UpHealth, Inc.
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(Name of Company)
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Common Stock, Par Value $0.0001 per share
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(Title of Class of Securities)
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91532B101
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(CUSIP Number)
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
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June 9, 2021
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(Date of Event which Requires Filing of this Statement)
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1
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NAMES OF REPORTING PERSONS
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Syed Sabahat Azim
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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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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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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India
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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6,116,842
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,116,8421
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.2%2
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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CUSIP No. 91532B101
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1
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NAMES OF REPORTING PERSONS
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Richa Sana Azim
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐ | ||
(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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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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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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India
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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6,116,842
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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6,116,8423
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12
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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)
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5.2%
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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CUSIP No. 91532B101
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1
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NAMES OF REPORTING PERSONS
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Kimberlite Social Infra Private Limited
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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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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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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India
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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684,981
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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684,981
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐ | ||
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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0.58%4
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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CUSIP No. 91532B101
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1
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NAMES OF REPORTING PERSONS
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Eligere Limited Liability Company
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
|
||||
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|
||||
3
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SEC USE ONLY
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||||
4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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OO
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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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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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6,116,842
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|||
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||||
8
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SHARED VOTING POWER
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0 |
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9
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SOLE DISPOSITIVE POWER
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0 |
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|||
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||||
10
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SHARED DISPOSITIVE POWER
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0 |
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|||
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|
||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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|
|
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6,116,8425
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|
|||
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|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
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|
||||
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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5.2%
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|||
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||||
14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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PN
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Item 1.
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Security and Issuer.
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Item 2.
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Identity and Background.
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(a)
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This statement is being filed jointly on behalf of the following (collectively, the “Reporting Persons”):
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a. |
Dr. Azim, the Company’s Chief Executive Officer of International Operations, the husband of Ms. Azim and a director and equity owner of Kimberlite;
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b. |
Ms. Azim, a director and equity owner of Kimberlite and the wife of Dr. Azim;
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c. |
Kimberlite, a private non-government company organized and registered in India; and
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d. |
Eligere, a Delaware limited liability company.
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(b) |
The address of Dr. Azim and Ms. Azim is 98, Ideal Villas, Mouza Koch Puku7r, New Town Action Area 1A, Rajarhat, Kolkata 700156. The address and principal business office of Kimberlite is Ideal Villa, Villa no 98, Koch Pukur, South 24
Parganas, 700156. The address and principal business office of Eligere is 9 Hawser Way, Randolph, NJ 07869.
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(c) |
Dr. Azim’s present principal occupation or employment is (i) Chief Executive Officer of International Operations of the Company and (ii) Chief Executive Officer and a director of Glocal Healthcare Systems
Private Limited (“Glocal”). Ms Azim’s principal occupation or employment is Chief Budget & Monitoring officer, Promoter and a director of Glocal. Eligere’s principal business is investment.
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(d) |
During the last five years, none of the Reporting Persons has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
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(e) |
During the last five years, none of the Reporting Persons has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to 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 violation with respect to such laws.
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(f) |
Dr. Azim and Ms. Azim are citizens of India. Kimberlite is organized and registered in India. Eligere is organized in Delaware.
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Item 3.
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Source and Amount of Funds or Other Consideration.
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Item 4.
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Purpose of Transaction.
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(a) |
The acquisition by any person of additional securities of the Company, or the disposition of securities of the Company;
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(b) |
An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Company or any of its subsidiaries;
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(c) |
A sale or transfer of a material amount of assets of the Company or any of its subsidiaries;
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(d) |
Any change in the present board of directors or management of the Company, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
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(e) |
Any material change in the present capitalization or dividend policy of the Company;
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(f) |
Any other material change in the Company’s business or corporate structure including but not limited to, if the Company is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy
for which a vote is required by section 13 of the Investment Company Act of 1940;
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(g) |
Changes in the Company’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Company by any person;
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(h) |
Causing a class of securities of the Company to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
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(i) |
A class of equity securities of the Company becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or
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(j) |
Any action similar to any of those enumerated above.
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Item 5.
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Interest in Securities of the Issuer.
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(a) |
As of the date of the Closing, the Reporting Persons beneficially own the following aggregate shares of Common Stock:
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a. |
Dr. Azim beneficially owns an aggregate of 6,116,842 shares of Common Stock, or 5.2%.
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b. |
Ms. Azim beneficially owns an aggregate of 6,116,842 shares of Common Stock, or 5.2%.
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c. |
Kimberlite beneficially owns an aggregate of 684,981 shares of Common Stock, or 0.58%.
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d. |
Eligere beneficially owns an aggregate of 6,116,842 shares of Common Stock, or 5.2%.
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(b) |
Dr. Azim has sole voting power with respect to no shares of Common Stock and shared dispositive power with respect to 6,116,842 shares of Common Stock. Ms. Azim has sole voting power with respect to no shares of Common Stock and shared
dispositive power with respect to 6,116,842 shares of Common Stock. Kimberlite has sole voting power with respect to no shares of Common Stock and shared dispositive power with respect to 684,981 shares of Common Stock. Eligere has sole
voting power with respect to 6,116,842 shares of Common Stock and no dispositive power with respect to any shares of Common Stock.
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(c) |
Except as set forth in this Schedule 13D, none of the Reporting Persons has engaged in any transaction with respect to the Common Stock during the sixty days prior to the date of filing of this Schedule 13D.
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(d) |
To the best knowledge of the Reporting Persons, no one other than the Reporting Persons, or the members, affiliates or shareholders of the Reporting Persons, is known to have the right to receive, or the power to direct the receipt of,
dividends from, or proceeds from the sale of, the shares of Common Stock reported herein as beneficially owned by the Reporting Persons.
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(e) |
Not applicable.
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Item 6.
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Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
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Item 7.
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Material to be Filed as Exhibits.
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Joint Filing Agreement, dated June 18, 2021. | |
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Exhibit 99.2: | Option Agreement, dated May 14, 2021. |
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Exhibit 99.3: |
Powers of Attorney of Syed Sabahat Azim, Richa Sana Azim, Kimberlite Social Infra Private Limited and Eligere Limited Liability Company.
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SYED SABAHAT AZIM
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By:
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/s/ Julie A. D’Angelo
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Julie A. D’Angelo, Attorney-in-Fact
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(pursuant to Limited Power of Attorney dated 6/15/21)
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RICHA SANA AZIM
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By:
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/s/ Julie A. D’Angelo
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Julie A. D’Angelo, Attorney-in-Fact
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(pursuant to Limited Power of Attorney dated 6/15/21)
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KIMBERLITE SOCIAL INFRA PRIVATE LIMITED
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By:
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Syed Sabahat Azim
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Director
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|||
By:
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/s/ Julie A. D’Angelo
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Julie A. D’Angelo, Attorney-in-Fact
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(pursuant to Limited Power of Attorney dated 6/15/21)
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ELIGERE LIMITED LIABILITY COMPANY
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By:
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Saima Siddiqui
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Sole Member
|
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By:
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/s/ Julie A. D’Angelo
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Julie A. D’Angelo, Attorney-in-Fact
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|||
(pursuant to Limited Power of Attorney dated 6/15/21)
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