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Ownership Summary Table
|Name||Sole Voting Power||Shared Voting Power||Sole Dispositive Power||Shared Dispositive Power||Aggregate Amount Owned Power||Percent of Class|
|Novo A S||1,280,185||0||1,280,185||011||1,280,185||15.9%|
Page 1 of 4 – SEC Filing
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
40434H 10 4
Hellerup, Denmark DK-2900
+45 3527 6592
B. Shayne Kennedy, Esq.
Latham & Watkins LLP
650 Town Center Drive, 20th Floor
Costa Mesa, CA 92626
Telephone: (714) 540-1235
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
March 23, 2017
(Date of Event which Requires Filing of this Statement)
If the filing
person has previously filed a statement on Schedule 13G to report the acquisition which is subject of this Schedule 13D, and is filing this statement because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b)
for other parties to whom copies are to be sent.
|*||The remainder of this cover page shall be filled out for a reporting persons 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 (the 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 2 of 4 – SEC Filing
|CUSIP No.: 40434H 10 4|
Check the Appropriate Box if a Member
(a) ☐ (b) ☒
SEC Use Only:
Source of Funds:
Check if Disclosure of Legal
Citizenship or Place of
Sole Voting Power:
Shared Voting Power:
Sole Dispositive Power:
Shared Dispositive Power:
Aggregate Amount Beneficially Owned by Each Reporting Person:
Check if the Aggregate Amount in Row
Percent of Class Represented By Amount
Type of Reporting Person:
|(1)||Based upon 8,052,451 shares of the Issuers Common Stock outstanding on March 17, 2017 as reported in the Issuers Annual Report on Form 10-K filed with the Securities and Exchange Commission (the |
Commission) on March 23, 2017.
Page 3 of 4 – SEC Filing
This amendment (Amendment No. 2) amends the Schedule 13D originally filed with the
Commission on May 13, 2015, as subsequently amended by Amendment No. 1 filed with the Commission on March 10, 2017 (the Schedule), to report a decrease in the beneficial ownership percentage of the Reporting Person
resulting from an increase in the Issuers Common Stock outstanding. All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule.
|Item 5.||Interest in Securities of the Issuer|
Item 5(a) of the Schedule is amended and replaced in its
entirety as follows:
(a) Novo A/S beneficially owns 1,280,185 shares (the Novo Shares) of Common Stock representing
approximately 15.9% of the Issuers outstanding Common Stock, based upon 8,052,451 shares of the Issuers Common Stock outstanding on March 17, 2017 as reported in the Issuers Annual Report on Form 10-K filed with the Commission
on March 23, 2017.
Page 4 of 4 – SEC Filing
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: March 31, 2017||Novo A/S|
|/s/ Peter Haahr|
|Its:||Chief Financial Officer|
Signature Page to Schedule 13D
Reporting Person: Novo A/S Issuer: HTG Molecular Diagnostics, Inc.