0000899243-15-004365.txt : 20150902 0000899243-15-004365.hdr.sgml : 20150902 20150902164855 ACCESSION NUMBER: 0000899243-15-004365 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150826 FILED AS OF DATE: 20150902 DATE AS OF CHANGE: 20150902 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AxoGen, Inc. CENTRAL INDEX KEY: 0000805928 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 411301878 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13859 PROGRESS BLVD. STREET 2: SUITE 100 CITY: ALACHUA STATE: FL ZIP: 32615 BUSINESS PHONE: (386) 462-6817 MAIL ADDRESS: STREET 1: 13859 PROGRESS BLVD. STREET 2: SUITE 100 CITY: ALACHUA STATE: FL ZIP: 32615 FORMER COMPANY: FORMER CONFORMED NAME: LECTEC CORP /MN/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Essex Woodlands IX, LLC CENTRAL INDEX KEY: 0001652286 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36046 FILM NUMBER: 151089982 BUSINESS ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 BUSINESS PHONE: 2813648338 MAIL ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Essex Woodlands Fund IX-GP, L.P. CENTRAL INDEX KEY: 0001652285 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36046 FILM NUMBER: 151089983 BUSINESS ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 BUSINESS PHONE: 2813648338 MAIL ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Essex Woodlands Fund IX, L.P. CENTRAL INDEX KEY: 0001612343 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36046 FILM NUMBER: 151089984 BUSINESS ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 BUSINESS PHONE: 281-364-1555 MAIL ADDRESS: STREET 1: 21 WATERWAY AVENUE, SUITE 225 CITY: THE WOODLANDS STATE: TX ZIP: 77380 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2015-08-26 0 0000805928 AxoGen, Inc. AXGN 0001612343 Essex Woodlands Fund IX, L.P. 21 WATERWAY AVENUE, SUITE 225 THE WOODLANDS TX 77380 0 0 1 0 0001652285 Essex Woodlands Fund IX-GP, L.P. 21 WATERWAY AVENUE, SUITE 225 THE WOODLANDS TX 0 0 1 0 0001652286 Essex Woodlands IX, LLC 21 WATERWAY AVENUE, SUITE 225 THE WOODLANDS TX 77380 0 0 1 0 Common Stock 4861111 D The shares are held by Essex Woodlands Fund IX, L.P. ("Fund IX"). Essex Woodlands Fund IX-GP, L.P. (the "Fund IX-GP") is the general partner of Fund IX. Essex Woodlands IX, LLC (the "General Partner") is the general partner of the Fund IX-GP. The General Partner holds sole voting and dispositive power over the shares held by Fund IX. The managers of the General Partner are Martin P. Sutter, R. Scott Barry, Ronald Eastman, Guido J. Neels (also a member of the Issuer's board of directors), Petri Vainio and Steve Wiggins (collectively, the "Managers"), and may exercise voting and investment control over the shares only by the majority action of the Managers. Each individual Manager, the Fund-IX-GP and the General Partner disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Essex Woodlands Fund IX, L.P.; By Essex Woodlands Fund IX-GP, L.P. its General Partner; By Essex Woodlands IX, LLC, its General Partner; By /s/ Martin P. Sutter, Managing Director 2015-09-02 Essex Woodlands IX-GP, L.P.; By: Essex Woodlands IX, LLC; By: /s/ Martin P. Sutter, Managing Director 2015-09-02 Essex Woodlands IX, LLC, By: /s/ Martin P. Sutter, Managing Director 2015-09-02