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SC 13D Filing
Edesa Biotech (EDSA) SC 13DEdesa Biotech, Inc.
Filed: 19 Aug 19, 5:05pm
CUSIP No. 27966L108 | Page 2 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira Capital II, L.P. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,704,344 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,704,344 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,704,344 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 22.7% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) PN |
CUSIP No. 27966L108 | Page 3 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira Capital II (International), L.P. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 157,599 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 157,599 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 157,599 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 2.1% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) PN |
CUSIP No. 27966L108 | Page 4 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira Capital GP, L.P. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) PN |
CUSIP No. 27966L108 | Page 5 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira GP Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) CO |
CUSIP No. 27966L108 | Page 6 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira GP Holdings Co. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Nova Scotia, Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) CO |
CUSIP No. 27966L108 | Page 7 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Lumira Capital Investment Management Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canada | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) CO |
CUSIP No. 27966L108 | Page 8 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Peter van der Velden | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canadian | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) IN |
CUSIP No. 27966L108 | Page 9 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Benjamin Rovinski | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canadian | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) IN |
CUSIP No. 27966L108 | Page 10 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Daniel Hetu | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canadian | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) IN |
CUSIP No. 27966L108 | Page 11 of 18 Pages | ||||
1 | NAME OF REPORTING PERSON Gerald Brunk | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||
3 | SEC USE ONLY | ||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||
8 | SHARED VOTING POWER 1,861,943 | ||||
9 | SOLE DISPOSITIVE POWER 0 | ||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||
14 | TYPE OF REPORTING PERSON (see instructions) IN |
CUSIP No. 27966L108 | Page 12 of 18 Pages | ||||||||
1 | NAME OF REPORTING PERSON Vasco Larcina | ||||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)(a) ☐ (b) ☐ | ||||||||
3 | SEC USE ONLY | ||||||||
4 | SOURCE OF FUNDS (see instructions) OO | ||||||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED ☐ PURSUANT TO ITEMS 2(d) or 2(e) | ||||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Canadian | ||||||||
NUMBER OFSHARESBENEFICIALLYOWNED BYEACHREPORTINGPERSON WITH | 7 | SOLE VOTING POWER 0 | |||||||
8 | SHARED VOTING POWER 1,861,943 | ||||||||
9 | SOLE DISPOSITIVE POWER 0 | ||||||||
10 | SHARED DISPOSITIVE POWER 1,861,943 | ||||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,861,943 | ||||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) ☐CERTAIN SHARES (see Instructions) | ||||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 24.8% (1) | ||||||||
14 | TYPE OF REPORTING PERSON (see instructions) IN |
Lumira Capital II, L.P. | 1,704,344 shares | |
Lumira Capital II (International), L.P. | 157,599 shares | |
Lumira Capital GP, L.P. | 1,861,943 shares | |
Lumira GP Inc. | 1,861,943 shares | |
Lumira GP Holdings Co. | 1,861,943 shares | |
Lumira Capital Investment Management Inc. | 1,861,943 shares | |
Peter van der Velden | 1,861,943 shares | |
Benjamin Rovinski | 1,861,943 shares | |
Daniel Hetu | 1,861,943 shares | |
Gerald Brunk | 1,861,943 shares | |
Vasco Larcina | 1,861,943 shares | |
Lumira Capital II, L.P. | 22.7% | |
Lumira Capital II (International), L.P. | 2.1% | |
Lumira Capital GP, L.P. | 24.8% | |
Lumira GP Inc. | 24.8% | |
Lumira GP Holdings Co. | 24.8% | |
Lumira Capital Investment Management Inc. | 24.8% | |
Peter van der Velden | 24.8% | |
Benjamin Rovinski | 24.8% | |
Daniel Hetu | 24.8% | |
Gerald Brunk | 24.8% | |
Vasco Larcina | 24.8% | |
Lumira Capital II, L.P. | 0 shares | |
Lumira Capital II (International), L.P. | 0 shares | |
Lumira Capital GP, L.P. | 0 shares | |
Lumira GP Inc. | 0 shares | |
Lumira GP Holdings Co. | 0 shares | |
Lumira Capital Investment Management Inc. | 0 shares | |
Peter van der Velden | 0 shares | |
Benjamin Rovinski | 0 shares | |
Daniel Hetu | 0 shares | |
Gerald Brunk | 0 shares | |
Vasco Larcina | 0 shares | |
Lumira Capital II, L.P. | 1,704,344 shares | |
Lumira Capital II (International), L.P. | 157,599 shares | |
Lumira Capital GP, L.P. | 1,861,943 shares | |
Lumira GP Inc. | 1,861,943 shares | |
Lumira GP Holdings Co. | 1,861,943 shares | |
Lumira Capital Investment Management Inc. | 1,861,943 shares | |
Peter van der Velden | 1,861,943 shares | |
Benjamin Rovinski | 1,861,943 shares | |
Daniel Hetu | 1,861,943 shares | |
Gerald Brunk | 1,861,943 shares | |
Vasco Larcina | 1,861,943 shares | |
Lumira Capital II, L.P. | 0 shares | |
Lumira Capital II (International), L.P. | 0 shares | |
Lumira Capital GP, L.P. | 0 shares | |
Lumira GP Inc. | 0 shares | |
Lumira GP Holdings Co. | 0 shares | |
Lumira Capital Investment Management Inc. | 0 shares | |
Peter van der Velden | 0 shares | |
Benjamin Rovinski | 0 shares | |
Daniel Hetu | 0 shares | |
Gerald Brunk | 0 shares | |
Vasco Larcina | 0 shares | |
Lumira Capital II, L.P. | 1,704,344 shares | |
Lumira Capital II (International), L.P. | 157,599 shares | |
Lumira Capital GP, L.P. | 1,861,943 shares | |
Lumira GP Inc. | 1,861,943 shares | |
Lumira GP Holdings Co. | 1,861,943 shares | |
Lumira Capital Investment Management Inc. | 1,861,943 shares | |
Peter van der Velden | 1,861,943 shares | |
Benjamin Rovinski | 1,861,943 shares | |
Daniel Hetu | 1,861,943 shares | |
Gerald Brunk | 1,861,943 shares | |
Vasco Larcina | 1,861,943 shares | |
LUMIRA CAPITAL II, L.P. BY: LUMIRA CAPITAL GP, L.P., | |||||||
ITS GENERAL PARTNER | |||||||
BY: LUMIRA GP INC. | |||||||
ITS GENERAL PARTNER | |||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | |||||
Name: | Vasco Larcina | ||||||
Title: | VP Finance | ||||||
LUMIRA CAPITAL II (INTERNATIONAL), L.P. | |||||||
BY: LUMIRA CAPITAL GP, L.P., | |||||||
ITS GENERAL PARTNER | |||||||
BY: LUMIRA GP INC. | |||||||
ITS GENERAL PARTNER | |||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | |||||
Name: | Vasco Larcina | ||||||
Title: | VP Finance | ||||||
LUMIRA CAPITAL GP, L.P. | |||||||
BY: LUMIRA GP INC., | |||||||
ITS GENERAL PARTNER | |||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | |||||
Name: | Vasco Larcina | ||||||
Title: | VP Finance | ||||||
LUMIRA GP INC. | |||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | |||||
Name: | Vasco Larcina | ||||||
Title: | VP Finance |
LUMIRA GP HOLDINGS CO. | ||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | ||||
Name: | Vasco Larcina | |||||
Title: | VP Finance | |||||
LUMIRA CAPITAL INVESTMENT MANAGEMENT INC. | ||||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina | ||||
Name: | Vasco Larcina | |||||
Title: | VP Finance | |||||
Date: August 19, 2019 | By: | /s/ Peter van der Velden | ||||
Date: August 19, 2019 | By: | /s/ Benjamin Rovinski | ||||
Date: August 19, 2019 | By: | /s/ Daniel Hetu | ||||
Date: August 19, 2019 | By: | /s/ Gerald Brunk | ||||
Date: August 19, 2019 | By: | /s/ Vasco Larcina |