0001209191-23-045243.txt : 20230809
0001209191-23-045243.hdr.sgml : 20230809
20230809190824
ACCESSION NUMBER: 0001209191-23-045243
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230804
FILED AS OF DATE: 20230809
DATE AS OF CHANGE: 20230809
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CR Group L.P.
CENTRAL INDEX KEY: 0001702352
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156709
BUSINESS ADDRESS:
STREET 1: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 713-209-7350
MAIL ADDRESS:
STREET 1: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
FORMER NAME:
FORMER CONFORMED NAME: Capital Royalty L.P.
DATE OF NAME CHANGE: 20170329
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRG Partners III L.P.
CENTRAL INDEX KEY: 0001637591
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156705
BUSINESS ADDRESS:
STREET 1: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 713-209-7350
MAIL ADDRESS:
STREET 1: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRG Partners III - Parallel Fund (A) L.P.
CENTRAL INDEX KEY: 0001651357
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156708
BUSINESS ADDRESS:
STREET 1: C/O CAPITAL ROYALTY L.P.
STREET 2: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 713-209-7350
MAIL ADDRESS:
STREET 1: C/O CAPITAL ROYALTY L.P.
STREET 2: 1000 MAIN STREET, SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRG Partners III (Cayman) Unlev AIV I L.P.
CENTRAL INDEX KEY: 0001767510
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156706
BUSINESS ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 7132097350
MAIL ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRG Partners III - Parallel Fund B (Cayman) L.P.
CENTRAL INDEX KEY: 0001767508
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156704
BUSINESS ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 7132097350
MAIL ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRG Partners III (Cayman) Lev AIV I L.P.
CENTRAL INDEX KEY: 0001767509
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36817
FILM NUMBER: 231156707
BUSINESS ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
BUSINESS PHONE: 7132097350
MAIL ADDRESS:
STREET 1: 1000 MAIN STREET
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77002
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Avinger Inc
CENTRAL INDEX KEY: 0001506928
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 208873453
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 400 CHESAPEAKE DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
BUSINESS PHONE: 650-363-2400
MAIL ADDRESS:
STREET 1: 400 CHESAPEAKE DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
4
1
doc4.xml
FORM 4 SUBMISSION
X0508
4
2023-08-04
0
0001506928
Avinger Inc
AVGR
0001702352
CR Group L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0001651357
CRG Partners III - Parallel Fund (A) L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0001767509
CRG Partners III (Cayman) Lev AIV I L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0001767510
CRG Partners III (Cayman) Unlev AIV I L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0001637591
CRG Partners III L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0001767508
CRG Partners III - Parallel Fund B (Cayman) L.P.
1000 MAIN STREET, SUITE 2500
HOUSTON
TX
77002
0
0
1
0
0
Series E Convertible Preferred Stock
0.715
2023-08-04
4
A
0
166.08
A
Common Stock
233179.84
166.08
I
By CRG Partners III ? Parallel Fund (A) L.P.
Series E Convertible Preferred Stock
0.715
2023-08-04
4
A
0
309.696
A
Common Stock
432955.008
309.696
I
By CRG Partners III L.P.
Series E Convertible Preferred Stock
0.715
2023-08-04
4
A
0
658.176
A
Common Stock
920130.048
658.176
I
By CRG Partners III (Cayman) Lev AIV I L.P.
Series E Convertible Preferred Stock
0.715
2023-08-04
4
A
0
53.376
A
Common Stock
74619.648
53.376
I
By CRG Partners III (Cayman) Unlev AIV I L.P.
Series E Convertible Preferred Stock
0.715
2023-08-04
4
A
0
732.672
A
Common Stock
1024275.456
732.672
I
By CRG Partners III Parallel Fund (B) (Cayman) L.P.
Each share of Series E Convertible Preferred Stock (the "Series E Preferred Stock") has an original issue price of $1,000 per share and is initially convertible into 1,398 shares of Common Stock of the Issuer (the "Common Stock"), subject to customary adjustments for stock dividends and stock splits, pro rata distributions, or the occurrence of a merger, reorganization, or similar transaction. The Series E Preferred Stock is additionally subject to mandatory conversion or redemption upon the occurrence of specified events. Shares of Series E Preferred Stock cannot be converted into Common Stock if the applicable holder would beneficially own in excess of 19.99% of the Issuer's outstanding voting power, unless approved by the Company's stockholders in accordance with Nasdaq Listing Rule 5635(b). The Series E Preferred Stock have no expiration date.
Pursuant to that certain Securities Purchase Agreement, dated August 2, 2023, by and among the Issuer, CRG Partners III L.P., CRG Partners III - Parallel Fund "A" L.P., CRG Partners III (Cayman) Unlev AIV I L.P., CRG Partners III (Cayman) Lev AIV I L.P. and CRG Partners III Parallel Fund "B" (Cayman) L.P. (collectively, the "CRG Entities"), the CRG Entities received these shares in exchange for the CRG Entities surrendering for cancellation of certain outstanding debt.
CR Group L.P. may be deemed to beneficially own these shares by virtue of its position as the investment manager for the CRG Entities.
/s/ Nathan D. Hukill, authorized signatory for CRG Partners III L.P., CRG Partners III Parallel Fund (A) L.P., CRG Partners III (Cayman) Unlev AIV I L.P., CRG Partners III (Cayman) Lev AIV I L.P., and CRG Partners III Parallel Fund (B)(Cayman) L.P.
2023-08-09