Filing Details

Accession Number:
0001181431-14-016852
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-24 14:59:09
Reporting Period:
2014-04-22
Filing Date:
2014-04-24
Accepted Time:
2014-04-24 14:59:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1432732 Trivascular Technologies Inc. TRIV Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1302106 D Ryan Drant 1954 Greenspring Drive
Suite 600
Timonium MD 21093
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 2014-04-22 583,333 $12.00 583,333 No 4 P Indirect See Note 1
Common Stock Acquisiton 2014-04-22 797,208 $0.00 1,380,541 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-04-22 383,249 $0.00 1,763,790 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-04-22 531,758 $0.00 2,295,548 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-04-22 1,236,487 $0.00 3,532,035 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-04-22 411,234 $0.00 3,943,269 No 4 C Indirect See Note 1
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2014-04-22 797,208 $0.00 797,208 $0.00
Common Stock Series B Preferred Stock Disposition 2014-04-22 383,249 $0.00 383,249 $0.00
Common Stock Series C Preferred Stock Disposition 2014-04-22 531,758 $0.00 531,758 $0.00
Common Stock Series D Preferred Stock Disposition 2014-04-22 1,236,487 $0.00 1,236,487 $0.00
Common Stock Series E Preferred Stock Acquisiton 2013-11-01 411,234 $0.00 411,234 $0.00
Common Stock Series E Preferred Stock Disposition 2014-04-22 411,234 $0.00 411,234 $0.00
Series D Preferred Stock Warrant to Purchase Series D Preferred Stock (right to buy) Disposition 2014-04-22 55,831 $15.81 55,831 $0.00
Common Stock Warrant to Purchase Common Stock (right to buy) Acquisiton 2014-04-22 55,831 $0.00 55,831 $15.81
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
411,234 No 4 A Indirect
0 No 4 C Indirect
0 2012-02-02 2019-02-02 No 4 C Indirect
55,831 2012-02-02 2019-02-02 No 4 C Indirect
Footnotes
  1. The Reporting Person is a manager of NEA 12 GP, LLC, which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.
  2. Each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into 0.03845959625192770 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.
  3. Each share of Series C Preferred Stock converted in to 0.03899558573514530 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.
  4. Each share of Series D Preferred Stock and each share of Series E Preferred Stock converted into 0.02464875523786050 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.