0000899243-21-021805.txt : 20210603
0000899243-21-021805.hdr.sgml : 20210603
20210603164127
ACCESSION NUMBER: 0000899243-21-021805
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210601
FILED AS OF DATE: 20210603
DATE AS OF CHANGE: 20210603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ferrell Jeffrey
CENTRAL INDEX KEY: 0001394967
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993082
MAIL ADDRESS:
STREET 1: ATHYRIUM CAPITAL MANAGEMENT, LP
STREET 2: 505 FIFTH AVENUE, FL 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NB Alternatives Advisers LLC
CENTRAL INDEX KEY: 0001469000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993073
BUSINESS ADDRESS:
STREET 1: 325 N. SAINT PAUL STREET
STREET 2: SUITE 4900
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 212-476-9000
MAIL ADDRESS:
STREET 1: 325 N. SAINT PAUL STREET
STREET 2: SUITE 4900
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Capital Holdings, LLC
CENTRAL INDEX KEY: 0001815216
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993081
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Capital Management, LP
CENTRAL INDEX KEY: 0001728001
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993083
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-402-6925
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities III Acquisition LP
CENTRAL INDEX KEY: 0001835266
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993074
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, 18TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, 18TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Funds GP Holdings LLC
CENTRAL INDEX KEY: 0001815225
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993077
BUSINESS ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-434-1636
MAIL ADDRESS:
STREET 1: 505 FIFTH AVENUE, FLOOR 18
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NB Alternatives GP Holdings LLC
CENTRAL INDEX KEY: 0001815407
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993072
BUSINESS ADDRESS:
STREET 1: 325 N. SAINT PAUL STREET, SUITE 4900
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 212-476-5781
MAIL ADDRESS:
STREET 1: 325 N. SAINT PAUL STREET, SUITE 4900
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Athyrium Opportunities Advisers LLC
CENTRAL INDEX KEY: 0001815484
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993075
BUSINESS ADDRESS:
STREET 1: 1209 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10104
BUSINESS PHONE: 212-476-5781
MAIL ADDRESS:
STREET 1: 1209 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NB Alternatives Holdings LLC
CENTRAL INDEX KEY: 0001815501
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39334
FILM NUMBER: 21993076
BUSINESS ADDRESS:
STREET 1: 1290 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10104
BUSINESS PHONE: 212-476-5781
MAIL ADDRESS:
STREET 1: 1290 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PROGENITY, INC.
CENTRAL INDEX KEY: 0001580063
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071]
IRS NUMBER: 273950390
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4330 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 200
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
BUSINESS PHONE: 855-293-2639
MAIL ADDRESS:
STREET 1: 4330 LA JOLLA VILLAGE DRIVE
STREET 2: SUITE 200
CITY: SAN DIEGO
STATE: CA
ZIP: 92122
FORMER COMPANY:
FORMER CONFORMED NAME: ASCENDANT MDX, INC.
DATE OF NAME CHANGE: 20130625
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-06-01
0
0001580063
PROGENITY, INC.
PROG
0001728001
Athyrium Capital Management, LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
0
0
1
0
0001394967
Ferrell Jeffrey
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
1
0
1
0
0001815216
Athyrium Capital Holdings, LLC
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
0
0
1
0
0001815225
Athyrium Funds GP Holdings LLC
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
0
0
1
0
0001815501
NB Alternatives Holdings LLC
1290 AVENUE OF THE AMERICAS, 42ND FLOOR
NEW YORK
NY
10104
0
0
1
0
0001815484
Athyrium Opportunities Advisers LLC
1290 AVENUE OF THE AMERICAS, 42ND FLOOR
NEW YORK
NY
10104
0
0
1
0
0001835266
Athyrium Opportunities III Acquisition LP
505 FIFTH AVENUE, FLOOR 18
NEW YORK
NY
10017
0
0
1
0
0001469000
NB Alternatives Advisers LLC
325 N. SAINT PAUL STREET, SUITE 4900
DALLAS
TX
75201
0
0
1
0
0001815407
NB Alternatives GP Holdings LLC
325 N. SAINT PAUL STREET, SUITE 4900
DALLAS
TX
75201
0
0
1
0
Common Stock
2021-06-01
4
P
0
306308
2.86
A
28299741
I
See footnotes
Common Stock
2021-06-01
4
P
0
961807
2.86
A
28299741
I
See footnotes
The 306,308 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.
Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
The 961,807 shares of the Issuer's common stock are held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.
Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 4.
/s/ Athyrium Capital Management, LP, by Jeffrey A. Ferrell, President
2021-06-03
/s/ Jeffrey A. Ferrell
2021-06-03
/s/ Athyrium Capital Holdings, LLC, by Jeffrey A. Ferrell, Managing Member
2021-06-03
/s/ Athyrium Funds GP Holdings LLC, by Jeffrey A. Ferrell, Managing Member
2021-06-03
/s/ Athyrium Opportunities Advisers LLC, by Christian Neira, Authorized Signatory
2021-06-03
/s/ NB Alternatives Advisers LLC, by Christian Neira, Authorized Signatory
2021-06-03
/s/ NB Alternatives GP Holdings LLC, by Christian Neira, Authorized Signatory
2021-06-03
/s/ NB Alternatives Holdings LLC, by Christian Neira, Authorized Signatory
2021-06-03
/s/ Athyrium Opportunities III Acquisition LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary
2021-06-03