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