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Form SC 13G/A Vringo Inc Filed by: DAG Ventures IV-QP, L.P.

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February 17, 2015 12:02 PM EST

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1

(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2

(Amendment No. 1)*

 

 

Vringo, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

92911N 10 4

(CUSIP Number)

December 31, 2014

(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 disclosures provided in a prior cover page.

The information required on 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 NO. 92911N104   13G   Page 2 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

DAG Ventures IV-QP, L.P.

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  3   

SEC USE ONLY

 

  4   

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware, United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

PN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by DAG Ventures IV-QP, L.P. (“DAG IV-QP”), DAG Ventures IV, L.P. (“DAG IV”), DAG Ventures Management IV, LLC (“DAG IV LLC”), Messrs. R. Thomas Goodrich, John J. Cadeddu, Greg Williams, Young J. Chung and Nick Pianim (collectively, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 3 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

DAG Ventures IV, L.P.

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  3   

SEC USE ONLY

 

  4   

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware, United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

PN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 4 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

DAG Ventures Management IV, LLC

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  3   

SEC USE ONLY

 

  4   

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware, United States of America

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

    5    

SOLE VOTING POWER

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

OO

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 5 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

R. Thomas Goodrich

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  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

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 6 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

John J. Cadeddu

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  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

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 7 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

Greg Williams

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  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

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 8 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

Young J. Chung

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  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

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 9 of 13 Pages

 

  1   

NAMES OF REPORTING PERSONS

 

Nick Pianim

  2   

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 

(a)  ¨        (b)  x (1)

  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

 

   6    

SHARED VOTING POWER

 

0 shares of Common Stock

   7    

SOLE DISPOSITIVE POWER

 

   8    

SHARED DISPOSITIVE POWER

 

0 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

0

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

 

0.0%

12  

TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 

IN

 

(1) This Amendment No. 1 to the statement on Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

CUSIP NO. 92911N104   13G   Page 10 of 13 Pages

 

Item 1(a) Name of Issuer:

Vringo, Inc. (the “Issuer”)

 

Item 1(b) Address of issuer’s principal executive offices:

780 THIRD AVENUE, 15TH FLOOR

NEW YORK NEW YORK 10017

 

Items 2(a) Name of Reporting Persons filing:

DAG Ventures IV-QP, L.P. (“DAG IV-QP”)

DAG Ventures IV, L.P. (“DAG IV”)

DAG Ventures Management IV, LLC (“DAG IV LLC”)

R. Thomas Goodrich

John J. Cadeddu

Greg Williams

Young J. Chung

Nick Pianim

 

Item 2(b) Address or principal business office or, if none, residence:

DAG Ventures

251 Lytton Avenue, Suite 200

Palo Alto, California 94301

United States of America

 

Item 2(c) Citizenship:

 

Name

   

Citizenship or Place of Organization

DAG IV-QP

    Delaware, United States of America

DAG IV

    Delaware, United States of America

DAG IV LLC

    Delaware, United States of America

R. Thomas Goodrich

    United States of America

John J. Cadeddu

    United States of America

Greg Williams

    United States of America

Young J. Chung

    United States of America

Nick Pianim

    United States of America

 

Item 2(d) Title of class of securities:

Common Stock

 

Item 2(e) CUSIP No.:

92911N 10 4

 

Item 3 If this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filings is a:

Not applicable.

CUSIP NO. 92911N104   13G   Page 11 of 13 Pages

 

Item 4 Ownership

The following information with respect to the ownership of Common Stock of the Issuer by the Reporting Persons filing this Amendment No. 1 to the statement on Schedule 13G as of December 31, 2014:

 

Reporting Persons

    Shares Held
Directly		      Sole
Voting
Power		      Shared
Voting
Power (1)		      Sole
Dispositive
Power		      Shared
Dispositive
Power (1)		      Beneficial
Ownership
(1)		      Percentage
of Class (1)		  

DAG IV-QP

      0         0         0         0         0         0         0.0 % 

DAG IV

      0         0         0         0         0         0         0.0 % 

DAG IV LLC (2)

      0         0         0         0         0         0         0.0 % 

R. Thomas Goodrich (2)

      0         0         0         0         0         0         0.0 % 

John J. Cadeddu (2)

      0         0         0         0         0         0         0.0 % 

Greg Williams (2)

      0         0         0         0         0         0         0.0 % 

Young J. Chung (2)

      0         0         0         0         0         0         0.0 % 

Nick Pianim (2)

      0         0         0         0         0         0         0.0 % 

 

(1) Represents the number of shares of Common Stock currently underlying all Securities held by the Reporting Persons.
(2) DAG IV LLC serves as the general partner of DAG IV-QP and DAG IV. As such, DAG IV LLC possesses power to direct the voting and disposition of the shares owned by DAG IV-QP and DAG IV and may be deemed to have indirect beneficial ownership of the shares held by DAG IV-QP and DAG IV. DAG IV LLC owns no securities of the Issuer directly. Messrs. R. Thomas Goodrich, John J. Cadeddu, Greg Williams, Young J. Chung and Nick Pianim are Managing Directors of DAG IV LLC. As such, Messrs. R. Thomas Goodrich, John J. Cadeddu, Greg Williams, Young J. Chung and Nick Pianim possess power to direct the voting and disposition of the shares owned by DAG IV-QP and DAG IV and may be deemed to have indirect beneficial ownership of the shares held by DAG IV-QP and DAG IV. Messrs. R. Thomas Goodrich, John J. Cadeddu, Greg Williams, Young J. Chung and Nick Pianim own no securities of the Issuer directly.

 

Item 5 Ownership of 5 Percent or Less of a Class

Not applicable.

 

Item 6 Ownership of More than 5 Percent on Behalf of Another Person

If this statement is being filed to report the fact that as of the date hereof, the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following:  x

 

Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

Not applicable.

 

Item 8 Identification and Classification of Members of the Group

Not applicable.

 

Item 9 Notice of Dissolution of Group

Not applicable.

 

Item 10 Certifications

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.

CUSIP NO. 92911N104   13G   Page 12 of 13 Pages

 

SIGNATURES

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: February 13, 2015

DAG VENTURES IV-QP, L.P.

BY:

   DAG VENTURES MANAGEMENT IV, LLC

ITS:

   GENERAL PARTNER

By:

  

/s/ Nick Pianim

  Nick Pianim
  Managing Director
DAG VENTURES IV, L.P.

BY:

   DAG VENTURES MANAGEMENT IV, LLC

ITS:

   GENERAL PARTNER

By:

  

/s/ Nick Pianim

  Nick Pianim
  Managing Director

DAG VENTURES MANAGEMENT IV, LLC

/s/ Nick Pianim

Nick Pianim
Managing Director

/s/ R. Thomas Goodrich

R. Thomas Goodrich

/s/ John J. Cadeddu

John J. Cadeddu

/s/ Greg Williams

Greg Williams

/s/ Young Chung

Young J. Chung

/s/ Nick Pianim

Nick Pianim

Exhibit(s):

 

Exhibit 99.1:    Joint Filing Statement
CUSIP No. 92911N104   13G   Exhibit 99.1

AGREEMENT

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of Common Stock of Vringo, Inc.

Dated: February 13, 2015

 

DAG VENTURES IV-QP, L.P.

BY:

   DAG VENTURES MANAGEMENT IV, LLC

ITS:

   GENERAL PARTNER

By:

  

/s/ Nick Pianim

  Nick Pianim
  Managing Director
DAG VENTURES IV, L.P.

BY:

   DAG VENTURES MANAGEMENT IV, LLC

ITS:

   GENERAL PARTNER

By:

  

/s/ Nick Pianim

  Nick Pianim
  Managing Director

DAG VENTURES MANAGEMENT IV, LLC

/s/ Nick Pianim

Nick Pianim
Managing Director

/s/ R. Thomas Goodrich

R. Thomas Goodrich

/s/ John J. Cadeddu

John J. Cadeddu

/s/ Greg Williams

Greg Williams

/s/ Young Chung

Young J. Chung

/s/ Nick Pianim

Nick Pianim

 

Page 13


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