(1) This percentage is based upon 5,870,793 shares outstanding as of November 10, 2014, as set forth in the Issuer’s Form 10-Q filed with the SEC on November 12, 2014.
Item 1 | (a). | Name of Issuer: |
Wafergen Bio-systems, Inc
| (b). | Address of Issuer’s Principal Executive Offices: |
7400 Paseo Padre Parkway
Fremont, CA 94555
Item 2 | (a). | Name of Person Filing: |
This Schedule 13G is being filed by each of the following persons (each, a “Reporting Person” and together, the “Reporting Persons”):
| (i) | Merlin BioMed Private Equity Advisors, LLC |
| (ii) | Merlin Nexus III, L.P. |
See Exhibit B for the Reporting Persons’ agreement for a joint filing of a single statement on their behalf.
| (b). | Address of Principal Business Office: |
424 West 33rd Street, Suite 520
New York, NY 10001
Merlin BioMed Private Equity Advisors, LLC is a Delaware Limited Liability Company. Merlin Nexus III, L.P. is a Delaware Limited Partnership. Dominique Sémon is a citizen of Switzerland.
| (d). | Title of Class of Securities: |
Common Stock, Par Value $0.001 (the “Common Stock”).
93041P100
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: |
Not applicable.
* See Attachment A.
| (a) | Amount beneficially owned: 193,730 |
| (b) | Percent of class: 3.30% |
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: -0- |
| (ii) | Shared power to vote or to direct the vote: 193,730 |
| (iii) | Sole power to dispose or to direct the disposition of: -0- |
| (iv) | Shared power to dispose or to direct the disposition of: 193,730 |
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. x
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Various other persons have the right to receive or the power to direct the receipt of dividends from, or proceeds from sale of, the securities whose ownership is reported on this Schedule 13G. No other person’s interest in such securities relates to more than five percent of the class.
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.
By signing below I hereby 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.