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Filing Details

Accession Number:: 0000906344-14-000024
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-04-24 16:04:30
Reporting Period:: 2014-04-22

Filing Date:: 2014-04-24
Accepted Time:: 2014-04-24 16:04:30
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	Director	Officer	Large Shareholder	Other
1255743	J James Bochnowski	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1270734	Deepika Pakianathan	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1270735	A Douglas Roeder	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	Yes	No	Yes	No
1271389	L David Douglass	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1336922	P L Vii Ventures Delphi	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1346198	Delphi Bioinvestments Vii Lp	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1436285	Delphi Ventures Viii Lp	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1451526	Delphi Bioinvestments Viii Lp	C/O Delphi Ventures 3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1457493	Delphi Management Partners Vii, L.l.c.	3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No
1457494	Delphi Management Partners Viii, L.l.c.	3000 Sand Hill Road, Bldg.1, Suite 135 Menlo Park CA 94025	No	No	Yes	No

Reported Non-Derivative Transactions

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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	833,333	$12.00	833,333	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-04-22	574,933	$0.00	1,408,266	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2014-04-22	384,594	$0.00	1,792,860	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2014-04-22	424,918	$0.00	2,217,778	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2014-04-22	970,167	$0.00	3,187,945	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2014-04-22	347,965	$0.00	3,535,910	No	4	C	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2014-04-22	574,933	$0.00	574,933	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-04-22	384,594	$0.00	384,594	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-04-22	424,918	$0.00	424,918	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-04-22	970,167	$0.00	970,167	$0.00
Common Stock	Series E Preferred Stock	Acquisiton	2013-11-01	347,965	$0.00	347,965	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-04-22	347,965	$0.00	347,965	$0.00
Series D Preferred Stock	Warrant to Purchase Series D Preferred Stock (right to buy)	Disposition	2014-04-22	45,094	$15.81	45,094	$0.00
Common Stock	Warrant to Purchase Common Stock (right to buy)	Acquisiton	2014-04-22	45,094	$0.00	45,094	$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
347,965			No	4	A	Indirect
0			No	4	C	Indirect
0	2012-02-02	2019-02-02	No	4	C	Indirect
45,094	2012-02-02	2019-02-02	No	4	C	Indirect

Footnotes

These securities are directly held as follows: 247,525 shares by Delphi Ventures VII, L.P. ("Ventures VII"), 2,475 shares by Delphi BioInvestments VII, L.P. ("BioInvestments VII" and together with Ventures VII, the "Delphi VII Funds"), 577,692 shares by Delphi Ventures VIII, L.P. ("Ventures VIII") and 5,641 shares by Delphi BioInvestments VIII, L.P. ("BioInvestments VIII" and together with Ventures VIII, the "Delphi VIII Funds" and collectively with the Delphi VII Funds, the "Delphi Funds"). Delphi Management Partners VII, L.L.C. ("DMP VII") is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. Delphi Management Partners VIII, L.L.C. ("DMP VIII") is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds.
Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
These securities are directly held as follows: 569,241 shares by Ventures VII and 5,692 shares by BioInvestments VII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of DMP VII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
These securities are directly held as follows: 114,236 shares by Ventures VII, 1,142 shares by BioInvestments VII, 266,613 shares by Ventures VIII and 2,603 shares by BioInvestments VIII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. DMP VIII is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
These securities are directly held as follows: 105,298 shares by Ventures VII, 1,052 shares by BioInvestments VII, 315,489 shares by Ventures VIII and 3,079 shares by BioInvestments VIII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. DMP VIII is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds. The Reporting Person is a managing member of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. The Reporting Person disclaims beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
These securities are directly held as follows: 270,867 shares by Ventures VII, 2,707 shares by BioInvestments VII, 689,858 shares by Ventures VIII and 6,735 shares by BioInvestments VIII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. DMP VIII is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
These securities are directly held as follows: 157,386 shares by Ventures VII, 1,573 shares by BioInvestments VII, 187,179 shares by Ventures VIII and 1,827 shares by BioInvestments VIII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. DMP VIII is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.
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.
Each share of Series C Preferred Stock converted into 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.
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.
These securities are directly held as follows: 25,754 shares by Ventures VII, 257 shares by BioInvestments VII, 18,899 shares by Ventures VIII and 184 shares by BioInvestments VIII. DMP VII is the general partner of each of Ventures VII and BioInvestments VII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VII Funds. DMP VIII is the general partner of each of Ventures VIII and BioInvestments VIII and may be deemed to have sole voting and dispositive power over the securities held by the Delphi VIII Funds. Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D. are the managing members of each of DMP VII and DMP VIII and may be deemed to share voting and dispositive power over the securities held by the Delphi Funds. Such persons and entities disclaim beneficial ownership of the securities held by the Delphi Funds, except to the extent of any pecuniary interest therein.