORS 2003 BVIII LLC |
| | |
By: | | /s/ Luke Evnin | | |
| | Name: Luke Evnin | | |
| | Title: Manager | | |
| | |
MPM BIOVENTURES III GP, L.P. |
| |
By: | | MPM BioVentures III LLC, |
| | its General Partner |
| |
By: | | /s/ Luke Evnin |
Name: | | Luke Evnin |
Title: | | Series A Member |
| | |
MPM BIOVENTURES III LLC |
| |
By: | | /s/ Luke Evnin |
Name: | | Luke Evnin |
Title: | | Series A Member |
| | |
By: | | /s/ Luke Evnin |
| | Name: Luke Evnin |
| | |
By: | | /s/ Ansbert Gadicke |
| | Name: Ansbert Gadicke |
| | |
By: | | /s/ Nicholas Galakatos |
| | Name: Nicholas Galakatos |
| | |
By: | | /s/ Dennis Henner |
| | Name: Dennis Henner |
| | | | | | | | |
By: | | /s/ Kurt Wheeler | | By: | | | | /s/ Nicholas Simon III |
| | Name: Kurt Wheeler | | | | | | Name: Nicholas Simon III |
EXHIBITS
Page 17 of 20