0001140361-16-085902.txt : 20161110 0001140361-16-085902.hdr.sgml : 20161110 20161110180136 ACCESSION NUMBER: 0001140361-16-085902 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20161108 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIOLASE, INC CENTRAL INDEX KEY: 0000811240 STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843] IRS NUMBER: 870442441 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-361-1200 MAIL ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: BIOLASE TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER MEDICAL TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER ENDO TECHNIC CORP DATE OF NAME CHANGE: 19920708 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oracle Associates LLC CENTRAL INDEX KEY: 0001317217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36385 FILM NUMBER: 161989440 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-862-1660 MAIL ADDRESS: STREET 1: 200 GREENWICH AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORACLE PARTNERS LP CENTRAL INDEX KEY: 0000941901 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36385 FILM NUMBER: 161989441 BUSINESS ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: (203) 862-7980 MAIL ADDRESS: STREET 1: 200 GREENWICH AVE STREET 2: 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FEINBERG LARRY N CENTRAL INDEX KEY: 0000926475 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36385 FILM NUMBER: 161989442 MAIL ADDRESS: STREET 1: C/O ORACLE PARTNERS L P STREET 2: 200 GREENWICH AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 4 1 doc1.xml FORM 4 X0306 4 2016-11-08 0 0000811240 BIOLASE, INC BIOL 0000926475 FEINBERG LARRY N 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 0000941901 ORACLE PARTNERS LP C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 0001317217 Oracle Associates LLC C/O ORACLE INVESTMENT MANAGEMENT, INC. 200 GREENWICH AVENUE GREENWICH CT 06830 0 0 1 0 Common Stock 2016-11-08 4 C 0 2000 1.52 A 14230625 I See footnote Common Stock 2016-11-09 4 C 0 125000 1.70 A 14335625 I See footnote See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 * On his own behalf or on behalf of the other joint filers. Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information and Signatures /s/ Larry N. Feinberg* 2016-11-10 EX-99.1 2 f18637996a.htm EXPLANATION OF RESPONSES
Designated Filer: FEINBERG LARRY N
Issuer & Ticket Symbol: Biolase, Inc. [BIOL]
Date of Event Requiring Statement: November 8, 2016
 

Explanation of Responses:
(1)
After giving effect to this transaction, Oracle Partners, L.P. (“Partners”) owns Warrants for 749,027 shares of Common Stock, plus other warrants for 336,047 shares of Common Stock, plus 9,687,646 shares of Common Stock.  Oracle Institutional Partners, L.P. (“Institutional Partners”) owns Warrants for 101,770 shares of Common Stock, plus other warrants for 470,465 shares of Common Stock, plus 2,029,237 shares of Common Stock.  In addition, Oracle Ten Fund Master, L.P. (“Ten Fund”) owns warrants to purchase 537,674 shares of Common Stock, plus 2,513,742 shares of Common Stock.
 
Larry N. Feinberg serves as the managing member of Oracle Associates, LLC, the general partner of Partners, Institutional Partners and Ten Fund, and accordingly, may be deemed to be the indirect beneficial owner of the shares beneficially owned by Partners, Institutional Partners and Ten Fund. Mr. Feinberg is the sole shareholder, director and president of Oracle Investment Management, Inc., which serves as investment manager to Ten Fund, and accordingly, may be deemed to be the beneficial owner of the shares beneficially owned by Ten Fund. Mr. Feinberg disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.
   
(2)
This amount represents the weighted average purchase price of the 25,000 shares purchased by Feinberg Family Foundation for $1.60 per share and the 100,000 shares purchased by Oracle Investment Management, Inc. Employees’ Retirement Plan (the “Retirement Plan”) for $1.71 per share.
 
(3)
After giving effect to this second transaction, in addition to the shares owned by The Feinberg Family Foundation and the Retirement Plan disclosed in footnote 2 above, Oracle Partners, L.P. (“Partners”) owns Warrants for 749,027 shares of Common Stock, plus other warrants for 336,047 shares of Common Stock, plus 9,812,646 shares of Common Stock.  Oracle Institutional Partners, L.P. (“Institutional Partners”) owns Warrants for 101,770 shares of Common Stock, plus other warrants for 470,465 shares of Common Stock, plus 2,029,237 shares of Common Stock.  In addition, Oracle Ten Fund Master, L.P. (“Ten Fund”) owns warrants to purchase 537,674 shares of Common Stock, plus 2,513,742 shares of Common Stock. Larry N. Feinberg serves as the trustee of the Feinberg Family Foundation and is the sole shareholder, director and president of Oracle Investment Management, Inc., which serves as investment manager to the Retirement Plan, and accordingly, may be deemed to be the beneficial owner of the shares beneficially owned by the Feinberg Family Foundation and the Retirement Plan. Mr. Feinberg disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.
 
 
 
EX-99.2 3 f18637996b.htm JOINT FILER INFORMATION AND SIGNATURES
Designated Filer: FEINBERG LARRY N
Issuer & Ticket Symbol: Biolase, Inc. [BIOL]
Date of Event Requiring Statement: November 8, 2016
 
 
 
Joint Filer Information and Signatures

Dated:  November 10, 2016
ORACLE PARTNERS, LP
 
By:  ORACLE ASSOCIATES, LLC, its general partner
 
 
By: /s/ Larry N. Feinberg                   
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
  
Dated:  November 10, 2016
 
ORACLE ASSOCIATES, LLC
 
 
By: /s/ Larry N. Feinberg                    
    Name:  Larry N. Feinberg
    Title:    Managing Member
 
 
  
 
Dated:  November 10, 2016
 
LARRY N. FEINBERG
 
 
/s/ Larry N. Feinberg                            
 
     

 
 
 
Designated Filer: FEINBERG LARRY N
Issuer & Ticket Symbol: Biolase, Inc. [BIOL]
Date of Event Requiring Statement: November 8, 2016
 
 
 
Dated:  November 10, 2016
 
THE FEINBERG FAMILY FOUNDATION
 
 
By: /s/ Larry N. Feinberg                                                                            
    Name:  Larry N. Feinberg
    Title:    Trustee
 
 
Dated:  November 10, 2016
 
ORACLE INVESTMENT MANAGEMENT, INC. EMPLOYEES’ RETIREMENT PLAN
 
 
By: /s/ Larry N. Feinberg                                                                            
    Name:  Larry N. Feinberg
    Title:    Trustee