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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/02/20 Pura Vida Investments, LLC SC 13G 2:128K Establishment Labs Holdings Inc. M2 Compliance LLC/FA |
Document/Exhibit Description Pages Size
1: SC 13G Statement of Acquisition of Beneficial Ownership HTML 51K
by a "Passive" Investor
2: EX-1 Underwriting Agreement or Conflict Minerals Report HTML 7K
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Establishment Labs Holdings Inc.
(Name of Issuer)
Common Shares, No Par Value
(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ ] Rule 13d-1(b)
[X] 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).
C:
| CUSIP No. | G31249108 |
| 1. | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Pura Vida Investments, LLC |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)
[ ] |
| 3. | SEC
USE ONLY |
| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION Delaware |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 |
| 6. | SHARED VOTING POWER
1,195,284 | |
| 7. | SOLE DISPOSITIVE POWER
0 | |
| 8. | SHARED DISPOSITIVE POWER
1,195,284 |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,195,284 |
| 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)
5.12% |
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA |
C:
CUSIP No. |
G31249108 |
| 1. | NAME
OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Efrem Kamen |
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a)
[ ] |
| 3. | SEC
USE ONLY |
| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION United States of America |
| NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5. | SOLE VOTING POWER
0 |
| 6. | SHARED VOTING POWER
1,195,284 | |
| 7. | SOLE DISPOSITIVE POWER
0 | |
| 8. | SHARED DISPOSITIVE POWER
1,195,284 |
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,195,284 |
| 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)
5.12% |
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN, HC |
C:
| CUSIP No. | G31249108 | |
| Item 1. | (a). | Name of Issuer: |
| Establishment Labs Holdings Inc. | ||
| (b). | Address of issuer’s principal executive offices: | |
Buildings B15 and 25 Coyol Free Zone Alajuela Costa Rica | ||
| Item 2. | (a). | Name of person filing: |
| Pura Vida Investments, LLC | ||
| Efrem Kamen | ||
| Address or principal business office or, if none, residence: | ||
| (b). | Pura Vida Investments, LLC | |
| 150 East 52nd Street Suite 32001 | ||
| New York, New York 10022 | ||
| Efrem Kamen | ||
| c/o Pura Vida Investments, LLC | ||
| 150 East 52nd Street Suite 32001 | ||
| New York, New York 10022 | ||
| (c). | Citizenship: | |
| Pura Vida Investments, LLC – Delaware limited liability company | ||
| Efrem Kamen – United States of America | ||
| (d) | Title of class of securities: | |
| Common Shares, No Par Value | ||
| CUSIP No.: | ||
| (e). | G31249108 | |
| Item 3. | If This Statement is filed pursuant to §§.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a |
| (a) | [_] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). | |
| (b) | [_] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). | |
| (c) | [_] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). | |
| (d) | [_] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). | |
| (e) | [_] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); | |
| (f) | [_] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); | |
| (g) | [_] | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); | |
| (h) | [_] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); | |
| (i) | [_] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |
| (j) | [_] | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); | |
| (k) | [_] | Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
| 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: |
| Pura Vida Investments, LLC – 1,195,284 shares | |
| Efrem Kamen – 1,195,284 shares |
| (b) | Percent of class: |
| Pura Vida Investments, LLC – 5.12%* | |
| Efrem Kamen – 5.12%* |
| (c) | Number of shares as to which Pura Vida Investments, LLC has: |
| (i) | Sole power to vote or to direct the vote | 0 | , | |
| (ii) | Shared power to vote or to direct the vote | 1,195,284 | , | |
| (iii) | Sole power to dispose or to direct the disposition of | 0 | , | |
| (iv) | Shared power to dispose or to direct the disposition of | 1,195,284 | . | |
| Number of shares as to which Efrem Kamen has: | ||||
| (i) | Sole power to vote or to direct the vote | 0 | , | |
| (ii) | Shared power to vote or to direct the vote | 1,195,284 | , | |
| (iii) | Sole power to dispose or to direct the disposition of | 0 | , | |
| (iv) | Shared power to dispose or to direct the disposition of | 1,195,284 | . | |
*Shares reported herein are held by Pura Vida Master Fund, Ltd. (the “Pura Vida Master Fund”) and certain separately managed accounts (the “Accounts”). Pura Vida Investments, LLC (“PVI”) serves as the investment manager to the Pura Vida Master Fund and the Accounts. Efrem Kamen serves as the Managing Member of PVI.
By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the Shares owned directly by the Pura Vida Master Fund and the Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the Shares for purposes of Section 13 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the Shares reported herein except to the extent of the Reporting Person’s pecuniary interest therein.
The percentages herein are calculated based upon (i) a statement in the Issuer’s Quarterly Report on Form 10-Q filed on August 7, 2020 for the quarter ended June 30, 2020 that there were 23,367,033 shares of Common Stock issued and outstanding as of August 6, 2020.
| 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 [ ].
| N/A |
| Item 6. | Ownership of More Than Five Percent on Behalf of Another Person. |
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than 5 percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
| 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. |
If a parent holding company or control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
| N/A |
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| Item 8. | Identification and Classification of Members of the Group. |
If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d- 1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.
| N/A |
| Item 9. | Notice of Dissolution of Group. |
Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
| 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 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, other than activities solely in connection with a nomination under § 240.14a-11.
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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.
| Dated: October 2, 2020 | Pura Vida Investments, LLC | |
| By: | /s/ Efrem Kamen | |
| Name: | Efrem Kamen | |
| Title: | Managing Member | |
| /s/ Efrem Kamen | ||
| Efrem Kamen | ||
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s.240.13d-7 for other parties for whom copies are to be sent.
Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).
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| This ‘SC 13G’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 10/2/20 | |||
| 9/25/20 | 10-K/A, 8-K, CORRESP | |||
| 8/7/20 | 10-Q | |||
| 8/6/20 | 8-K | |||
| 6/30/20 | 10-Q, 13F-HR, 13F-HR/A, 4 | |||
| List all Filings | ||||