Filing Details

Accession Number:
0001209191-15-036341
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2015-04-27 14:40:15
Reporting Period:
2015-04-14
Filing Date:
2015-04-27
Accepted Time:
2015-04-27 14:40:15
Original Submission Date:
2015-04-14
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1348911 Carbylan Therapeutics Inc. CBYL Pharmaceutical Preparations (2834) 200915291
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1397906 Albert Cha C/O Vivo Capital Llc
575 High Street, Suite 201
Palo Alto CA 94301
Yes No No 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 2015-04-14 2,476,452 $0.00 2,476,452 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 18,140 $0.00 2,494,592 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 387,960 $0.00 2,882,552 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 2,842 $0.00 2,885,394 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 304,438 $0.00 3,189,832 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 2,230 $0.00 3,192,062 No 4 C Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 1,005,136 $5.00 4,197,198 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2015-04-14 7,364 $5.00 4,204,562 No 4 P 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 C Indirect See Footnotes
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Convertible Preferred Stock Disposition 2015-04-14 2,476,452 $0.00 2,476,452 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2015-04-14 18,140 $0.00 18,140 $0.00
Common Stock Convertible Promissory Note Disposition 2015-04-14 387,960 $0.00 387,960 $0.00
Common Stock Convertible Promissory Note Disposition 2015-04-14 2,842 $0.00 2,842 $0.00
Common Stock Convertible Promissory Note Disposition 2015-04-14 304,438 $0.00 304,438 $0.00
Common Stock Convertible Promissory Note Disposition 2015-04-14 2,230 $0.00 2,230 $0.00
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
Footnotes
  1. Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a one for one basis without payment or further consideration, and has no expiration date.
  2. The reported shares are held directly by Vivo Ventures Fund VI, L.P. ("VIF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIF, except to the extent of such individual's or entity's pecuniary interests in the securities.
  3. The reported shares are held directly by Vivo Ventures VI Affiliates Fund, L.P. ("VIAF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIAF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIAF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIAF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIAF, except to the extent of such individual's or entity's pecuniary interests in the securities.
  4. The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 184 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
  5. The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 41 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
  6. The number of shares in Column 5 represents the aggregate number of shares directly beneficially owned by both VIF and VIAF. Albert Cha is one of the managers of Vivo LLC, the general partner of both VIF and VIAF.