0001193125-13-455002.txt : 20131126 0001193125-13-455002.hdr.sgml : 20131126 20131126161633 ACCESSION NUMBER: 0001193125-13-455002 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20131126 DATE AS OF CHANGE: 20131126 GROUP MEMBERS: ALFA-TECH, L.L.C. GROUP MEMBERS: ANDA PARTNERSHIP GROUP MEMBERS: ANDA-PROQUEST, L.L.C. GROUP MEMBERS: ANN & BOB TRUST 1 GROUP MEMBERS: ANN & ROBERT H. LURIE FOUNDATION GROUP MEMBERS: ANN LURIE GROUP MEMBERS: AOQ TRUST GROUP MEMBERS: LFT PARTNERSHIP GROUP MEMBERS: LURIE INVESTMENTS, INC. GROUP MEMBERS: LURIE LENDING COMPANY, L.L.C. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NANOSPHERE INC CENTRAL INDEX KEY: 0001105184 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83365 FILM NUMBER: 131244380 BUSINESS ADDRESS: STREET 1: 4088 COMMERCIAL AVE CITY: NORTHBROOK STATE: IL ZIP: 60062 BUSINESS PHONE: 847-400-9000 MAIL ADDRESS: STREET 1: 4088 COMMERCIAL AVE CITY: NORTHBROOK STATE: IL ZIP: 60062 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Lurie Investment Fund, L.L.C. CENTRAL INDEX KEY: 0001416926 IRS NUMBER: 364431760 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 440 W. ONTARIO STREET CITY: CHICAGO STATE: IL ZIP: 60610 BUSINESS PHONE: 3124664099 MAIL ADDRESS: STREET 1: 440 W. ONTARIO STREET CITY: CHICAGO STATE: IL ZIP: 60610 SC 13D/A 1 d633545dsc13da.htm SCHEDULE 13D AMENDMENT NO. 10 Schedule 13D Amendment No. 10

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Schedule 13D

Under the Securities Exchange Act of 1934

(Amendment No. 10)*

 

 

Nanosphere, Inc.

(Name of Issuer)

Common Stock, $0.01 par value per share

(Title of Class of Securities)

63009F105

(CUSIP Number)

Theodore J. Theophilos

Chief Administrative Officer

Lurie Investments, Inc.

440 West Ontario Street

Chicago, Illinois 60654

(312) 466-3222

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

November 19, 2013

(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 §§ 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 §240.13d-7 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 net 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).

 

 

 


CUSIP NO. 63009F105   13D   Page 2 of 19

 

  1.   

Names of Reporting Persons

 

Lurie Investment Fund, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

5,006,136

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

5,006,136

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,006,136

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

6.6%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 3 of 19

 

  1.   

Names of Reporting Persons

 

Alfa-Tech, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨

(b)  x

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

0

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

0%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 4 of 19

 

  1.   

Names of Reporting Persons

 

ANDA-ProQuest, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

2,274,096

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

2,274,096

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,274,096

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

3.0%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 5 of 19

 

  1.   

Names of Reporting Persons

 

AOQ Trust

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Florida

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

2,708,979

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

2,708,979

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,708,979

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

3.6%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 6 of 19

 

  1.   

Names of Reporting Persons

 

LFT Partnership

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

1,635,904

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

1,635,904

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,635,904

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

2.2%*

14.  

Type of Reporting Person (See Instructions)

 

PN

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 7 of 19

 

  1.   

Names of Reporting Persons

 

Ann and Robert H. Lurie Foundation

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

112,891

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

112,891

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

112,891

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

0.1%*

14.  

Type of Reporting Person (See Instructions)

 

CO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 8 of 19

 

  1.   

Names of Reporting Persons

 

Lurie Investments, Inc.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

5,080,460

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

5,080,460

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,080,460

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

6.7%*

14.  

Type of Reporting Person (See Instructions)

 

CO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 9 of 19

 

  1.   

Names of Reporting Persons

 

Ann and Bob Trust 1

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨

(b)  x

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Florida

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

0

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

0%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 10 of 19

 

  1.   

Names of Reporting Persons

 

ANDA Partnership

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Illinois

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

5,176,503

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

5,176,503

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,176,503

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

6.8%*

14.  

Type of Reporting Person (See Instructions)

 

PN

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 11 of 19

 

  1.   

Names of Reporting Persons

 

Lurie Lending Company, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

0

     8.   

Shared Voting Power

 

2,902,407

     9.   

Sole Dispositive Power

 

0

   10.   

Shared Dispositive Power

 

2,902,407

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,902,407

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

3.8%*

14.  

Type of Reporting Person (See Instructions)

 

OO

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 12 of 19

 

  1.   

Names of Reporting Persons

 

Ann Lurie

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  x

(b)  ¨

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

OO

  5.  

Check if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e)

 

¨

  6.  

Citizenship or Place of Organization

 

United States of America

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

     7.    

Sole Voting Power

 

10,000

     8.   

Shared Voting Power

 

14,714,737

     9.   

Sole Dispositive Power

 

10,000

   10.   

Shared Dispositive Power

 

14,714,737

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

14,724,737

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

¨

13.  

Percent of Class Represented by Amount in Row (11)

 

19.5%*

14.  

Type of Reporting Person (See Instructions)

 

IN

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.


CUSIP NO. 63009F105   13D   Page 13 of 19

 

Explanatory Note: This Amendment No. 10 amends the Schedule 13D filed by certain of the Reporting Persons on December 1, 2008, as previously amended on March 23, 2009, June 18, 2009, October 26, 2009, May 19, 2011, July 15, 2011, May 24, 2012, June 15, 2012, July 25, 2012 and February 14, 2013 (as so amended, the “Schedule 13D”). Except as specifically amended hereby, the Schedule 13D remains in full force and effect. Capitalized terms used herein and not otherwise defined shall have the same meanings ascribed to them in such Schedule 13D.

Item 2. Identity and Background.

Item 2 is hereby amended and restated in its entirety as follows:

(a)-(f)

This Schedule 13D is being filed jointly by Lurie Investment Fund, L.L.C. (“LIF”), Alfa-Tech, L.L.C. (“ATL”), ANDA-ProQuest, L.L.C. (“APL”), AOQ Trust, ANDA Partnership (“ANDA”), LFT Partnership (“LFT”), the Ann and Robert H. Lurie Foundation (the “Foundation”), Lurie Investments, Inc. (“LII”), Ann and Bob Trust 1 (“AB Trust”), Lurie Lending Company, L.L.C. (“Lurie Lending”) and Ann Lurie (collectively, the “Reporting Persons”). LIF, ATL, APL and Lurie Lending are each Delaware limited liability companies. LII is an Illinois corporation. AOQ Trust and AB Trust are trusts administered under the laws of Florida. LFT and ANDA are each an Illinois general partnership. The Foundation is an Illinois not-for-profit corporation. The sole stockholder of LII is the Ann Lurie Revocable Trust, a trust administered under the laws of Illinois. LII as the Executive Managing Member of LIF has the sole management authority over LIF. Ann Lurie is the trustee of AB Trust, the sole managing member of ATL. The managing member of APL and Lurie Lending is ANDA. The sole management authority over ANDA is held by trusts whose trustee is Ann Lurie. Ann Lurie is the co-trustee of AOQ Trust. Benjamin Lurie is the co-trustee of AOQ Trust. Ann Lurie is sole trustee of the trusts owning 100% of LFT. The Foundation is a charitable organization of which Ann Lurie is president and a director. The principal business of each of LIF, ATL, APL, AOQ Trust, AB Trust, LFT and LII is investments. The principal occupation of Ann Lurie and the Ann Lurie Revocable Trust is private investments and philanthropy. The principal occupation of Benjamin Lurie is investment management. Ann Lurie and Benjamin Lurie are citizens of the United States.

The business address for each of the Reporting Persons and each of the other persons named in this Item 2 is 440 West Ontario Street, Chicago, Illinois 60654. None of the Reporting Persons or any of the other persons named in this Item 2 has during the last five years (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) 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

Item 3 is hereby amended by adding the following as the last paragraph thereof:

On November 19, 2013, ATL transferred 2,902,407 shares of Common Stock beneficially owned by it to Lurie Lending in connection with ATL’s partial payment of a debt owed to Lurie Lending (such shares, the “ATL Transferred Shares”). The ATL Transferred Shares were valued at $2.33 per share, the closing price on the NASDAQ on November 19, 2013. As a result of this transfer, each of ATL and AB Trust no longer beneficially owns any shares of Common Stock and each of them will no longer file amendments to this Schedule 13D.


CUSIP NO. 63009F105   13D   Page 14 of 19

 

Item 4. Purpose of Transaction

Item 4 is hereby amended by adding the following as the second paragraph thereof:

The transfer of the ATL Transferred Shares was effected in connection with ATL’s partial payment of a debt owed to Lurie Lending.

Item 5. Interest in Securities of the Issuer.

Item 5 is hereby amended and restated in its entirety as follows:

 

  (a) Amount beneficially owned:

 

            Percent of class:*

LIF

     5,006,136 shares       6.6%

ATL

     0 shares       0.0%

APL

     2,274,096 shares       3.0%

AOQ Trust

     2,708,979 shares       3.6%

LFT

     1,635,904 shares       2.2%

Foundation

     112,891 shares       0.1%

LII

     5,080,460 shares       6.7%

AB Trust

     0 shares       0.0%

ANDA

     5,176,503 shares       6.8%

Lurie Lending

     2,902,407 shares       3.8%

Ann Lurie

     14,724,737 shares       19.5%

 

* Based on 75,582,606 shares of Common Stock outstanding as of November 5, 2013 as reported by the Issuer in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2013.

 

  (b) Number of shares as to which the person has:

 

  (i) Sole power to vote or to direct the vote

 

LIF

     0 shares   

ATL

     0 shares   

APL

     0 shares   

AOQ Trust

     0 shares   

LFT

     0 shares   

Foundation

     0 shares   

LII

     0 shares   

AB Trust

     0 shares   

ANDA

     0 shares   

Lurie Lending

     0 shares   

Ann Lurie

     10,000 shares   


CUSIP NO. 63009F105   13D   Page 15 of 19

 

 

  (ii) Shared power to vote or to direct the vote

 

LIF

     5,006,136 shares   

ATL

     0 shares   

APL

     2,274,096 shares   

AOQ Trust

     2,708,979 shares   

LFT

     1,635,904 shares   

Foundation

     112,891 shares   

LII

     5,080,460 shares   

AB Trust

     0 shares   

ANDA

     5,176,503 shares   

Lurie Lending

     2,902,407 shares   

Ann Lurie

     14,714,737 shares   

 

  (iii) Sole power to dispose or direct the disposition of

 

LIF

     0 shares   

ATL

     0 shares   

APL

     0 shares   

AOQ Trust

     0 shares   

LFT

     0 shares   

Foundation

     0 shares   

LII

     0 shares   

AB Trust

     0 shares   

ANDA

     0 shares   

Lurie Lending

     0 shares   

Ann Lurie

     10,000 shares   

 

  (iv) Shared power to dispose or to direct the disposition of

 

LIF

     5,006,136 shares   

ATL

     0 shares   

APL

     2,274,096 shares   

AOQ Trust

     2,708,979 shares   

LFT

     1,635,904 shares   

Foundation

     112,891 shares   

LII

     5,080,460 shares   

AB Trust

     0 shares   

ANDA

     5,176,503 shares   

Lurie Lending

     2,902,407 shares   

Ann Lurie

     14,714,737 shares   

(c) Except as described above in Item 3 regarding the ATL Transferred Share, during the past sixty days, no transactions in the Common Stock were effected by the Reporting Persons or any of the other persons named in Item 2.


CUSIP NO. 63009F105   13D   Page 16 of 19

 

(d) No persons other than the Reporting Persons have the right to receive or to direct the power to receipt of dividends from, or the proceeds from the sale of shares of Common Stock owned by the Reporting Persons.

(e) On November 19, 2013, ATL and AB Trust each ceased to be a member of the group that beneficially owns more than five percent of the Common Stock.

Item 7. Material to Be Filed as Exhibits.

1. Amended and Restated Joint Filing Agreement dated as of November 25, 2013, among Lurie Investment Fund, L.L.C., Alfa-Tech, L.L.C., ANDA-ProQuest, L.L.C., AOQ Trust, Lurie Investments, Inc., Ann and Bob Trust 1, ANDA Partnership, LFT Partnership, Ann and Robert H. Lurie Foundation, Lurie Lending Company, L.L.C. and Ann Lurie.


CUSIP NO. 63009F105   13D   Page 17 of 19

 

SIGNATURE

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

Dated: November 25, 2013

 

Lurie Investment Fund, L.L.C.
By:   Lurie Investments, Inc.
  Executive Managing Member
  By:  

/s/ Theodore Theophilos

    Theodore Theophilos
    Title: Vice President
Alfa-Tech, L.L.C.
By:   Ann and Bob Trust 1, Managing Member
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee
ANDA-ProQuest, L.L.C.
  By:   ANDA Partnership
    Managing Member
    By:   Ann and Bob Trust 1, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
    By:   Ann and Bob Trust 4, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee


CUSIP NO. 63009F105   13D   Page 18 of 19

 

 

AOQ Trust
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Co-Trustee
  By:  

/s/ Ben Lurie

    Ben Lurie, not individually but as Co-Trustee
LFT Partnership
  By:   Jesse Trust, Partner
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee
Ann and Robert H. Lurie Foundation
   
  By:  

/s/ Ann Lurie

    Ann Lurie
    President
Lurie Investments, Inc.
  By:  

/s/ Theodore Theophilos

    Theodore Theophilos
    Title: Vice President
Ann and Bob Trust 1
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee


CUSIP NO. 63009F105   13D   Page 19 of 19

 

 

ANDA Partnership
    By:   Ann and Bob Trust 1, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
    By:   Ann and Bob Trust 4, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
Lurie Lending Company, L.L.C.
      By:  

/s/ Ann Lurie

    Ann Lurie, President

/s/ Ann Lurie

Ann Lurie


Exhibit 1

AMENDED AND RESTATED JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Common Stock, $0.01 par value per share, of Nanosphere, Inc., and further agree that this Joint Filing Agreement shall be included as an Exhibit to the initial such joint filing.

This Joint Filing Agreement may be executed in one or more counterparts, each of which shall be deemed to be an original instrument, but all of such counterparts together shall constitute but one agreement.

In evidence thereof the undersigned, being duly authorized, hereby execute this Joint Filing Agreement as of this 25th day of November, 2013

 

Lurie Investment Fund, L.L.C.
By:   Lurie Investments, Inc.
  Executive Managing Member
  By:  

/s/ Theodore Theophilos

    Theodore Theophilos
    Title: Vice President
Alfa-Tech, L.L.C.
By:   Ann and Bob Trust 1, Managing Member
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee


ANDA-ProQuest, L.L.C.
  By:   ANDA Partnership
    Managing Member
    By:   Ann and Bob Trust 1, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
    By:   Ann and Bob Trust 4, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
AOQ Trust
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Co-Trustee
  By:  

/s/ Ben Lurie

    Ben Lurie, not individually but as Co-Trustee
LFT Partnership
  By:   Jesse Trust, Partner
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee
Ann and Robert H. Lurie Foundation
  By:  

/s/ Ann Lurie

    Ann Lurie
    President


Lurie Investments, Inc.
  By:  

/s/ Theodore Theophilos

    Theodore Theophilos
    Title: Vice President
Ann and Bob Trust 1
  By:  

/s/ Ann Lurie

    Ann Lurie, not individually but as Trustee
ANDA Partnership
    By:   Ann and Bob Trust 1, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
    By:   Ann and Bob Trust 4, Partner
    By:  

/s/ Ann Lurie

      Ann Lurie, not individually but as Trustee
Lurie Lending Company, L.L.C.
  By:  

/s/ Ann Lurie

    Ann Lurie
    Title: President

/s/ Ann Lurie

Ann Lurie