Filing Details

Accession Number:
0001181431-13-060044
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-20 21:50:51
Reporting Period:
2013-11-20
Filing Date:
2013-11-20
Accepted Time:
2013-11-20 21:50:51
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
1247851 Ronald Hunt C/o New Leaf Ventures
7 Times Square, Suite 3502
New York NY 10036
Yes No No Yes
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 2013-11-20 497,093 $0.00 497,093 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-11-20 381,733 $0.00 878,826 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-11-20 378,773 $0.00 1,257,599 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-11-20 541,960 $0.00 1,799,559 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-11-20 125,067 $0.00 1,924,626 No 4 C Indirect See Footnote
Common Stock Acquisiton 2013-11-20 25,977 $9.18 1,950,603 No 4 M Indirect See Footnote
Common Stock Disposition 2013-11-20 21,691 $11.00 1,928,912 No 4 F Indirect See Footnote
Common Stock Acquisiton 2013-11-20 185,978 $11.00 2,114,890 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 M Indirect See Footnote
No 4 F Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A-1 Preferred Stock Disposition 2013-11-20 497,093 $0.00 497,093 $0.00
Common Stock Series B-1 Preferred Stock Disposition 2013-11-20 259,676 $0.00 381,733 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2013-11-20 378,773 $0.00 378,773 $0.00
Common Stock Series C-1 Preferred Stock Disposition 2013-11-20 541,960 $0.00 541,960 $0.00
Common Stock Series C-2 Preferred Stock Disposition 2013-11-20 125,067 $0.00 125,067 $0.00
Series B-1 Preferred Stock Warrant to Purchase Preferred Stock Disposition 2013-11-20 17,671 $0.00 17,671 $13.50
Common Stock Warrant to Purchase Common Stock Acquisiton 2013-11-20 25,977 $0.00 25,977 $9.18
Common Stock Warrant to Purchase Common Stock Disposition 2013-11-20 25,977 $0.00 25,977 $9.18
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 2013-11-20 No 4 J Indirect
25,977 2013-11-20 No 4 J Indirect
0 2013-11-20 No 4 M 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. Represents shares directly beneficially owned by New Leaf Ventures I, L.P. ("NLV-I"). New Leaf Venture Management I, L.P. is the general partner of NLV-I and New Leaf Venture Management I, L.L.C. ("NLVM-I LLC ") is the general partner of New Leaf Venture Management I, L.P. Ronald M. Hunt is a member of the Issuer's board of directors. As an individual manager of NLVM-I LLC along with five other individual managers, Mr. Hunt disclaims beneficial ownership of the shares beneficially owned by the funds noted above, and in all events disclaims pecuniary interest except to the extent of his economic interest.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. The shares are immediately convertible.
  10. The shares do not have an expiration date.
  11. 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.
  12. 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.
  13. This warrant is immediately exercisable.