- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2016-10-25 13:18:43
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2016-10-25 13:18:43
- SEC Url:
- Form 4 Filing
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1340806||K Vijay Lathi||C/o New Leaf Venture Partners |
7 Times Square, Suite 3502
New York NY 10036
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||2016-10-25||1,716,589||$0.00||1,716,589||No||4||C||Indirect||See Footnote|
|Common Stock||Acquisiton||2016-10-25||25,000||$17.00||1,741,589||No||4||P||Indirect||See Footnote|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
Reported Derivative Transactions
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Common Stock||Series C Convertible Preferred Stock||Disposition||2016-10-25||610,136||$0.00||1,370,887||$0.00|
|Common Stock||Series D Convertible Preferred Stock||Disposition||2016-10-25||190,154||$0.00||190,154||$0.00|
|Common Stock||Series E Convertible Preferred Stock||Disposition||2016-10-25||155,548||$0.00||155,548||$0.00|
|Common Stock||Series D Preferred Stock Warrant (Right to Buy)||Disposition||2016-10-25||72,389||$0.00||72,389||$0.00|
|Remaning Holdings||Exercise Date||Expiration Date||Equity Swap Involved||Transaction Form Type||Transaction Code||Nature of Ownership|
- The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.
- The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
- The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
- Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.
- Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein.