LumiraDx Limited
|
Common Shares, par value $0.0000028 per share
|
Zwanziger Ventures LLC
148 Dartmouth Street Newton, MA 02465 |
(Date of Event Which Requires Filing of this Statement)
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CUSIP No. G5709L109
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SCHEDULE 13D
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Ron Zwanziger
|
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|||
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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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||
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|||
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||||
4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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||
N/A (please see Item 3)
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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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||||
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||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Massachusetts, United States
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
6,286,911
|
|
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|||
|
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||||
8
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SHARED VOTING POWER
|
|
|
||
37,817,156
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|
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|||
|
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||||
9
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SOLE DISPOSITIVE POWER
|
|
|
||
6,286,911
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|
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|||
|
|
||||
10
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SHARED DISPOSITIVE POWER
|
|
|
||
37,817,156
|
|
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|||
|
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||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
44,104,067
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
|
||
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||||
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|
||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
50.3%
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|||
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|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
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|||
|
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CUSIP No. G5709L109
|
SCHEDULE 13D
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Janet Zwanziger
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
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|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
N/A (please see Item 3)
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|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Massachusetts, United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
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)
|
|
|
||
46.4%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
CUSIP No. G5709L109
|
SCHEDULE 13D
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Zwanziger Family Ventures LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
N/A (please see Item 3)
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware, United States
|
|
|
|||
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|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
37,817,156
|
|
|
|||
|
|
||||
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)
|
|
|
||
46.4%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G5709L109
|
SCHEDULE 13D
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Zwanziger Ventures LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
N/A (please see Item 3)
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware, United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
12,028,308
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
12,028,308
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
12,028,308
|
|
|
|||
|
|
||||
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)
|
|
|
||
21.0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
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(a) |
This Schedule 13D is being filed on behalf of Ron Zwanziger, Janet Zwanziger, Zwanziger Family Ventures LLC and Zwanziger Ventures LLC (together, the “Reporting Persons”).
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(b) |
The principal business address of the Reporting Persons is 148 Dartmouth Street, Newton, MA 02465, United States of America.
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(c) |
The present principal occupation of Ron Zwanziger is Co-Founder, Chairman of the Board of Directors and Chief Executive Officer of the Issuer. The principal business address of Ron Zwanziger is listed in Item 2(b).
Janet Zwanziger is a retired psychiatrist and the wife of Ron Zwanziger. The principal address of Janet Zwanziger is listed in Item 2(b).
Zwanziger Family Ventures LLC is a limited liability company organized under the laws of the State of Delaware. The principal business address of Zwanziger Family Ventures LLC is listed in Item 2(b). Ron Zwanziger and Janet Zwanziger
jointly manage and control Zwanziger Family Ventures LLC, which was formed for the benefit of Ron and Janet Zwanziger’s family.
Zwanziger Ventures LLC is a limited liability company organized under the laws of the State of Delaware. The principal business address of Zwanziger Ventures LLC is listed in Item 2(b). Ron Zwanziger and Janet Zwanziger jointly manage
and control Zwanziger Ventures LLC.
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(d) |
In the past five years, the Reporting Persons have not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
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(e) |
In the past five years, the Reporting Persons have not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction that has resulted in a judgment, decree or final order enjoining future violations
of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws.
|
(f) |
Ron Zwanziger and Janet Zwanziger are citizens of the United States. Zwanziger Family Ventures LLC and Zwanziger Ventures LLC are Delaware limited liability companies.
|
(a) |
The aggregate number and percentage of Common Shares beneficially owned by the Reporting Persons (on the basis of a total of 45,346,825 Common Shares outstanding as of February 24, 2022, the same amount of outstanding Common Shares
reported in the Issuer’s Shell Company Report on Form 20-F filed with the Securities and Exchange Commission on September 29, 2021 (the “20-F”), which is incorporated by reference herein (see Exhibit
C)) are included in the table below. Pursuant to Rule 13d-3(d)(i)(1), any percentage ownership of Common Stock disclosed herein reflects the percentage ownership that the applicable Reporting Person would hold if they exercised
their rights to acquire Common Shares, without any other person exercising similar rights. These percentages should not be taken to reflect any Reporting Person’s proportion of economic interest or voting power in the Issuer.
|
Name of
Beneficial
Owner
|
Number of
Shares to
which the
Reporting
Person has:
|
Sole
power to
vote or
direct the
vote:
|
Shared
power to
vote or
direct the
vote:
|
Sole
power to
dispose or
to direct
the
disposition
of:
|
Shared
power to
dispose or
to direct
the
disposition
of:
|
Percentage:
|
Ron Zwanziger
|
44,104,067
|
6,286,911
|
37,817,156
|
6,286,911
|
37,817,156
|
50.3%
|
Janet Zwanziger
|
37,817,156
|
0
|
37,817,156
|
0
|
37,817,156
|
46.4%
|
Zwanziger Family Ventures LLC
|
37,817,156
|
0
|
37,817,156
|
0
|
37,817,156
|
46.4%
|
Zwanziger Ventures LLC
|
12,028,308
|
0
|
12,028,308
|
0
|
12,028,308
|
21.0%
|
(b)
|
See item 5(a) above.
|
(c) |
The information contained in Item 3 above is herein incorporated by reference. Except as described therein, the Reporting Persons have not effected any transactions in the Common Shares during the past 60 days.
|
(d) |
The Reporting Persons have the right to receive the proceeds from the sale of the Common Shares reported on the cover page of this Schedule 13D and in this
Item 5. Except for the foregoing, no other person is known by the Reporting Persons to have the right to receive or the power to direct the receipt of the proceeds from the sale of the Common Shares beneficially owned by the Reporting
Persons.
|
(e) |
Not applicable.
|
Exhibit A
|
Joint Filing Agreement by and among Janet Zwanziger, Ron Zwanziger, Zwanziger Family Ventures LLC and Zwanziger Ventures LLC, dated February 24, 2022.
|
|
Exhibit B
|
Registration Statement on Form F-4 (Registration No. 333-257745 ) filed by the Issuer with the SEC on July 7, 2021 (as amended on and before September 1, 2021) is hereby incorporated by reference.
|
|
Exhibit C
|
Issuer’s Shell Company Report on Form 20-F filed with the Securities and Exchange Commission on September 29, 2021, is hereby incorporated by reference.
|
|
Exhibit D
|
Amended and Restated Memorandum and Articles of Association of the Issuer, incorporated by reference to Exhibit 1.1 to the Shell Company Report on Form 20-F filed by the Issuer with the SEC on September 29,
2021, is hereby incorporated by reference.
|
|
Exhibit E
|
Warrant Instrument in Respect of Warrants to Subscribe for Ordinary Shares in the Issuer, dated as of October 3, 2016, issued by the Company to certain warrant holders, attached as Exhibit 4.12 to the F-4,
is hereby incorporated by reference.
|
|
Exhibit F
|
Warrant Instrument in Respect of Warrants to Subscribe for Common Shares in the Issuer, dated as of July 1, 2020, issued by the Issuer to certain warrant holders, attached as Exhibit 4.18 to the F-4, is
hereby incorporated by reference.
|
|
Exhibit G
|
Amended and Restated Company Holders Support Agreement, by and among the Issuer and certain existing equityholders of the Issuer, attached as Exhibit 4.22 of the F-4, is hereby incorporated by reference.
|
Date: February 24, 2022
|
|||
JANET ZWANZIGER
|
|||
By:
|
/s/ Janet Zwanziger |
||
Name:
|
Janet Zwanziger |
||
RON ZWANZIGER
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
ZWANZIGER FAMILY VENTURES LLC
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
Title:
|
Manager |
||
ZWANZIGER VENTURES LLC
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
Title:
|
Manager |
Date: February 24, 2022
|
|||
JANET ZWANZIGER
|
|||
By:
|
/s/ Janet Zwanziger |
||
Name:
|
Janet Zwanziger |
||
RON ZWANZIGER
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
ZWANZIGER FAMILY VENTURES LLC
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
Title:
|
Manager |
||
ZWANZIGER VENTURES LLC
|
|||
By:
|
/s/ Ron Zwanziger | ||
Name:
|
Ron Zwanziger |
||
Title:
|
Manager |