Filing Details

Accession Number:
0001181431-13-060007
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-20 19:13:35
Reporting Period:
2013-11-20
Filing Date:
2013-11-20
Accepted Time:
2013-11-20 19:13:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1416792 Relypsa Inc RLYP Pharmaceutical Preparations (2834) 260893742
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219014 M Scott Rocklage C/O 5Am Ventures
2200 Sand Hill Road, Suite 110
Menlo Park CA 94025
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-20 757,187 $0.00 778,447 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 568,542 $0.00 1,346,989 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 576,958 $0.00 1,923,947 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 207,347 $0.00 2,131,294 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 47,849 $0.00 2,179,143 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 37,056 $9.18 2,216,199 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 30,942 $11.00 2,185,257 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 74,281 $0.17 2,259,538 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 1,162 $11.00 2,258,376 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 17,141 $0.17 2,275,517 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 269 $11.00 2,275,248 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 29,876 $0.00 30,714 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 22,432 $0.00 53,146 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 22,765 $0.00 75,911 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 8,181 $0.00 84,092 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 1,888 $0.00 85,980 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 1,461 $9.18 87,441 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 1,220 $11.00 86,221 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 2,931 $0.17 89,152 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 46 $11.00 89,106 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 676 $0.17 89,782 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 11 $11.00 89,771 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 1,234,230 $0.00 1,234,230 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 284,822 $0.00 1,519,052 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 442,160 $0.17 1,961,212 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 6,914 $11.00 1,954,298 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 102,036 $0.17 2,056,334 No 4 M Indirect See Footnotes
Common Stock Disposition 2013-11-20 1,596 $11.00 2,054,738 No 4 F Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 363,328 $11.00 2,418,066 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2013-11-20 31,809 $0.00 31,809 No 4 C Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 C Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 M Indirect See Footnotes
No 4 F Indirect See Footnotes
No 4 P Indirect See Footnotes
No 4 C Indirect See Footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A-1 Preferred Stock Disposition 2013-11-20 757,187 $0.00 757,187 $0.00
Common Stock Series B-1 Preferred Stock Disposition 2013-11-20 386,754 $0.00 568,542 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2013-11-20 576,958 $0.00 576,958 $0.00
Common Stock Series C-1 Preferred Stock Disposition 2013-11-20 207,347 $0.00 207,347 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2013-11-20 47,849 $0.00 47,849 $0.00
Common Stock Series A-1 Preferred Stock Disposition 2013-11-20 29,876 $0.00 29,876 $0.00
Common Stock Series B-1 Preferred Stock Disposition 2013-11-20 15,260 $0.00 22,432 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2013-11-20 22,765 $0.00 22,765 $0.00
Common Stock Series C-1 Preferred Stock Disposition 2013-11-20 8,181 $0.00 8,181 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2013-11-20 1,888 $0.00 1,888 $0.00
Common Stock Series C-1 Preferred Stock Disposition 2013-11-20 1,234,230 $0.00 1,234,230 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2013-11-20 284,822 $0.00 284,822 $0.00
Common Stock Series C-1 Preferred Stock Disposition 2013-11-20 31,809 $0.00 31,809 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2013-11-20 7,340 $0.00 7,340 $0.00
Series B-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 25,208 $0.00 25,208 $13.50
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 37,056 $0.00 37,056 $9.18
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 37,056 $0.00 37,056 $9.18
Series C-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 74,281 $0.00 74,281 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 74,281 $0.00 74,281 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 74,281 $0.00 74,281 $0.17
Series C-2 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 17,141 $0.00 17,141 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 17,141 $0.00 17,141 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 17,141 $0.00 17,141 $0.17
Series B-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 994 $0.00 994 $13.50
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 1,461 $0.00 1,461 $9.18
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 1,461 $0.00 1,461 $9.18
Series C-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 2,931 $0.00 2,931 $0.17
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 2,931 $0.00 2,931 $0.17
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 2,931 $0.00 2,931 $0.17
Series C-2 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 676 $0.00 676 $0.17
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 2013-11-20 No 4 J Indirect
37,056 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
74,281 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
17,141 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
1,461 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
2,931 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M Indirect
0 2013-11-20 No 4 J Indirect
Footnotes
  1. Reflects a 1-for-17.2 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
  2. Each share of Series A-1 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  3. Shares directly beneficially owned by 5AM Ventures II, L.P.
  4. 5AM Partners II, LLC is the general partner of 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners II, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
  5. Each share of Series B-1 Preferred Stock was automatically converted on a 1.47003745318352-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  6. Each share of Series B-2 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  7. Each share of Series C-1 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  8. Each share of Series C-2 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
  9. Shares disposed of in connection with net share settlement of outstanding warrants, which resulted in the cancellation of underlying shares to the Issuer, and which did not involve any sale of shares.
  10. Shares directly beneficially owned by 5AM Co-Investors II, L.P.
  11. Shares directly beneficially owned by 5AM Ventures III, L.P.
  12. Shares directly beneficially owned by 5AM Co-Investors III, L.P.
  13. 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners III, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
  14. The shares are immediately convertible.
  15. The shares do not have an expiration date.
  16. Immediately prior to the closing of the Issuer's initial public offering, the warrant to purchase shares of Series B-1 Preferred Stock automatically converted on a 1.47003745318352-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
  17. This warrant is immediately exercisable.
  18. Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-1 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
  19. Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-2 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.