Page 2 of 21 – SEC Filing
|CUSIP No. 03767D 108|
PTV Sciences II, L.P.
Check the Appropriate Box if a Member
(a) ☐ (b) ☒ (1)
SEC USE ONLY
Source of Funds (See Instructions)
Check if Disclosure of Legal
Citizenship or Place of
Sole Voting Power
Shared Voting Power
Sole Dispositive Power
Shared Dispositive Power
Aggregate Amount Beneficially Owned by Each Reporting Person
Check if the Aggregate Amount in Row
Percent of Class Represented by Amount
Type of Reporting Person (See
|(1)||This Schedule 13D is filed by PTV Sciences II, L.P. (PTV II), PTV IV, L.P. (PTV IV), PTV Special Opportunities I, L.P. (PTV SO), PTV Evergreen Fund, L.P. (PTV EG), Pinto |
Technology Ventures GP II, L.P. (PTV GP II), PTV GP IV, L.P.(PTV GP IV), PTV GP SO I, L.P. (PTV GP SO), PTV GP Evergreen, L.P. (PTV GP EG), Pinto TV GP Company LLC (PTV GP Management II),
PTV GP III Management, LLC (PTV GP Management IV), Matthew S. Crawford (Crawford) and Rick D. Anderson (Anderson, together with PTV II, PTV IV, PTV SO, PTV EG, PTV GP II, PTV GP IV, PTV GP SO, PTV GP EG, PTV GP
Management II, PTV GP Management IV and Crawford, the Reporting Persons). The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D.
|(2)||Includes 2,199,186 shares of Common Stock held by PTV II, 1,347,565 shares of Common Stock held by PTV IV, 605,712 shares held by PTV SO and 1,266,909 shares held by PTV EG. See Item 5 for discussion of voting and |
dispositive power over shares held by PTV II, PTV IV, PTV SO and PTV EG.
|(3)||This percentage is calculated based upon an estimated 17,252,299 shares of the Issuers common stock outstanding as of July 26, 2017, as reported by the Issuer in the Form 10-Q filed with the SEC on |
August 1, 2017.