0001188112-14-000360.txt : 20140213 0001188112-14-000360.hdr.sgml : 20140213 20140213161855 ACCESSION NUMBER: 0001188112-14-000360 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 GROUP MEMBERS: ADVANCED TECHNOLOGY VENTURES VII (B), L.P. GROUP MEMBERS: ADVANCED TECHNOLOGY VENTURES VII(C), L.P. GROUP MEMBERS: ATV ASSOCIATES VII, L.L.C. GROUP MEMBERS: ATV ENTREPRENEURS VII, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Zeltiq Aesthetics Inc CENTRAL INDEX KEY: 0001415336 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86461 FILM NUMBER: 14606364 BUSINESS ADDRESS: STREET 1: 4698 Willow Road STREET 2: Suite 100 CITY: Pleasanton STATE: CA ZIP: 94588-2710 BUSINESS PHONE: (925) 474-2500 MAIL ADDRESS: STREET 1: 4698 Willow Road STREET 2: Suite 100 CITY: Pleasanton STATE: CA ZIP: 94588-2710 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED TECHNOLOGY VENTURES VII LP CENTRAL INDEX KEY: 0001138942 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 281 WINTER ST STREET 2: SUITE 350 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 7812900707 SC 13G/A 1 t78299_sc13ga.htm SCHEDULE 13G (AMENDMENT NO. 1)

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 1)
 
 
 
ZELTIQ Aesthetics, Inc.
(Name of Issuer)
 
 
 
Common Stock, $0.001 par value
(Title of Class of Securities)
 
98933Q 108
(CUSIP Number)
 
December 31, 2013
(Date of Event Which Requires Filing of this Statement)
 
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
¨ Rule 13d-l(b)
 
¨ Rule 13d-l(c)
 
x Rule 13d-l(d)
 
 
 

 

 
     
CUSIP No. 98933Q 108
    
 
             
  1 
  
NAMES OF REPORTING PERSONS
 
Advanced Technology Ventures VII, L.P.
  2
  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)  ¨        (b)  x  (1)
 
  3
  
SEC USE ONLY
 
  4
  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
  
  5 
  
SOLE VOTING POWER
 
0 shares
  
  6
  
SHARED VOTING POWER
 
3,876,221 shares of common stock (2)
  
  7
  
SOLE DISPOSITIVE POWER
 
0 shares
  
  8
  
SHARED DISPOSITIVE POWER
 
3,876,221 shares of common stock (2)
      9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3,876,221 shares of common stock (2)
    10
  
CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
¨
    11
  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
10.6% (3)
    12
  
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN
 
FOOTNOTES
 
(1)
This Schedule is filed by Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., ATV Entrepreneurs VII, L.P., and ATV Associates VII, L.L.C. (collectively, the “ATV Entities”). The ATV Entities expressly disclaim status as a “group” for purposes of this Schedule 13G/A.
 
(2)
Advanced Technology Ventures VII, L.P. directly holds 3,638,356 shares of common stock; Advanced Technology Ventures VII (B), L.P. directly holds 146,004 shares of common stock; Advanced Technology Ventures VII(C), L.P. directly holds 70,179 shares of common stock; ATV Entrepreneurs VII, L.P. directly holds 21,682 shares of common stock. ATV Associates VII, L.L.C. is the general partner of Advance Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., and ATV Entrepreneurs VII, L.P. As described in Item 4 below, collectively, the ATV Entities beneficially own an aggregate of 3,876,221 shares of the Issuer’s common stock, and each has shared voting and dispositive power over such shares.
 
(3)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s quarterly report filed on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
2
 

 

 
CUSIP No. 98933Q 108
    
 
             
  1
  
NAMES OF REPORTING PERSONS
 
Advanced Technology Ventures VII (B), L.P.
  2
  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)  ¨        (b)  x  (1)
 
  3
  
SEC USE ONLY
 
  4
  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH:
  
  5
  
SOLE VOTING POWER
 
0 shares
  
  6
  
SHARED VOTING POWER
 
3,876,221 shares of common stock (2)
  
  7
  
SOLE DISPOSITIVE POWER
 
0 shares
  
  8
  
SHARED DISPOSITIVE POWER
 
3,876,221 shares of common stock (2)
      9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3,876,221 shares of common stock (2)
    10
  
CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
¨
    11
  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
10.6% (3)
    12
  
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN 
 
FOOTNOTES
 
(1)
This Schedule is filed by Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., ATV Entrepreneurs VII, L.P., and ATV Associates VII, L.L.C. (collectively, the “ATV Entities”). The ATV Entities expressly disclaim status as a “group” for purposes of this Schedule 13G/A.
 
(2)
Advanced Technology Ventures VII, L.P. directly holds 3,638,356 shares of common stock; Advanced Technology Ventures VII (B), L.P. directly holds 146,004 shares of common stock; Advanced Technology Ventures VII(C), L.P. directly holds 70,179 shares of common stock; ATV Entrepreneurs VII, L.P. directly holds 21,682 shares of common stock. ATV Associates VII, L.L.C. is the general partner of Advance Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., and ATV Entrepreneurs VII, L.P. As described in Item 4 below, collectively, the ATV Entities beneficially own an aggregate of 3,876,221 shares of the Issuer’s common stock, and each has shared voting and dispositive power over such shares.
 
(3)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
3
 

 

 
CUSIP No. 98933Q 108
    
 
             
  1
  
NAMES OF REPORTING PERSONS
 
Advanced Technology Ventures VII(C), L.P.
  2
  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)  ¨        (b)  x  (1)
 
  3
  
SEC USE ONLY
 
  4
  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH:
  
  5
  
SOLE VOTING POWER
 
0 shares
  
  6
  
SHARED VOTING POWER
 
3,876,221 shares of common stock (2)
  
  7
  
SOLE DISPOSITIVE POWER
 
0 shares
  
  8
  
SHARED DISPOSITIVE POWER
 
3,876,221 shares of common stock (2)
      9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3,876,221 shares of common stock (2)
    10
  
CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
¨
    11
  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
10.6% (3)
    12
  
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN
 
FOOTNOTES
 
(1)
This Schedule is filed by Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., ATV Entrepreneurs VII, L.P., and ATV Associates VII, L.L.C. (collectively, the “ATV Entities”). The ATV Entities expressly disclaim status as a “group” for purposes of this Schedule 13G/A.
 
(2)
Advanced Technology Ventures VII, L.P. directly holds 3,638,356shares of common stock; Advanced Technology Ventures VII (B), L.P. directly holds 146,004 shares of common stock; Advanced Technology Ventures VII(C), L.P. directly holds 70,179 shares of common stock; ATV Entrepreneurs VII, L.P. directly holds 21,682 shares of common stock. ATV Associates VII, L.L.C. is the general partner of Advance Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., and ATV Entrepreneurs VII, L.P. As described in Item 4 below, collectively, the ATV Entities beneficially own an aggregate of 3,876,221 shares of the Issuer’s common stock, and each has shared voting and dispositive power over such shares.
 
(3)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
4
 

 

 
CUSIP No. 98933Q 108
    
 
             
  1 
  
NAMES OF REPORTING PERSONS
 
ATV Entrepreneurs VII, L.P.
  2
  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)  ¨        (b)  x  (1)
 
  3
  
SEC USE ONLY
 
  4
  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
  
  5 
  
SOLE VOTING POWER
 
0 shares
  
  6
  
SHARED VOTING POWER
 
3,876,221 shares of common stock (2)
  
  7
  
SOLE DISPOSITIVE POWER
 
0 shares
  
  8
  
SHARED DISPOSITIVE POWER
 
3,876,221 shares of common stock (2)
      9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3,876,221 shares of common stock (2)
    10
  
CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
¨
    11
  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
10.6% (3)
    12
  
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
PN
 
FOOTNOTES
 
(1)
This Schedule is filed by Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII (C), L.P., ATV Entrepreneurs VII, L.P., and ATV Associates VII, L.L.C. (collectively, the “ATV Entities”). The ATV Entities expressly disclaim status as a “group” for purposes of this Schedule 13G/A.
 
(2)
Advanced Technology Ventures VII, L.P. directly holds 3,638,356 shares of common stock; Advanced Technology Ventures VII (B), L.P. directly holds 146,004 shares of common stock; Advanced Technology Ventures VII (C), L.P. directly holds 70,179 shares of common stock; ATV Entrepreneurs VII, L.P. directly holds 21,682 shares of common stock. ATV Associates VII, L.L.C. is the general partner of Advance Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII (C), L.P., and ATV Entrepreneurs VII, L.P. As described in Item 4 below, collectively, the ATV Entities beneficially own an aggregate of 3,876,221 shares of the Issuer’s common stock, and each has shared voting and dispositive power over such shares.
 
(3)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
5
 

 

 
CUSIP No. 98933Q 108
    
 
             
  1 
  
NAMES OF REPORTING PERSONS
 
ATV Associates VII, L.L.C.
  2
  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a)  ¨        (b)  x  (1)
 
  3
  
SEC USE ONLY
 
  4
  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
  
  5 
  
SOLE VOTING POWER
 
0 shares
  
  6
  
SHARED VOTING POWER
 
3,876,221 shares of common stock (2)
  
  7
  
SOLE DISPOSITIVE POWER
 
0 shares
  
  8
  
SHARED DISPOSITIVE POWER
 
3,876,221 shares of common stock (2)
      9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
3,876,221 shares of common stock (2)
    10
  
CHECK IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
 
¨
    11
  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
10.6% (3)
    12
  
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
 
OO
 
FOOTNOTES
 
(1)
This Schedule is filed by Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII (C), L.P., ATV Entrepreneurs VII, L.P., and ATV Associates VII, L.L.C. (collectively, the “ATV Entities”). The ATV Entities expressly disclaim status as a “group” for purposes of this Schedule 13G/A.
 
(2)
Advanced Technology Ventures VII, L.P. directly holds 3,638,356 shares of common stock; Advanced Technology Ventures VII (B), L.P. directly holds 146,004 shares of common stock; Advanced Technology Ventures VII (C), L.P. directly holds 70,179 shares of common stock; ATV Entrepreneurs VII, L.P. directly holds 21,682 shares of common stock. ATV Associates VII, L.L.C. is the general partner of Advance Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII (C), L.P., and ATV Entrepreneurs VII, L.P. As described in Item 4 below, collectively, the ATV Entities beneficially own an aggregate of 3,876,221 shares of the Issuer’s common stock, and each has shared voting and dispositive power over such shares.
 
(3)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
6
 

 

 
             
Item 1.
  
(a)
  
Name of Issuer:
       
 
  
  
  
  
  
ZELTIQ Aesthetics, Inc.
     
 
  
(b)
  
Address of Issuer’s Principal Executive Offices:
       
 
  
  
  
  
  
4698 Willow Road, Suite 100, Pleasanton, California 94588
             
Item 2.
  
(a)
  
Name of Person Filing:
       
 
  
  
  
  
  
This Schedule 13G is being filed jointly by Advanced Technology Ventures VII, L.P., Advanced Technology
 
  
  
  
  
  
Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., ATV Entrepreneurs VII, L.P., and ATV
 
  
  
  
  
  
Associates VII, L.L.C. (collectively, the “ATV Entities”)
     
 
  
(b)
  
Address of Principal Business Office or, if none, Residence:
       
 
  
  
  
  
  
The address of the principal business office of each of the ATV Entities is:
       
 
  
  
  
  
  
500 Boylston Street, Suite 1380, Boston, Massachusetts 02116
     
 
  
(c)
  
Citizenship:
       
 
  
  
  
  
  
Each of the ATV Entities is a Delaware limited partnership or limited liability company
     
 
  
(d)
  
Title of Class of Securities:
       
 
  
  
  
  
  
Common Stock, $0.001 par value
     
 
  
(e)
  
CUSIP:
       
 
  
  
  
  
  
98933Q 108
 
             
Item 3.
  
If this statement is filed pursuant to §§240.13d-l(b) or 240.13d-2(b) or (c), check whether the person filing is a:
       
Not applicable 
 
7
 

 

 
Item 4.
Ownership
 
Set forth below is the aggregate number of ordinary shares held by each of the following ATV Entities, together with the percentage of the outstanding common stock held, based on shares of common stock outstanding:
                                                         
 
ATV Entity
  
Shares Held
Directly
  
  
Sole Voting
Power
  
  
Shared
Voting
Power
  
  
Sole
Dispositive
Power
  
  
Shared
Dispositive
Power
  
  
Beneficial
Ownership
  
  
Percentage
of Class (2)
  
Advanced Technology Ventures VII, L.P.
  
  
3,638,356
  
  
  
0
  
  
  
3,876,221
  
  
  
0
  
  
  
3,876,221
  
  
  
3,876,221
  
  
  
10.6
% 
               
Advanced Technology Ventures VII (B), L.P.
  
  
146,004
  
  
  
0
  
  
  
3,876,221
  
  
  
0
  
  
  
3,876,221
  
  
  
3,876,221
  
  
  
10.6
% 
               
Advanced Technology Ventures VII(C), L.P.
  
  
70,179
  
  
  
0
  
  
  
3,876,221
  
  
  
0
  
  
  
3,876,221
  
  
  
3,876,221
  
  
  
10.6
% 
               
ATV Entrepreneurs VII, L.P.
  
  
21,682
  
  
  
0
  
  
  
3,876,221
  
  
  
0
  
  
  
3,876,221
  
  
  
3,876,221
  
  
  
10.6
% 
               
ATV Associates VII, L.L.C. (1)
  
  
0
  
  
  
0
  
  
  
3,876,221
  
  
  
0
  
  
  
3,876,221
  
  
  
3,876,221
  
  
  
10.6
% 
 
(1)
ATV Associates VII, L.L.C. owns no securities of the Issuer directly. ATV Associates VII, L.L.C is the general partner of Advanced Technology Ventures VII, L.P., Advanced Technology Ventures VII (B), L.P., Advanced Technology Ventures VII(C), L.P., and ATV Entrepreneurs VII, L.P.
 
(2)
This percentage is calculated based upon 36,420,623 shares of the Issuer’s common stock outstanding as of October 25, 2013, as set forth in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission on October 31, 2013.
 
Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ¨.
 
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
 
Not applicable.
 
Item 8.
Identification and Classification of Members of the Group
 
Not applicable.
 
Item 9.
Notice of Dissolution of Group
 
Not applicable.
 
Item 10.
Certification
 
Not applicable.
 
8
 

 

 
SIGNATURE
 
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.
 
February 13, 2014
  

Advanced Technology Ventures VII, L.P.
 
By: ATV Associates VII, L.L.C., its General Partner
     
By: /s/ Jean George  
Authorized Signatory
     
Advanced Technology Ventures VII (B), L.P.
 
By: ATV Associates VII, L.L.C., its General Partner
     
By: /s/ Jean George  
  Authorized Signatory
     
Advanced Technology Ventures VII(C), L.P.
 
By: ATV Associates VI, L.L.C., its General Partner
     
By: /s/ Jean George  
  Authorized Signatory
     
ATV Entrepreneurs VII, L.P.  
 
By: ATV Associates VII, L.L.C., its General Partner
     
By: /s/ Jean George  
  Authorized Signatory
     
ATV Associates VII, L.L.C.
     
By: /s/ Jean George  
  Authorized Signatory
 
9
 

 

 
Index Exhibit
SCHEDULE 13G/A
 
     
Exhibit Number
  
Exhibit Description
   
1
  
Joint Filing Agreement (Incorporated by reference from Exhibit 1 to Schedule 13G filed on February 14, 2013.)