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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 Preferred Stock | (1) | 05/28/2013 | C | 15,642 | (1) | (6) | Common Stock | 15,642 | $ 0 | 0 | I | MPM Asset Management Investors 2003 BVIII LLC (5) | |||
Series A Preferred Stock | (1) | 05/28/2013 | C | 68,280 | (1) | (6) | Common Stock | 68,280 | $ 0 | 0 | I | MPM Bioventures III GmbH & Co. Beteiligungs KG (5) | |||
Series A Preferred Stock | (1) | 05/28/2013 | C | 24,400 | (1) | (6) | Common Stock | 24,400 | $ 0 | 0 | I | MPM BioVentures III Parallel Fund, L.P. (5) | |||
Series A Preferred Stock | (1) | 05/28/2013 | C | 54,323 | (1) | (6) | Common Stock | 54,323 | $ 0 | 0 | I | MPM BioVentures III, L.P. (5) | |||
Series A Preferred Stock | (1) | 05/28/2013 | C | 807,939 | (1) | (6) | Common Stock | 807,939 | $ 0 | 0 | I | MPM BioVentures III-QP, L.P. (5) | |||
Series B Preferred Stock | (2) | 05/28/2013 | C | 10,710 | (2) | (6) | Common Stock | 10,710 | $ 0 | 0 | I | MPM Asset Management Investors 2003 BVIII LLC (5) | |||
Series B Preferred Stock | (2) | 05/28/2013 | C | 46,752 | (2) | (6) | Common Stock | 46,752 | $ 0 | 0 | I | MPM Bioventures III GmbH & Co. Beteiligungs KG (5) | |||
Series B Preferred Stock | (2) | 05/28/2013 | C | 16,707 | (2) | (6) | Common Stock | 16,707 | $ 0 | 0 | I | MPM BioVentures III Parallel Fund, L.P. (5) | |||
Series B Preferred Stock | (2) | 05/28/2013 | C | 37,196 | (2) | (6) | Common Stock | 37,196 | $ 0 | 0 | I | MPM BioVentures III, L.P. (5) | |||
Series B Preferred Stock | (2) | 05/28/2013 | C | 553,204 | (2) | (6) | Common Stock | 553,204 | $ 0 | 0 | I | MPM BioVentures III-QP, L.P. (5) | |||
Series C Preferred Stock | (3) | 05/28/2013 | C | 10,658 | (3) | (6) | Common Stock | 10,658 | $ 0 | 0 | I | MPM Asset Management Investors 2003 BVIII LLC (5) | |||
Series C Preferred Stock | (3) | 05/28/2013 | C | 46,526 | (3) | (6) | Common Stock | 46,526 | $ 0 | 0 | I | MPM Bioventures III GmbH & Co. Beteiligungs KG (5) | |||
Series C Preferred Stock | (3) | 05/28/2013 | C | 16,625 | (3) | (6) | Common Stock | 16,625 | $ 0 | 0 | I | MPM BioVentures III Parallel Fund, L.P. (5) | |||
Series C Preferred Stock | (3) | 05/28/2013 | C | 37,016 | (3) | (6) | Common Stock | 37,016 | $ 0 | 0 | I | MPM BioVentures III, L.P. (5) | |||
Series C Preferred Stock | (3) | 05/28/2013 | C | 550,530 | (3) | (6) | Common Stock | 550,530 | $ 0 | 0 | I | MPM BioVentures III-QP, L.P. (5) | |||
Series D Preferred Stock | (4) | 05/28/2013 | C | 2,334 | (4) | (6) | Common Stock | 2,334 | $ 0 | 0 | I | MPM Asset Management Investors 2003 BVIII LLC (5) | |||
Series D Preferred Stock | (4) | 05/28/2013 | C | 10,189 | (4) | (6) | Common Stock | 10,189 | $ 0 | 0 | I | MPM Bioventures III GmbH & Co. Beteiligungs KG (5) | |||
Series D Preferred Stock | (4) | 05/28/2013 | C | 3,641 | (4) | (6) | Common Stock | 3,641 | $ 0 | 0 | I | MPM BioVentures III Parallel Fund, L.P. (5) | |||
Series D Preferred Stock | (4) | 05/28/2013 | C | 8,106 | (4) | (6) | Common Stock | 8,106 | $ 0 | 0 | I | MPM BioVentures III, L.P. (5) | |||
Series D Preferred Stock | (4) | 05/28/2013 | C | 120,566 | (4) | (6) | Common Stock | 120,566 | $ 0 | 0 | I | MPM BioVentures III-QP, L.P. (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GALAKATOS NICHOLAS C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
X |
/s/ Sally A. Kay, as attorney-in-fact | 05/28/2013 | |
**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) | Upon the closing of the Issuer's initial public offering, each share of Series A Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(2) | Upon the closing of the Issuer's initial public offering, each share of Series B Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(3) | Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(4) | Upon the closing of the Issuer's initial public offering, each share of Series D Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(5) | MPM BioVentures III GP, L.P. and MPM BioVentures III LLC ("MPM III LLC") are the direct and indirect general partners of MPM BioVentures III, L.P., MPM BioVentures III-QP, L.P., MPM BioVentures III GmbH & Co. Beteiligungs KG and MPM BioVentures III Parallel Fund, L.P. Dr. Galakatos is a Series A member of MPM BioVentures III LLC and Manager of MPM Asset Management Investors 2003 BVIII LLC and shares voting and dispositive power over the shares held by MPM BioVentures III, L.P., MPM BioVentures III-QP, L.P., MPM BioVentures III GmbH & Co. Beteiligungs KG, MPM BioVentures III Parallel Fund, L.P. and MPM Asset Management Investors 2003 BVIII LLC. Dr. Galakatos disclaims beneficial ownership of the shares identified in this footnote except to the extent of his respective proportionate pecuniary interest in such shares. |
(6) | The shares do not have an expiration date. |