-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HGzmyeKjICFa38+bC6v/1lkpWuqs5Q4fd9+kBOE0trbj9nnvnmpDDB2uIikAXl2y zZ4ecSxSIW6ovFoNm5Qfhw== 0000898286-04-000041.txt : 20040805 0000898286-04-000041.hdr.sgml : 20040805 20040805085844 ACCESSION NUMBER: 0000898286-04-000041 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040805 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NUVASIVE INC CENTRAL INDEX KEY: 0001142596 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330768598 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79899 FILM NUMBER: 04953242 BUSINESS ADDRESS: STREET 1: 10065 OLD GROVE RD CITY: SAN DIEGO STATE: CA ZIP: 92131 BUSINESS PHONE: 8582717070 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAISSE DE DEPOT ET PLACEMENT DU QUEBEC CENTRAL INDEX KEY: 0000898286 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1981 AVE MCGILL COLLEGE STREET 2: MONTREAL QUEBEC CITY: CANADA STATE: E6 ZIP: H3A3C7 BUSINESS PHONE: 5148472130 SC 13D/A 1 nuvasivesc13da.htm AMENDMENT NO 2

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D/A
(Rule 13d-101)

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No.1 )

NuVasive, Inc.
(Name of Issuer)

Common Stock, par value $0.001 per share
(Title of Class of Securities)

670704105
(CUSIP Number)

Ginette Depelteau
Caisse de dépôt et placement du Québec

Centre CDP Capital

1000, place Jean-Paul-Riopelle

Montréal (Québec), H2Z 2B3

Canada
Tel.: (514) 847-5901
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

July 15, 2004
(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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 240.13d-1(e), 240.13d-1(f) or 240.13d-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 240.13d-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 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).

 

 

  1. Name Of Reporting Persons
    I.R.S. Identification nos. of above persons (entities only)
    Caisse de dépôt et placement du Québec
    -------------------------------------------------------------------------------------------------------------
  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)
    WC
    -------------------------------------------------------------------------------------------------------------
  5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ]
    - -------------------------------------------------------------------------------------------------------------
  6. Citizenship or Place of Organization
    Montreal (Quebec) Canada
    -------------------------------------------------------------------------------------------------------------
  7. Sole Voting Power
    2,024,941 Common Shares
    -------------------------------------------------------------------------------------------------------------
  8. Shares Voting Power 0
    - -------------------------------------------------------------------------------------------------------------
  9. Sole Dispositive Power
    2,024,941 Common Shares
    -------------------------------------------------------------------------------------------------------------
  10. Shares Dispositive Power 0
    - -------------------------------------------------------------------------------------------------------------
  11. Aggregate Amount Beneficially Owned by Each Reporting Person
    2,024,941 Common Shares
    -------------------------------------------------------------------------------------------------------------
  12. Check if the Aggregate Amount In Row (11) Excludes Certain Shares
    (See Instructions) [ ]
    - -------------------------------------------------------------------------------------------------------------
  13. Percent of Class Represented by Amount in Row (11)
    8.68%
    -------------------------------------------------------------------------------------------------------------
  14. Type of Reporting Person (See Instructions)
    CO
    -------------------------------------------------------------------------------------------------------------

 

 

Item 1. Security and Issuer

This Statement on Schedule 13D/A relates to the Common Stock, par value $0.001 per share (the "Shares") of Nuvasive Inc., a Delaware corporation ("the Company"). The principal executive offices of the Company are located at 10065 Old Grove Road, San Diego, California.

 

Item 2. Identity and Background.

(a) - (f). This statement is filed by Caisse de dépôt et placement du Québec, a legal person without share capital and a mandatary of the Province de Québec ("Caisse").

The principal business of Caisse is to receive on deposit and manage funds deposited by agencies and instrumentalities of the Province de Québec. The principal place of business of Caisse is Centre CDP Capital, 1000 place Jean-Paul-Riopelle, Montréal, Québec H2Z 2B3, Canada.

The names of the directors and executive officers of Caisse, their business addresses, their present principal occupation or employment, and the name, principal business and address of any corporation or other organization in which such employment is conducted other than Caisse are set forth in Exhibit 1, attached hereto and expressly incorporated herein by this reference.

During the past five years, neither Caisse nor any of the persons listed in Exhibit 1 has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

Item 3. Source and Amount of Funds or Other Consideration.

The securities described in this Schedule were acquired by Caisse with funds received from public and private pension funds entrusted to Caisse for investment purposes.

Item 4. Purpose of Transaction.

Item 4 is amended as follow:

On May 13, 2004, the Company announced the pricing of its initial public offering of 6,500,000 shares of common stock at the price of $11, 00 per share. (the "Public Offering")

A registrations statement relating to these securities was declared effective by the Securities Exchange Commission on May 12, 2004.

Before the Public Offering, Caisse had acquired the following securities:

  • 12 500 common shares

Immediately following the closing of the Public Offering of the company's Shares, each outstanding shares of common stock held by Caisse prior to the Public Offering was automatically converted into the company's Common Stock using a ratio of 2.5 : 1 so that the 12,500 common shares of Caisse became 5000 Shares.

  • 2,766,799 shares of Series D Preferred Stock of the Company convertible into 0.4 share of Common Stock.
  • 1,627,738 shares of Series D Preferred Stock of the Company convertible into 0.4 share of Common Stock.

Immediately following the closing of the Public Offering of the company's Shares, all outstanding shares of Preferred Stock were automatically converted into shares of the company's Common Stock representing respectively 1,106,720 Shares and 651,095 Shares.

Caisse also held:

  • 529,645 warrant which was immediately exercised for 199,821 Shares of Common stock upon the closing of the Public Offering of the company's Shares
  • 43,695 warrant which was immediately exercised for 16,485 Shares of Common stock upon the closing of the Public Offering of the company's Shares
  • 121,450 warrant which was immediately exercised for 45,820 Shares of Common stock upon the closing of the Public Offering of the company's Shares

 

Item 5. Interest in Securities of the Issuer.

Item 5 is amended as follow:

  1. As a result of the transactions described above, as of the date of the filing of this Schedule 13D, Caisse owns 2,024,941 Shares representing 8,68 % of the Shares outstanding pursuant to most recently available filing with the Commission.

    2. The beneficial ownership of Caisse by the individuals named in item 2 is set forth to the best of Caisse's knowledge in Exhibit E attached, when applicable.

  2. Caisse has the power to vote and to dispose of the Shares it owns.
  3. Not applicable
  4. Except as set forth in this Schedule 13D, no person is known by Caisse to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock of the Company beneficially owned by Caisse.
  5. Not applicable.

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Caisse and, to the best of its knowledge, the individuals named in Item 2, have no contracts, arrangements, understandings or relationships with respect to any securities of the Company.

Item 7. Material to be Filed as Exhibits.

Exhibit 1: List of Executive Officers and Directors of Caisse

 

Signature

After reasonable inquiry and to the best of its knowledge and belief, the undersigned each certifies that the information set forth in this statement is true, complete and correct.

Dated July 30, 2004

 

CAISSE DE DEPOT ET PLACEMENT DU QUEBEC,

By: /s/

Name: Ginette Depelteau

Title: Vice-president and Corporate Secretary

 

 

 

EXHIBIT 1

LIST OF EXECUTIVE OFFICERS AND DIRECTORS
OF Caisse de dépôt et placement du Québec

DIRECTORS

BUSINESS ADDRESS

PRINCIPAL
OCCUPATION

Henri-Paul Rousseau

Caisse de dépôt et placement du Québec
1000, place Jean-Paul-Riopelle
Montréal (Québec) H2Z 2B3

Chairman and Chief
Executive Officer

Guy Morneau

Régie des rentes du Québec
2600, boul. Laurier, bureau 546
Québec (Québec) G1V 4T3

Chairman of the Board and President

Jean-Claude Bachand

Fraser Milner Casgrain
1, Place Ville-Marie
Bureau 3900
Montréal (Québec) H3B 4M7

Lawyer

Bernard Bonin

745, Hot Springs Way
Ottawa (Ontario) K1V 1W8

  

Claudette Carbonneau

Confédération des syndicats nationaux
1601, Delorimier
Montréal (Québec) H2K 4M5

President

Steven Cummings

Placements Waxwell Cummings & Fils Ltée
4115, Sherbrooke West, Suite 600
Westmount (Québec) H3Z 1B1

President

Alban D'Amours

Mouvement des caisses Desjardins
100, avenue des Commandeurs
Lévis (Québec) G6V 7N5

President

Sylvie Dillard

Fonds québécois de la recherche sur la nature et les technologies
140, Grande-Allée Est, Bureau 450
Québec (Québec) G1R 5M8

Member and President of the board and Chief Executive Officer

Yves Filion

Hydro-Québec Distribution
75, boul. René-Lévesque Ouest
Montréal (Québec) H2Z 1A4

President

Gilles Godbout

Ministère des Finances
12, rue St-Louis
Québec (Québec) G1R 5L3

Deputy Minister, Finance, Economy and Research

Henri Massé

Fédération des travailleurs et travailleuses du Québec
545, boul. Crémazie Est
Montréal, (Québec) H2M 2V1

President

Nicole Trudeau

Commission municipale du Québec
500, René-Lévesque Blvd. West
Suite 24.200
Montréal (Québec) H2Z 1W7

Vice-President

Duc Vu

Commission administrative des régimes de retraite et d'assurances
475, St-Amable
Québec (Québec) G1R 5X3

President

John T. Wall

6601, Radnor Road
Bethesda, Maryland
20817 USA

  

 

OFFICERS

BUSINESS ADDRESS

PRINCIPAL
OCCUPATION

Henri-Paul Rousseau

Caisse de dépôt et placement du Québec
1000, place Jean-Paul-Riopelle
Montréal (Québec) H2Z 2B3

Chairman and Chief
Executive Officer

François Grenier

Same

Executive Vice-President,
Equity Markets

Denis Senécal

Same

Executive Vice-President,
Fixed Income

Christian Pestre

Same

Executive Vice-President,
Absolute Return

Normand Provost

Same

Executive Vice-President,
Private Equity and
President, Capital d'Amérique
CDPQ inc.

Fernand Perreault

Same

President, CDP Capital -
Real Estate Group and
Executive Vice-President, CDP Capital

Richard Guay

Same

Executive Vice-President,
Risk Management and
Depositors' Accounts
Management, CDP Capital

Ghislain Parent

Same

Executive Vice-President,
Finance, Treasury and Strategic Initiatives

Robert Desnoyers

Same

Executive Vice-President,
Human Resources and
Organisational Development

VP Pham

Same

Executive Vice-President,
Information Technology and
Investments Administration

Suzanne Masson

Same

Executive Vice-President,
Institutional Affairs

Ginette Depelteau

Same

Vice-President and Corporate Secretary

 

 

 

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