-----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, LIJVvzKSzEFZVOKJNyjajHevAAMYavMWdlLybHwOpRGoADqq219N9JL8JVt7dNQa G1dXqv1m3r9fWP6yfM9cKA== 0000902664-10-000665.txt : 20100212 0000902664-10-000665.hdr.sgml : 20100212 20100212165833 ACCESSION NUMBER: 0000902664-10-000665 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Neptune Technologies & Bioressources Inc. CENTRAL INDEX KEY: 0001401395 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: A8 FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83129 FILM NUMBER: 10600594 BUSINESS ADDRESS: STREET 1: 225 PROMENADE DU CENTROPOLIS STREET 2: SUITE 200 CITY: LAVAL STATE: A8 ZIP: H7T 0B3 BUSINESS PHONE: (450) 687-2262 MAIL ADDRESS: STREET 1: 225 PROMENADE DU CENTROPOLIS STREET 2: SUITE 200 CITY: LAVAL STATE: A8 ZIP: H7T 0B3 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Northern Rivers Capital Management Inc. CENTRAL INDEX KEY: 0001412854 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ROYAL BANK PLAZA, NORTH TOWER SUITE 2000 STREET 2: P.O. BOX 66, 200 BAY STREET CITY: TORONTO STATE: A6 ZIP: M5J2J2 BUSINESS PHONE: 416-597-1226 MAIL ADDRESS: STREET 1: ROYAL BANK PLAZA, NORTH TOWER SUITE 2000 STREET 2: P.O. BOX 66, 200 BAY STREET CITY: TORONTO STATE: A6 ZIP: M5J2J2 SC 13G/A 1 p10-0429sc13ga.txt NEPTUNE TECHNOLOGIES & BIORESSOURCES INC. UNITED STATES SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Neptune Technologies & Bioressources Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 64077P108 (CUSIP Number) December 31, 2009 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed: [ ] Rule 13d-1(b) [X] 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 purposes 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). CUSIP No. 64077P108 13G Page 2 of 10 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Northern Rivers Capital Management Inc. - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Canada - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 6,472,665 OWNED BY ---------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 6,472,665 - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,472,665 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 17.2% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** CO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 64077P108 13G Page 3 of 10 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Northern Rivers Innovation Fund LP - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 5,935,200 OWNED BY ---------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 5,935,200 - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,935,200 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.8% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** PN - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 64077P108 13G Page 4 of 10 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Northern Rivers Innovation RSP Fund - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 237,665 OWNED BY ---------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 237,665 - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 237,665 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.6% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 64077P108 13G Page 5 of 10 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Northern Rivers Conservative Growth Fund LP - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 183,800 OWNED BY ---------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 183,800 - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 183,800 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.5% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** PN - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 64077P108 13G Page 6 of 10 Pages - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Northern Rivers Conservative Growth Fund - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Ontario, Canada - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 116,000 OWNED BY ---------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 116,000 - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 116,000 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** OO - ------------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 64077P108 13G Page 7 of 10 Pages Item 1. (a) Name of Issuer Neptune Technologies & Bioressources Inc.(the "Company"). (b) Address of Issuer's Principal Executive Offices 225 Promenade du Centropolis Suite 200 Laval, Quebec Canada H7T 0B3 Item 2(a). Name of Person Filing Northern Rivers Capital Management Inc., ("NRCMI") with respect to the shares of Common Shares directly owned by NRIF, NRIRF, NRCGF and NRCGMF. Northern Rivers Innovation Fund LP, ("NRIF") with respect to the shares of Common Shares directly owned by it. Northern Rivers Innovation RSP Fund ("NRIRF") with respect to the shares of Common Shares directly owned by it. Northern Rivers Conservative Growth Fund LP ("NRCGF") with respect to the shares of Common Shares directly owned by it. Northern Rivers Conservative Growth Fund ("NRCGMF") with respect to the shares of Common Shares directly owned by it. NRCMI, NRIF, NRIRF, NRCGF and NRCGMF are sometimes hereinafter referred to collectively as the "Reporting Persons". Item 2(b). Address of Principal Business Office The address of the business office of each of NRCMI, NRIF, NRIRF, NRCGF and NRCGMF is Royal Bank Plaza, North Tower, Suite 2000, P.O. Box 66, 200 Bay Street, Toronto, Ontario M5J2J2. Item 2(c). Citizenship NRCMI is a corporation organized under the laws of Canada. NRIF, NRCGF and NRCGMF are limited partnerships organized under the laws of Ontario, Canada. NRIRF is a RSP trust organized under the laws of Ontario, Canada. Item 2(d) Title of Class of Securities Common Shares ("Common Shares") CUSIP No. 64077P108 13G Page 8 of 10 Pages Item 2(e) CUSIP Number 64077P108 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Collectively, as of December 31, 2009, the Reporting Persons may be deemed the beneficial owners of a total of 6,472,665 Common Shares. NRCMI is engaged to provide investment advisory services to the Northern Rivers funds, to act as principal distributor of the units of the funds and has voting and dispositive power over the securities held by NRIF, NRIRF, NRCGF, and NRCGMF. In addition the Reporting Persons may be deemed beneficial owners of Common Shares held personally by two fund managers, Hugh Cleland (83,500 shares) and Alexander Ruus (230,600 shares). Each of the Reporting Persons expressly disclaims beneficial ownership of Common Shares held personally by Messrs Cleland and Ruus. (b) Percent of class: CUSIP No. 64077P108 13G Page 9 of 10 Pages Approximately 17.2% as of December 31, 2009. (Based on the Company's Form 20-F/A filed November 23, 2009, there were 37,683,421 shares of Common Shares issued and outstanding as of February 28, 2009.) (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 6,472,665 shares of Common Shares. (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 6,472,665 shares of Common Shares. Item 5. Ownership of Five Percent or Less of a Class Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. 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 Please See Item 2 Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below each of the undersigned certifies that, to the best of its 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. CUSIP No. 64077P108 13G Page 10 of 10 Pages SIGNATURES After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct. Dated: February 12, 2010 NORTHERN RIVERS CAPITAL MANAGEMENT INC. By: /s/ Scott Laskey ------------------------- Name: Scott Laskey Title: Chief Financial Officer NORTHERN RIVERS INNOVATION FUND LP By: Northern Rivers Capital Management Inc. By: /s/ Scott Laskey ------------------------- Name: Scott Laskey Title: Chief Financial Officer NORTHERN RIVERS INNOVATION RSP FUND By: Northern Rivers Capital Management Inc. By: /s/ Scott Laskey ------------------------- Name: Scott Laskey Title: Chief Financial Officer NORTHERN RIVERS CONSERVATIVE GROWTH FUND LP By: Northern Rivers Capital Management Inc. By: /s/ Scott Laskey ------------------------- Name: Scott Laskey Title: Chief Financial Officer NORTHERN RIVERS CONSERVATIVE GROWTH FUND By: Northern Rivers Capital Management Inc. By: /s/ Scott Laskey ------------------------- Name: Scott Laskey Title: Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----