UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | Â (6) | Â (7) | Common Stock | 5,482 (1) (8) | $ 0 | I | See Footnotes (2) (5) |
Series A Preferred Stock | Â (6) | Â (7) | Common Stock | 2,582 (1) (8) | $ 0 | I | See Footnotes (3) (5) |
Series A Preferred Stock | Â (6) | Â (7) | Common Stock | 288,917 (1) (8) | $ 0 | I | See Footnotes (4) (5) |
Series B Preferred Stock | Â (6) | Â (7) | Common Stock | 4,063 (1) (9) | $ 0 | I | See Footnotes (2) (5) |
Series B Preferred Stock | Â (6) | Â (7) | Common Stock | 1,913 (1) (9) | $ 0 | I | See Footnotes (3) (5) |
Series B Preferred Stock | Â (6) | Â (7) | Common Stock | 214,118 (1) (9) | $ 0 | I | See Footnotes (4) (5) |
Series C Preferred Stock | Â (6) | Â (7) | Common Stock | 6,320 (1) (10) | $ 0 | I | See Footnotes (2) (5) |
Series C Preferred Stock | Â (6) | Â (7) | Common Stock | 2,975 (1) (10) | $ 0 | I | See Footnotes (3) (5) |
Series C Preferred Stock | Â (6) | Â (7) | Common Stock | 333,119 (1) (10) | $ 0 | I | See Footnotes (4) (5) |
Series D Preferred Stock | Â (6) | Â (7) | Common Stock | 5,058 (1) (11) | $ 0 | I | See Footnotes (2) (5) |
Series D Preferred Stock | Â (6) | Â (7) | Common Stock | 2,382 (1) (11) | $ 0 | I | See Footnotes (3) (5) |
Series D Preferred Stock | Â (6) | Â (7) | Common Stock | 266,543 (1) (11) | $ 0 | I | See Footnotes (4) (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Versant Ventures II LLC 3000 SAND HILL ROAD BUILDING 4, SUITE 210 MENLO PARK, CA 94025 |
 |  X |  |  |
Versant Side Fund II, LP 3000 SAND HILL ROAD BLDG. 4, STE. 210 MENLO PARK, CA 94025 |
 |  X |  |  |
Versant Affiliates Fund II-A, LP 3000 SAND HILL ROAD BLDG. 4, STE. 210 MENLO PARK, CA 94025 |
 |  X |  |  |
Versant Venture Capital II, LP 3000 SAND HILL ROAD BLDG. 4, STE. 210 MENLO PARK, CA 94025 |
 |  X |  |  |
Versant Venture Capital II, L.P. By: /s/ Robin L. Praeger, Attorney-in-Fact | 03/11/2014 | |
**Signature of Reporting Person | Date | |
Versant Side Fund II, L.P. By: /s/ Robin L. Praeger, Attorney-in-Fact | 03/11/2014 | |
**Signature of Reporting Person | Date | |
Versant Affiliates Fund II-A, L.P. By: /s/ Robin L. Praeger, Attorney-in-Fact | 03/11/2014 | |
**Signature of Reporting Person | Date | |
Versant Ventures II, LLC By: /s/ Robin Preager, CFO | 03/11/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Reflects a 1-for-11 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. |
(2) | Securities held of record by Versant Affiliates Fund II-A, L.P. ("VAF-IIA"). |
(3) | Securities held of record by Versant Side Fund II, L.P. ("VSF II"). |
(4) | Securities held of record by Versant Venture Capital II, L.P. ("VVC II"). |
(5) | Versant Ventures II, LLC ("VV II") serves as the sole general partner of VAF II-A, VSF II and VVC II and owns no shares directly. Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Donald B. Milder, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, and Barbara N. Lubash, as managing directors of VV II, share voting and investment authority over the shares held by VAF II-A, VSF II and VVC II; however, they disclaim beneficial ownership of the shares held by VAF II-A, VSF II and VVC II except to the extent of their pecuniary interests therein. |
(6) | The shares will convert into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(7) | The shares do not have an expiration date. |
(8) | Each share of Series A Preferred Stock will automatically convert on a 1-to-1.147541 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(9) | Each share of Series B Preferred Stock will automatically convert on a 1-to-1.328671 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(10) | Each share of Series C Preferred Stock will automatically convert on a 1-to-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(11) | Each share of Series D Preferred Stock will automatically convert on a 1-to-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |