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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 B Convertible Preferred Stock | (1) | 04/08/2014 | C | 6,859,066 | (1) | (1) | Common Stock | 679,115 (2) | $ 0 | 0 | D | ||||
Series C Convertible Preferred Stock | (1) | 04/08/2014 | C | 20,485,926 | (1) | (1) | Common Stock | 2,028,309 (2) | $ 0 | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 397,718 | (3) | 08/02/2017 | Common Stock | 397,718 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 26,385 | (3) | 08/02/2017 | Common Stock | 26,385 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 214,149 | (3) | 08/02/2017 | Common Stock | 214,149 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 1,114 | (3) | 08/02/2017 | Common Stock | 1,114 | (3) | 0 | D | ||||
Warrant to Purchase Common Stock | (3) | 04/08/2014 | X | 218,279 | (3) | 08/02/2017 | Common Stock | 218,279 | (3) | 0 | D | ||||
Warrant to Purchase Series C Convertible Preferred Stock | (4) | 04/08/2014 | X | 109,015 | (4) | 07/02/2020 | Common Stock | 794 (2) | (4) | 0 | D | ||||
Warrant to Purchase Series C Convertible Preferred Stock | (4) | 04/08/2014 | X | 54,507 | (4) | 12/29/2020 | Common Stock | 397 (2) | (4) | 0 | D | ||||
Convertible Promissory Notes | (5) | 04/08/2014 | C | 3,387,146 | (5) | 07/01/2017 | Common Stock | 3,387,146 | (5) | 0 (5) | D | ||||
Convertible Promissory Notes | (5) | 04/08/2014 | C | 1,999,898 | (5) | 07/01/2017 | Common Stock | 1,999,898 | (5) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESSEX WOODLANDS HEALTH VENTURES FUND VII LP C/O ESSEX WOODLANDS HEALTH VENTURES 335 BRYANT STREET, THIRD FLOOR PALO ALTO, CA 94301 |
X |
/s/Lowell Segal, Attorney-in-fact | 04/08/2014 | |
**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) | The shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock in connection with the Issuer's initial public offering and had no expiration date. |
(2) | The number of shares reflects a 10.1-for-1 reverse stock split of all outstanding shares of Common Stock effected on March 21, 2014. |
(3) | The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $2.12100 per share. |
(4) | The warrants were automatically net exercised in connection with the Issuer's initial public offering at an exercise price of $7.41140 per share. |
(5) | The principal amount and accrued interest automatically converted into the specified number of shares of Common Stock in connection with the Issuer's initial public offering. |