Amended Statement of Ownership (sc 13g/a)
09 February 2019 - 8:03AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED
PURSUANT TO RULES 13d-1(b), (c) AND (d)
AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2
(Amendment No. 3)*
Neptune Wellness Solutions Inc.
(Name of Issuer)
Common
Shares
(Title of Class of Securities)
64077P108
(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:
* 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 No. 64077P108
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13G
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Page 2 of 6
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1.
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NAMES OF REPORTING PERSONS
Con Egan
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)
¨
(b)
¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Ireland
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NUMBER
OF SHARES BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON WITH
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5.
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SOLE VOTING POWER
4,747,962 (1)
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6.
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SHARED VOTING POWER
0
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7.
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SOLE DISPOSITIVE POWER
4,747,962 (1)
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8.
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SHARED DISPOSITIVE POWER
0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,747,962 (1)
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES
(see instructions)
¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.9%
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12.
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TYPE OF REPORTING PERSON (see instructions)
IN
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(1)
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Includes 117,144 shares owned by Mr. Egan’s children.
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CUSIP No. 64077P108
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13G
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Page 3 of 6
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Item 1.
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(a)
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Name of Issuer
Neptune Wellness Solutions Inc.
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(b)
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Address of Issuer’s Principal Executive Offices
545 Promenade du Centropolis, Suite 100, Laval, Quebec, Canada H7T 0A3
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Item 2.
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(a)
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Name of Person Filing
Con Egan
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(b)
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Address of the Principal Office or, if None, Residence
441 Lexington Avenue, Suite 1221, New York, New York 10017
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(c)
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Citizenship
Ireland
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(d)
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Title of Class of Securities
Common Shares
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(e)
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CUSIP Number
64077P108
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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:
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(a)
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¨
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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¨
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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¨
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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¨
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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¨
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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¨
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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¨
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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¨
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨
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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);
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(j)
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¨
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A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
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(k)
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¨
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Group, in accordance with §240.13d-1(b)(1)(ii)(K).
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CUSIP No. 64077P108
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13G
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Page 4 of 6
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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)
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Amount beneficially owned:
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4,747,962
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(b)
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Percent of class:
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5.9%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
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4,747,962
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(ii)
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Shared power to vote or to direct the vote:
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0
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(iii)
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Sole power to dispose or to direct the disposition of:
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4,747,962
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(iv)
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Shared power to dispose or to direct the disposition of:
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0
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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 5 percent of the class of securities,
check the following
¨
.
Item 6. Ownership of More than Five Percent on
Behalf of Another Person.
Included as shares for which there exists sole voting and dispositive
power are 117,144 shares owned by Mr. Egan’s children, which children would have the right to the receipt of the dividends
from, and the proceeds from the sale of, such shares.
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.
CUSIP No. 64077P108
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13G
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Page 5 of 6
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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, other than activities solely in connection with a nomination under Section 240.14a-11.
CUSIP No. 64077P108
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13G
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Page 6 of 6
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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.
February 7, 2019
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Date
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/s/ Con Egan
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Signature
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Con Egan
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Name/Title
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