0000858744-19-000019.txt : 20190214
0000858744-19-000019.hdr.sgml : 20190214
20190213183341
ACCESSION NUMBER: 0000858744-19-000019
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20190214
DATE AS OF CHANGE: 20190213
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: NEOVASC INC
CENTRAL INDEX KEY: 0001399708
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 000000000
STATE OF INCORPORATION: A1
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88568
FILM NUMBER: 19599521
BUSINESS ADDRESS:
STREET 1: 2135 13700 Mayfield place
CITY: RICHMOND
STATE: A1
ZIP: 00000
BUSINESS PHONE: 604-270-4344
MAIL ADDRESS:
STREET 1: 2135 13700 Mayfield place
CITY: RICHMOND
STATE: A1
ZIP: 00000
FORMER COMPANY:
FORMER CONFORMED NAME: Medical Ventures Corp
DATE OF NAME CHANGE: 20070516
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: SMALLCAP WORLD FUND INC
CENTRAL INDEX KEY: 0000858744
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 954253845
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 6455 IRVINE CENTER DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
BUSINESS PHONE: 213-486-9501
MAIL ADDRESS:
STREET 1: 333 S HOPE ST - 55TH FLOOR (GYR)
CITY: LOS ANGELES
STATE: CA
ZIP: 90071
FORMER COMPANY:
FORMER CONFORMED NAME: SMALLCAP FUND INC
DATE OF NAME CHANGE: 19900205
SC 13G
1
edgnvcn.txt
SC 13G
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Neovasc, Inc.
(Name of Issuer)
Common Shares
(Title of Class of Securities)
64065J205
(CUSIP Number)
December 31, 2018
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*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 the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
CUSIP: 64065J205 Page 1 of 5
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
SMALLCAP World Fund, Inc.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS) (a)
(b)
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Maryland
5 SOLE VOTING POWER
NONE
6 SHARED VOTING POWER
NUMBER OF
SHARES NONE
BENEFICIALL
Y OWNED BY
7 SOLE DISPOSITIVE POWER
EACH
REPORTING NONE
PERSON
WITH:
8 SHARED DISPOSITIVE POWER
NONE
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,437,828 See Additional information in Item 4.
Under certain circumstances, SMALLCAP World Fund may vote the shares
of the fund. These shares may also be reflected in a filing made by
Capital Research Global Investors, Capital International Investors,
and/or Capital World Investors
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.0%
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IV
CUSIP: 64065J205 Page 2 of 5
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Schedule 13G
Under the Securities Exchange Act of 1934
Amendment No.
Item 1(a) Name of Issuer:
Neovasc, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
Suite 5138, 13562 Maycrest Way
Richmond, British Columbia
Canada, V6V 2J7
Item 2(a) Name of Person(s) Filing:
SMALLCAP World Fund, Inc.
Item 2(b) Address of Principal Business Office or, if none,
Residence:
6455 Irvine Center Drive
Irvine, California 92618-4518
Item 2(c) Citizenship: N/A
Item 2(d) Title of Class of Securities:
Common Shares
Item 2(e) CUSIP Number:
64065J205
Item 3 If this statement is filed pursuant to sections 240.13d-1(b)
or 240.13d-2(b) or (c), check whether the person filing is a:
(d) [X] Investment company registered under section 8
of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
Item 4 Ownership
Provide the following information regarding the aggregate
number and percentage of the class of securities of the issuer
identified in Item 1.
(a) Amount beneficially owned:
(b) Percent of class:
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
(ii) Shared power to vote or to direct the vote:
(iii) Sole power to dispose or to direct the disposition of:
(iv) Shared power to dispose or to direct the disposition of:
See page 2
SMALLCAP World Fund, Inc., an investment company registered
under the Investment Company Act of 1940, which is advised by
Capital Research and Management Company ("CRMC"), is the
beneficial owner of 1,437,828 shares or 6% of the 23,663,984
shares believed to be outstanding. CRMC manages equity assets
for various investment companies through three divisions,
CUSIP: 64065J205 Page 3 of 5
Capital Research Global Investors, Capital World Investors, and
Capital International Investors. These divisions generally
function separately from each other with respect to investment
research activities and they make investment decisions and
proxy voting decisions for the investment companies on a
separate basis.
Shares reported include 28,290 shares resulting from the
assumed conversion of 28,290 Series A Warrants.
Item 5 Ownership of Five Percent or Less of a Class. If this
statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities,
check the following: [ ]
Item 6 Ownership of More than Five Percent on Behalf of Another
Person: N/A
Item 7 Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding
Company or Control Person: N/A
Item 8 Identification and Classification of Members of the Group:
N/A
Item 9 Notice of Dissolution of Group: N/A
Item 10 Certification
By signing below, I certify that, to the best of my knowledge
and belief, the securities referred to above were acquired and
are held in the ordinary course of business and were not
acquired and are not held for the purpose of or with the effect
of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose
or effect.
Signature
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this
statement is true, complete and correct.
Date: February 8, 2019
Signature: /s/ Michael W. Stockton
Name/Title: Michael W. Stockton - Secretary
SMALLCAP World Fund, Inc.
CUSIP: 64065J205 Page 4 of 5
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