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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.
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CUSIP NO. 75989E106
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13D
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Page 1 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
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Broadview Ventures I, LLC
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
94-3463468
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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974,529 (1)
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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974,529 (1)
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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974,529 (1)
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.8% (2)
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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(1) |
Consists of (i) 443,823 shares of common stock of Renovacor, Inc. (the “Issuer”) held by Broadview Ventures I, LLC (“Broadview”) and (ii) 530,706 shares held by Longview Healthcare Ventures, LLC
(“Longview”).
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(2) |
Based on 16,756,042 shares of common stock outstanding of the Issuer, as set forth in the Issuer’s Form 8-K filed with the Securities and Exchange Commission (“SEC”) on September 9, 2021.
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CUSIP NO. 75989E106
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13D
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Page 2 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
|
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Longview Healthcare Ventures, LLC
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
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|
||||
3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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WC
|
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|||
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||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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|||
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
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|
||||
8
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SHARED VOTING POWER
|
|
|
||
974,529 (1)
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|||
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||||
9
|
SOLE DISPOSITIVE POWER
|
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||
0
|
|
|
|||
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|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
974,529 (1)
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|||
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||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
974,529 (1)
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.8% (2)
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|
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|||
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|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
(1)
|
Consists of (i) 443,823 shares of common stock of Renovacor, Inc. (the “Issuer”) held by Broadview Ventures I, LLC (“Broadview”) and (ii) 530,706 shares held by Longview Healthcare Ventures, LLC
(“Longview”).
|
(2) |
Based on 16,756,042 shares of common stock outstanding of the Issuer, as set forth in the Issuer’s Form 8-K filed with the Securities and Exchange Commission (“SEC”) on September 9, 2021.
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CUSIP NO. 75989E106
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13D
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Page 3 of 6 Pages
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Item 1. |
Security and Issuer.
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Item 2. |
Identity and Background.
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Item 3. |
Source and Amount of Funds or Other Consideration.
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CUSIP NO. 75989E106
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13D
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Page 4 of 6 Pages
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Item 4. |
Purpose of Transaction.
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Item 5. |
Interest in Securities of the Issuer.
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Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to the Securities of the Issuer.
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CUSIP NO. 75989E106
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13D
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Page 5 of 6 Pages
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Item 7. |
Materials to be Filed as Exhibits.
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Exhibit
No.
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Description
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Joint Filing Agreement, dated September 13, 2021, by and among the Reporting Persons (filed herewith).
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99.2
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Registration Rights Agreement, dated as of September 2, 2021, by and between the Company and certain of its stockholders (incorporated by reference to Exhibit 10.6 to the Issuer’s Current Report on Form 8-K as filed with the Commission
on September 9, 2021 (SEC File No. 001-39271)).
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99.3
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Form of Lock-Up Agreement (incorporated by reference to Annex G to the Schedule 14A filed with the Commission on August 5, 2021 (SEC File No. 001-39271)).
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99.4
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Form of Indemnification Agreement for non-executive directors (incorporated by reference to Exhibit 10.10 to the Issuer’s Current Report on Form 8-K as filed with the Commission on September 9, 2021 (SEC File No. 001-39271)).
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CUSIP NO. 75989E106
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13D
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Page 6 of 6 Pages
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Dated: September 13, 2021
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BROADVIEW VENTURES I, LLC
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By:
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/s/ M.F.B. (Ben) Gillooly
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Name:
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M.F.B. (Ben) Gillooly
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Title:
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Director, Parrain Corporation, Manager of Broadview Ventures I, LLC
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LONGVIEW HEALTHCARE VENTURES, LLC
|
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By:
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/s/ M.F.B. (Ben) Gillooly
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Name:
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M.F.B. (Ben) Gillooly
|
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Title:
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Director, Parrain Corporation, Manager of Longview Healthcare Ventures, LLC
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Dated: September 13, 2021
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BROADVIEW VENTURES I, LLC
|
|
By:
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/s/ M.F.B. (Ben) Gillooly
|
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Name:
|
M.F.B. (Ben) Gillooly
|
|
Title:
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Director, Parrain Corporation, Manager of Broadview Ventures I, LLC
|
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LONGVIEW HEALTHCARE VENTURES, LLC
|
||
By:
|
/s/ M.F.B. (Ben) Gillooly
|
|
Name:
|
M.F.B. (Ben) Gillooly
|
|
Title:
|
Director, Parrain Corporation, Manager of Longview Healthcare Ventures, LLC
|