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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (1) | 11/04/2013 | C | 7,190,864 | (1) | (1) | Common Stock | 1,797,716 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series A Convertible Preferred Stock | (1) | 11/04/2013 | C | 42,469 | (1) | (1) | Common Stock | 10,617 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) | |||
Series B Convertible Preferred Stock | (1) | 11/04/2013 | C | 3,992,420 | (1) | (1) | Common Stock | 998,105 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series B Convertible Preferred Stock | (1) | 11/04/2013 | C | 23,580 | (1) | (1) | Common Stock | 5,895 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 11/04/2013 | C | 3,196,673 | (1) | (1) | Common Stock | 799,168 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 11/04/2013 | C | 18,880 | (1) | (1) | Common Stock | 4,720 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Versant Ventures III, LLC 3000 SAND HILL ROAD BUILDING FOUR, SUITE 210 MENLO PARK, CA 94025 |
X | |||
Versant Venture Capital III, L.P. 3000 SAND HILL ROAD BUILDING FOUR, SUITE 210 MENLO PARK, CA 94025 |
X | |||
Versant Side Fund III, L.P. 3000 SAND HILL ROAD BUILDING FOUR, SUITE 210 MENLO PARK, CA 94025 |
X |
/s/ Brian G. Atwood, as Managing Director | 11/04/2013 | |
**Signature of Reporting Person | Date | |
/s/ Brian G. Atwood, as Managing Director | 11/04/2013 | |
**Signature of Reporting Person | Date | |
/s/ Brian G. Atwood, as Managing Director | 11/04/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each outstanding share of convertible preferred stock automatically converted into 0.25 shares of common stock upon closing of the Issuer's initial public offering and has no expiration date. |
(2) | Versant Ventures III, LLC is the sole general partner of Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. and has voting and dispositive power with respect to these shares. The individual managing members of Versant Ventures III, LLC are Brian G. Atwood, Bradley J. Bolzon, Samuel D. Colella, Ross A. Jaffe, William J. Link, Barbara N. Lubash, Donald B. Milder, Rebecca B. Robertson, and Charles M. Warden (collectively, the "Managing Members"), all of whom share voting and investment power with respect to these shares. Each individual Managing Member disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest in such shares. |