CUSIP No. 572322402 |
13G |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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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. )*
Marshall Edwards, Inc.
(Name of Issuer)
Common Stock, $0.00000002 par value per share
(Title of Class of Securities)
572322402
(CUSIP Number)
July 25, 2011
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
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Rule 13d-1(c) |
o |
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 purposes 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. 572322402 |
13G |
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(1) |
Names of Reporting Persons | |||||
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(2) |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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(3) |
SEC Use Only | |||||
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(4) |
Citizenship or Place of Organization | |||||
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Number of |
(5) |
Sole Voting Power | |||||
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(6) |
Shared Voting Power ** | ||||||
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(7) |
Sole Dispositive Power | ||||||
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(8) |
Shared Dispositive Power ** | ||||||
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(9) |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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(10) |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||||
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(11) |
Percent of Class Represented by Amount in Row (9) | |||||
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(12) |
Type of Reporting Person (See Instructions) | |||||
** Heights Capital Management, Inc. is the investment manager to Capital Ventures International and as such may exercise voting and dispositive power over these shares.
CUSIP No. 572322402 |
13G |
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(1) |
Names of Reporting Persons | |||||
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(2) |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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(3) |
SEC Use Only | |||||
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(4) |
Citizenship or Place of Organization | |||||
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Number of |
(5) |
Sole Voting Power | |||||
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(6) |
Shared Voting Power ** | ||||||
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(7) |
Sole Dispositive Power | ||||||
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(8) |
Shared Dispositive Power ** | ||||||
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(9) |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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(10) |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||||
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(11) |
Percent of Class Represented by Amount in Row (9) | |||||
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(12) |
Type of Reporting Person (See Instructions) | |||||
** Heights Capital Management, Inc. is the investment manager to Capital Ventures International and as such may exercise voting and dispositive power over these shares.
CUSIP No. 572322402 |
13G |
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Item 1. | ||||||
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(a) |
Name of Issuer | ||||
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(b) |
Address of Issuers Principal Executive Offices | ||||
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Item 2 (a). |
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Name of Person Filing
(i) Capital Ventures International
(ii) Heights Capital Management, Inc. | ||||
Item 2 (b). |
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Address of Principal Business Office or, if none, Residence
One Capitol Place P.O Box 1787 GT Grand Cayman, Cayman Islands British West Indies
The address of the principal business office of Heights Capital Management, Inc. is:
101 California Street, Suite 3250 San Francisco, California 94111 | ||||
Item 2 (c). |
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Citizenship | ||||
Item 2 (d) |
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Title of Class of Securities | ||||
Item 2 (e) |
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CUSIP Number | ||||
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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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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). | |||
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(b) |
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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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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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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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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | |||
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(f) |
o |
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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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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A savings association 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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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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A non-U.S. institution in accordance with § 240.13d1(b)(1)(ii)(J); | |||
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(k) |
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Group, in accordance with Rule 13d1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d1(b)(1)(ii)(J), please specify the type of institution:____________________________ | |||
CUSIP No. 572322402 |
13G |
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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.
The information required by Items 4(a) (c) is set forth in Rows 5 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.
The number of Shares reported as beneficially owned consists of (i) 417,608 Shares, and (ii) 512,342 Shares issuable upon exercise of warrants to purchase Shares (the Warrants). The Warrants are not exercisable to the extent that the total number of Shares then beneficially owned by a Reporting Person and its Affiliates and any other Persons whose beneficial ownership of Shares would be aggregated with such Reporting Person for purposes of Section 13(d) of the Exchange Act, would exceed 9.99%.
The Companys Information Statement on Schedule 14C, dated on June 8, 2011 indicated there were 8,881,089 Shares outstanding as of July 5, 2011.
Heights Capital Management, Inc., which serves as the investment manager to Capital Ventures International, may be deemed to be the beneficial owner of all Shares owned by Capital Ventures International. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein. | |||
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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 five percent of the class of securities, check the following: o | |||
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person | ||
Not applicable. | |||
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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. | |||
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Item 8. |
Identification and Classification of Members of the Group | ||
Not Applicable | |||
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Item 9. |
Notice of Dissolution of Group | ||
Not applicable. | |||
CUSIP No. 572322402 |
13G |
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Item 10. |
Certification | ||
By signing below each of the undersigned certifies that, to the best of its 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.
Exhibits:
Exhibit I: Joint Filing Agreement, dated as of August 4, 2011, by and among Capital Ventures International and Heights Capital Management, Inc. | |||
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
Dated: August 4, 2011 |
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CAPITAL VENTURES INTERNATIONAL |
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HEIGHTS CAPITAL MANAGEMENT, INC. | ||
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By: Heights Capital Management, Inc. |
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By: |
/s/ Brian Sopinsky | |
pursuant to a Limited Power of Attorney |
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Name: |
Brian Sopinsky | |
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Title |
Secretary | |
By: |
/s/ Brian Sopinsky |
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Name: |
Brian Sopinsky |
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Title |
Secretary |
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The Limited Power of Attorney executed by Capital Ventures International, authorizing Heights Capital Management, Inc. to sign and file this Schedule 13G on its behalf, which was filed with the Schedule 13G filed with the Securities and Exchange Commission on December 1, 2006 by Capital Ventures International and Heights Capital Management, Inc. with respect to the common stock of Discovery Laboratories, Inc., is hereby incorporated by reference.
EXHIBIT I
JOINT FILING AGREEMENT
This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of Common Stock of Marshall Edwards, Inc., $0.00000002 par value per share, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.
Dated as of August 4, 2011 |
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CAPITAL VENTURES INTERNATIONAL |
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HEIGHTS CAPITAL MANAGEMENT, INC. | ||
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By: Heights Capital Management, Inc. |
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By: |
/s/ Brian Sopinsky | |
pursuant to a Limited Power of Attorney |
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Name: |
Brian Sopinsky | |
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Title |
Secretary | |
By: |
/s/ Brian Sopinsky |
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Name: |
Brian Sopinsky |
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Title |
Secretary |
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