Schedule 13D/A
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
(Name of Issuer)
(Title of Class of Securities)
(CUSIP Number)
ANSBERT GADICKE
MPM ASSET
MANAGEMENT
THE JOHN HANCOCK TOWER
200 CLARENDON STREET, 54TH FLOOR
BOSTON, MASSACHUSETTS 02116
TELEPHONE: (617)
425-9200
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons
initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing
information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be
filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to
the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM BioVentures III-QP, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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4,502,870(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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4,502,870(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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4,502,870(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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21.1%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule 13D amendment (the 13D/A) is filed by MPM BioVentures III-QP, L.P.
(BV III QP), MPM BioVentures III, L.P. (BV III), MPM BioVentures III Parallel Fund,
L.P. (BV III PF), MPM BioVentures III GmbH & Co. Beteiligungs KG (BV III KG), MPM Asset
Management Investors 2003 BVIII LLC (AM LLC), MPM Bio IV NVS Strategic Fund, L.P. (MPM
NVS), MPM BioVentures III GP, L.P. (BV III GP), MPM BioVentures III LLC (BV III LLC),
MPM BioVentures IV GP LLC (BV IV GP) and MPM BioVentures IV LLC (BV IV LLC and
collectively with BV III QP, BV III, BV III PF, BV III KG, AM LLC, MPM NVS, BV III GP, BV
III LLC and BV IV GP, the MPM Entities) and Luke Evnin, Ansbert Gadicke, Nicholas
Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III, Dennis Henner, Todd Foley,
Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander Vort (collectively,
the Listed Persons). BV III GP and BV III LLC are the direct and indirect general
partners of BV III QP, BV III, BV III PF and BV III KG. Luke Evnin, Ansbert Gadicke,
Nicholas Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III and Dennis Henner
are Series A members of BV III LLC and managers of AM LLC. BV IV GP and BV IV LLC are the
direct and indirect general partners of MPM NVS. Luke Evnin, Ansbert Gadicke, Todd Foley,
Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander Vort are members of
BV IV LLC.
(2) Consists of common stock, par value $0.0001 per share (Common Stock) of Radius
Health, Inc. (the Issuer), issuable upon conversion of 224,528 shares of Series A-1
Convertible Preferred Stock, 181,364 shares of Series A-2 Convertible Preferred Stock and
44,395 shares of Series A-3 Convertible Preferred Stock (collectively with the Issuers
Series A-4 Convertible Preferred Stock, Series A-5 Convertible Preferred Stock and Series
A-6 Convertible Preferred Stock, the Preferred Stock). The Preferred Stock is
convertible at any time, in whole or in part, at the election of the holder at a conversion
ratio of 10 shares of Common Stock for every one share of Preferred Stock. The Reporting
Person is a party to certain agreements with the Separately Filing Group Members (as
defined below), which agreements contain, among other things, certain voting agreements and
limitations on the sale of their shares of Common Stock. As a result, the Reporting Person
may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the
Exchange Act, comprised of the Reporting Person and the Separately Filing Group Members.
Shares listed as beneficially owned by the Reporting Persons exclude shares held by any
other Reporting Person or by any of the Separately Filing Group Members, in each case as to
which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the Securities and Exchange Commission (the SEC) on December 16, 2011. Because shares of
Preferred Stock vote together with Common Stock on an as-converted basis, such percentage
reflects the Reporting Persons voting percentage of the Issuers outstanding capital
stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1)
promulgated under the Securities Exchange Act of 1934, as amended (the Exchange Act),
which requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 4,502,870 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III QP), excluding
shares held by any of the Separately Filing Group Members, as to which the Reporting Person
disclaims beneficial ownership, it would result in an applicable percentage of 88.3%.
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM BioVentures III, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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302,750(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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302,750(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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302,750(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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1.4%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 15,096 shares of Series
A-1 Convertible Preferred Stock, 12,194 shares of Series A-2 Convertible Preferred Stock and
2,985 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at
any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock. The Reporting Person is a party to
certain agreements with the Separately Filing Group Members, which agreements contain, among
other things, certain voting agreements and limitations on the sale of their shares of Common
Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the
meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the
Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons
exclude shares held by any other Reporting Person or by any of the Separately Filing Group
Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which
consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of
Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December
15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers
Preliminary Information Statement on Schedule 14C, filed with the SEC on December 16, 2011.
Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such
percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital
stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1)
promulgated under the Exchange Act, which requires that only the outstanding shares of Common
Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 302,750 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV
III), excluding shares held by any of the Separately Filing Group Members, as to which the
Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of
33.6%.
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM Asset Management Investors 2003 BVIII LLC |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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87,160(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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87,160(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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87,160(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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0.4%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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00 |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 4,346 shares of Series
A-1 Convertible Preferred Stock, 3,511 shares of Series A-2 Convertible Preferred Stock and
859 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at
any time, in whole or in part, at the election of the holder at a conversion ratio of 10
shares of Common Stock for every one share of Preferred Stock. The Reporting Person is a
party to certain agreements with the Separately Filing Group Members, which agreements
contain, among other things, certain voting agreements and limitations on the sale of their
shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a
group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the
Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned
by the Reporting Persons exclude shares held by any other Reporting Person or by any of the
Separately Filing Group Members, in each case as to which the Reporting Persons disclaims
beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock,
which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880
shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding
as of December 15, 2011 following completion of the Offering (as defined below) as disclosed
in the Issuers Preliminary Information Statement on Schedule 14C, filed with the SEC on
December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an
as-converted basis, such percentage reflects the Reporting Persons voting percentage of the
Issuers outstanding capital stock. If the percentage calculation was calculated in
accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only
the outstanding shares of Common Stock and shares issuable upon conversion of derivative
securities held by the Reporting Person (i.e., 87,160 shares of Common Stock issuable upon
conversion of the Preferred Stock held by AM LLC), excluding shares held by any of the
Separately Filing Group Members, as to which the Reporting Person disclaims beneficial
ownership, it would result in an applicable percentage of 12.7%.
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM BioVentures III Parallel Fund, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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135,960(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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135,960(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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135,960(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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0.6%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 6,779 shares of
Series A-1 Convertible Preferred Stock, 5,477 shares of Series A-2 Convertible Preferred
Stock and 1,340 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is
convertible at any time, in whole or in part, at the election of the holder at a conversion
ratio of 10 shares of Common Stock for every one share of Preferred Stock. The Reporting
Person is a party to certain agreements with the Separately Filing Group Members, which
agreements contain, among other things, certain voting agreements and limitations on the
sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be
a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act,
comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as
beneficially owned by the Reporting Persons exclude shares held by any other Reporting
Person or by any of the Separately Filing Group Members, in each case as to which the
Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, as
amended (the Exchange Act), which requires that only the outstanding shares of Common
Stock and shares issuable upon conversion of derivative securities held by the Reporting
Person (i.e., 135,960 shares of Common Stock issuable upon conversion of the Preferred
Stock held by BV III PF), excluding shares held by any of the Separately Filing Group
Members, as to which the Reporting Person disclaims beneficial ownership, it would result
in an applicable percentage of 18.5%.
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM BioVentures III GmbH & Co. Beteiligungs KG |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Germany
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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380,540(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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380,540(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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|
11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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380,540(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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|
o
|
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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1.8%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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|
PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 18,975 shares of
Series A-1 Convertible Preferred Stock, 15,327 shares of Series A-2 Convertible Preferred
Stock and 3,752 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is
convertible at any time, in whole or in part, at the election of the holder at a conversion
ratio of 10 shares of Common Stock for every one share of Preferred Stock. The Reporting
Person is a party to certain agreements with the Separately Filing Group Members, which
agreements contain, among other things, certain voting agreements and limitations on the
sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be
a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act,
comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as
beneficially owned by the Reporting Persons exclude shares held by any other Reporting
Person or by any of the Separately Filing Group Members, in each case as to which the
Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 380,540 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III KG), excluding
shares held by any of the Separately Filing Group Members, as to which the Reporting Person
disclaims beneficial ownership, it would result in an applicable percentage of 38.8%.
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1 |
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NAMES OF REPORTING PERSONS(1)
MPM Bio IV NVS Strategic Fund, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) þ |
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(b) o |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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|
WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Bermuda
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7 |
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SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
2,987,790(2) |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
0 |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
2,987,790(2) |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
0 |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of
Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible
Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at
the election of the holder at a conversion ratio of 10 shares of Common Stock for every one
share of Preferred Stock. The Reporting Person is a party to certain agreements with the
Separately Filing Group Members, which agreements contain, among other things, certain
voting agreements and limitations on the sale of their shares of Common Stock. As a result,
the Reporting Person may be deemed to be a member of a group, within the meaning of
Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately
Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude
shares held by any other Reporting Person or by any of the Separately Filing Group Members,
in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 2,987,790 shares of
Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding
shares held by any of the Separately Filing Group Members, as to which the Reporting Person
disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
MPM BioVentures III GP, L.P. |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,322,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,322,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,322,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
24.9%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of
265,378 shares of Series A-1 Convertible Preferred Stock, 214,362 shares of Series A-2
Convertible Preferred Stock and 52,472 shares of Series A-3 Convertible Preferred Stock
held by BV III QP, BV III, BVIII PF and BV III KG. BV III GP and BV III LLC are the direct
and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Preferred
Stock is convertible at any time, in whole or in part, at the election of the holder at a
conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
Affiliates of the Reporting Person are a party to certain agreements with the Separately
Filing Group Members, which agreements contain, among other things, certain voting
agreements and limitations on the sale of their shares of Common Stock. As a result, the
Reporting Person may be deemed to be a member of a group, within the meaning of Section
13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately Filing
Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares
held by any other Reporting Person or by any of the Separately Filing Group Members, in
each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 5,322,120 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III,
BVIII PF and BV III KG), excluding shares held by any of the Separately Filing Group
Members, as to which the Reporting Person disclaims beneficial ownership, it would result
in an applicable percentage of 89.9%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
MPM BioVentures III LLC |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,322,120 (2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,322,120 (2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,322,120 (2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
24.9%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
OO |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of
265,378 shares of Series A-1 Convertible Preferred Stock, 214,362 shares of Series A-2
Convertible Preferred Stock and 52,472 shares of Series A-3 Convertible Preferred Stock
held by BV III QP, BV III, BVIII PF and BV III KG. BV III GP and BV III LLC are the direct
and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Preferred
Stock is convertible at any time, in whole or in part, at the election of the holder at a
conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
Affiliates of the Reporting Person are a party to certain agreements with the Separately
Filing Group Members, which agreements contain, among other things, certain voting
agreements and limitations on the sale of their shares of Common Stock. As a result, the
Reporting Person may be deemed to be a member of a group, within the meaning of Section
13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately Filing
Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares
held by any other Reporting Person or by any of the Separately Filing Group Members, in
each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 5,322,120 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III,
BVIII PF and BV III KG), excluding shares held by any of the Separately Filing Group
Members, as to which the Reporting Person disclaims beneficial ownership, it would result
in an applicable percentage of 89.9%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
MPM BioVentures IV GP, L.P. |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
PN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of
Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible
Preferred Stock held by MPM NVS. BV IV GP and BV IV LLC are the direct and indirect
general partners of MPM NVS. The Preferred Stock is convertible at any time, in whole or
in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock
for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to
certain agreements with the Separately Filing Group Members, which agreements contain,
among other things, certain voting agreements and limitations on the sale of their shares
of Common Stock. As a result, the Reporting Person may be deemed to be a member of a
group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the
Reporting Person and the Separately Filing Group Members. Shares listed as beneficially
owned by the Reporting Persons exclude shares held by any other Reporting Person or by any
of the Separately Filing Group Members, in each case as to which the Reporting Persons
disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 2,987,790 shares of
Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding
shares held by any of the Separately Filing Group Members, as to which the Reporting Person
disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
MPM BioVentures IV LLC |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
OO |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of
Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible
Preferred Stock held by MPM NVS. BV IV GP and BV IV LLC are the direct and indirect
general partners of MPM NVS. The Preferred Stock is convertible at any time, in whole or
in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock
for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to
certain agreements with the Separately Filing Group Members, which agreements contain,
among other things, certain voting agreements and limitations on the sale of their shares
of Common Stock. As a result, the Reporting Person may be deemed to be a member of a
group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the
Reporting Person and the Separately Filing Group Members. Shares listed as beneficially
owned by the Reporting Persons exclude shares held by any other Reporting Person or by any
of the Separately Filing Group Members, in each case as to which the Reporting Persons
disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 2,987,790 shares of
Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding
shares held by any of the Separately Filing Group Members, as to which the Reporting Person
disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Luke Evnin |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
8,397,070(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
8,397,070(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
8,397,070(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
39.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of
384,261 shares of Series A-1 Convertible Preferred Stock, 402,115 shares of Series A-2
Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock
held by BV III QP, BV III, BVIII PF, BV III KG, AM LLC and MPM NVS. BV III GP and BV III
LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III
KG. BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The
Reporting Person is a Series A member of BV III LLC, a manager of AM LLC and a member of BV
IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the
election of the holder at a conversion ratio of 10 shares of Common Stock for every one
share of Preferred Stock. Affiliates of the Reporting Person are a party to certain
agreements with the Separately Filing Group Members, which agreements contain, among other
things, certain voting agreements and limitations on the sale of their shares of Common
Stock. As a result, the Reporting Person may be deemed to be a member of a group, within
the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and
the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting
Persons exclude shares held by any other Reporting Person or by any of the Separately
Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial
ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 8,397,070 shares of
Common Stock issuable upon conversion of preferred stock held by the MPM Entities), it
would result in an applicable percentage of 93.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Ansbert Gadicke |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
8,397,070(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
8,397,070(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
8,397,070(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
39.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of
384,261 shares of Series A-1 Convertible Preferred Stock, 402,115 shares of Series A-2
Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock
held by BV III QP, BV III, BVIII PF, BV III KG, AM LLC and MPM NVS. BV III GP and BV III
LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III
KG. BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The
Reporting Person is a Series A member of BV III LLC, a manager of AM LLC and a member of BV
IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the
election of the holder at a conversion ratio of 10 shares of Common Stock for every one
share of Preferred Stock. Affiliates of the Reporting Person are a party to certain
agreements with the Separately Filing Group Members, which agreements contain, among other
things, certain voting agreements and limitations on the sale of their shares of Common
Stock. As a result, the Reporting Person may be deemed to be a member of a group, within
the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and
the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting
Persons exclude shares held by any other Reporting Person or by any of the Separately
Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial
ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 8,397,070 shares of
Common Stock issuable upon conversion of preferred stock held by the MPM Entities),
excluding shares held by any of the Separately Filing Group Members, as to which the
Reporting Person disclaims beneficial ownership, it would result in an applicable
percentage of 93.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Nicholas Galakatos |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,409,280(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,409,280(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,409,280(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of
269,724 shares of Series A-1 Convertible Preferred Stock, 217,873 shares of Series A-2
Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock
held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are
the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III KG.
The Reporting Person is a Series A member of BV III LLC and a manager of AM LLC. The
Preferred Stock is convertible at any time, in whole or in part, at the election of the
holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred
Stock. Affiliates of the Reporting Person are a party to certain agreements with the
Separately Filing Group Members, which agreements contain, among other things, certain
voting agreements and limitations on the sale of their shares of Common Stock. As a result,
the Reporting Person may be deemed to be a member of a group, within the meaning of
Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately
Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude
shares held by any other Reporting Person or by any of the Separately Filing Group Members,
in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering (as defined below)
as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the Reporting Persons voting
percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 5,409,280 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III,
BVIII PF, BV III KG and AM LLC), excluding shares held by any of the Separately Filing
Group Members, as to which the Reporting Person disclaims beneficial ownership, it would
result in an applicable percentage of 90.0%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Michael Steinmetz |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,409,280(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,409,280(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,409,280(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion
of an aggregate of 269,724 shares of Series A-1 Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock
and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC. BV III GP and
BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Reporting Person is a Series
A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of
the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting
Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things,
certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed
to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the
Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other
Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims
beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 5,409,280 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 90.0%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Kurt Wheeler |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,409,280(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,409,280(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,409,280(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of 269,724 shares of Series A-1 Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Reportin
g Person is a Series A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a resu
lt, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 5,409,280 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 90.0%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Nicholas Simon III |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,409,280(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,409,280(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,409,280(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of 269,724 shares of Series A-1 Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Reportin
g Person is a Series A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a resu
lt, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 5,409,280 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 90.0%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Dennis Henner |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
5,409,280(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
5,409,280(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
5,409,280(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.3%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of 269,724 shares of Series A-1 Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. The Reportin
g Person is a Series A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a resu
lt, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 5,409,280 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 90.0%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Todd Foley |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS). BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion r
atio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separ
ately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 2,987,790 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Vaughn Kailian |
|
|
|
|
|
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS). BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion r
atio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separ
ately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 2,987,790 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
James Paul Scopa |
|
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|
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS). BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion r
atio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separ
ately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 2,987,790 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
Steven St. Peter |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS). BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion r
atio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separ
ately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 2,987,790 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS(1)
John Vander Vort |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) þ |
|
(b) o |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,987,790(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,987,790(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,987,790(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This 13D/A is filed by the MPM Entities and the Listed Persons.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 114,537 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS). BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion r
atio of 10 shares of Common Stock for every one share of Preferred Stock. Affiliates of the Reporting Person are a party to certain agreements with the Separately Filing Group Members, which agreements contain, among other things, certain voting agreements and limitations on the sale of their shares of Common Stock. As a result, the Reporting Person may be deemed to be a member of a group, within the meaning of Section 13(d)(3) of the Exchange Act, comprised of the Reporting Person and the Separ
ately Filing Group Members. Shares listed as beneficially owned by the Reporting Persons exclude shares held by any other Reporting Person or by any of the Separately Filing Group Members, in each case as to which the Reporting Persons disclaims beneficial ownership.
(3) This percentage is calculated based upon 21,354,127 shares of outstanding Common Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of 20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of December 15, 2011 following completion of the Offering (as defined below) as disclosed in the Issuers Preliminary Information Statement on Schedule 14C, filed with
the SEC on December 16, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 2,987,790 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), excluding shares held by any of the Separately Filing Group Members, as to which the Reporting Person disclaims beneficial ownership, it would result in an applicable percentage of 83.3%.
Explanatory Note:
This Amendment No. 1 to Schedule 13D (Amendment No. 1) is being filed as an amendment to the
initial statement on Schedule 13D relating to the Common Stock, par value $0.0001 per share (the
Common Stock) of Radius Health, Inc., a Delaware corporation (the Issuer), as filed with the
Securities and Exchange Commission (the SEC) on May 27, 2011 (the Original Schedule 13D).
All capitalized terms not otherwise defined herein shall have the meaning ascribed to the terms in
the Original Schedule 13D. The Original Schedule 13D is hereby amended and supplemented as follows
and, except as expressly amended below, the Original Schedule 13D remains in full force and effect.
Item 2. Identity and Background
Item 2. Identity and Background of the Original Schedule 13D is hereby amended and restated in
its entirety as follows:
(a) The persons and entities filing this statement are MPM BioVentures III-QP, L.P. (BV III QP),
MPM BioVentures III, L.P. (BV III), MPM BioVentures III Parallel Fund, L.P. (BV III PF), MPM
BioVentures III GmbH & Co. Beteiligungs KG (BV III KG), MPM Asset Management Investors 2003 BVIII
LLC (AM LLC), MPM Bio IV NVS Strategic Fund, L.P. (MPM NVS), MPM BioVentures III GP, L.P. (BV
III GP), MPM BioVentures III LLC (BV III LLC), MPM BioVentures IV GP LLC (MPM IV GP) and MPM
BioVentures IV LLC (MPM IV LLC and, collectively with BV III QP, BV III, BV III PF, BV III KG, AM
LLC, MPM NVS, BV III GP and MPM IV GP, the MPM Entities) and Luke Evnin, Ansbert Gadicke,
Nicholas Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III, Dennis Henner, Todd Foley,
Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander Vort (collectively, the
Listed Persons and together with the MPM Entities, the Filing Persons).
(b) The address of the principal place of business for each of the MPM Entities and Ansbert
Gadicke, Luke Evnin, Nicholas Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III,
Dennis Henner, Steven St. Peter, Vaughn Kailian, Todd Foley and John Vander Vort is The John
Hancock Tower, 200 Clarendon Street, 54th Floor, Boston, MA 02116 and the address of the
principal place of business for James Paul Scopa is 601 Gateway Blvd., Suite 350, S. San Francisco,
CA 94080.
(c) The principal business of each of the MPM Entities is the venture capital investment business.
Each of the Listed Persons is a general partner of various venture capital investment funds.
(d) During the last five years, none of the Filing Persons, to the knowledge of the MPM Entities,
has been convicted in any criminal proceeding (excluding traffic violations or similar
misdemeanors).
(e) During the last five years, none of the Filing Persons, to the knowledge of the MPM Entities,
has been a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
(f) Each of the Listed Persons is a United States citizen and each of the MPM Entities is a
Delaware limited partnership or limited liability company, except BV III KG, which was organized in
Germany and MPM NVS, which was organized in Bermuda.
In accordance with the provisions of General Instruction C to Schedule 13D, information concerning
the managers and each other person controlling the general partners of the MPM Entities required by
Item 2 of Schedule 13D is listed on Schedule 1 hereto and is incorporated by reference herein.
The Reporting Persons may be deemed to be members of a group within the meaning of Section
13(d)(3) of the Exchange Act, comprised of the Reporting Persons and the other stockholders party
to the Stockholders Agreement, dated as of May 17, 2011, as amended (the Separately Filing
Group Members). It is the understanding of the Reporting Persons that the Separately Filing
Group Members are filing separate Schedule 13Ds pursuant to Rule 13d-1(k)(2) under the Exchange
Act.
Item 3. Source and Amount of Funds or Other Consideration
Item 3. Source and Amount of Funds or Other Consideration of the Original Schedule 13D is hereby
amended by adding the following at the end thereof:
On November 18, 2011, pursuant to the terms of that certain Series A-1 Convertible Preferred Stock
Purchase Agreement (the Purchase Agreement), dated as of April 25, 2011, among the Issuer and the
investors referenced therein (the Investors), the Issuer issued an aggregate of 263,178 shares of
Series A-1 Convertible Preferred Stock (the Series A-1 Shares) to the Investors. Such shares,
were issued in connection with the consummation of the Stage II Closing contemplated by the
Purchase Agreement at a purchase price of $81.42 per share resulting in aggregate proceeds to the
Issuer of $21.4 million. Each Series A-1 Share is convertible at the option of the holder at any
time into ten shares of Common Stock. The MPM Entities participated in the offering and acquired an
aggregate of 91,676 shares of Series A-1 Convertible Preferred Stock of the Issuer (the Series A-1
Shares), for a total purchase price of $7,464,259.92. BV III purchased 3,437 shares, BV III QP purchased 51,119 shares, BV III
KG purchased 4,320 shares, BV III PF purchased 1,543 shares, AM LLC purchased 989 shares and MPM
NVS purchased 30,268 shares.
On December 14, 2011, pursuant to the terms of the Purchase Agreement, the Issuer issued an
aggregate of 263,180 Series A-1 Shares to the Investors. The Series A-1 Shares were issued in
connection with the consummation of the Stage III Closing contemplated by the Purchase Agreement at
a purchase price of $81.42 per share resulting in aggregate proceeds to the Issuer of $21.4 million
(the Offering). The MPM Entities participated in the Offering and acquired an aggregate of 91,676
shares of Series A-1 Shares, for a total purchase price of $7,464,259.92. BV III purchased 3,437
shares, BV III QP purchased 51,119 shares, BV III KG purchased 4,320 shares, BV III PF purchased
1,543 shares, AM LLC purchased 989 shares and MPM NVS purchased 30,268 shares.
Item 5. Interest in Securities of the Issuer
Item 5. Interest in Securities of the Issuer is hereby amended and restated in its entirety as
follows:
The following information with respect to the beneficial ownership of the Common Stock by the
persons filing this 13D/A is provided as of the date of this filing:
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Shares of |
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Common Stock |
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on an As- |
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Sole |
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Shared |
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Converted Basis |
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Sole Voting |
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Shared Voting |
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Dispositive |
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Dispositive Power |
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Beneficial |
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Percentage of |
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Filing Person |
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(1) |
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Power (1) |
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Power (1) |
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Power (1) |
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(1) |
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Ownership(2) |
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Class (2)(3) |
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BV III QP(4) |
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4,502,870 |
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4,502,870 |
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0 |
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4,502,870 |
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0 |
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4,502,870 |
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21.1 |
% |
BV III(5) |
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302,750 |
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302,750 |
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0 |
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302,750 |
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0 |
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302,750 |
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1.4 |
% |
BV III PF(6) |
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135,960 |
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135,960 |
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0 |
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135,960 |
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0 |
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135,960 |
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0.6 |
% |
BV III KG(7) |
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380,540 |
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380,540 |
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0 |
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380,540 |
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0 |
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380,540 |
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1.8 |
% |
AM LLC(8) |
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87,160 |
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87,160 |
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0 |
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87,160 |
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0 |
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87,160 |
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0.4 |
% |
MPM NVS(9) |
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2,987,790 |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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14.0 |
% |
BV III GP(10) |
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5,322,120 |
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0 |
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5,322,120 |
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0 |
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5,322,120 |
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5,322,120 |
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24.9 |
% |
BV III LLC(10) |
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5,322,120 |
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0 |
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5,322,120 |
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0 |
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5,322,120 |
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5,322,120 |
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24.9 |
% |
BV IV GP(11) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
BV IV LLC(11) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
Luke Evnin(12)(13) |
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8,397,070 |
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0 |
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8,397,070 |
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0 |
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8,397,070 |
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8,397,070 |
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39.3 |
% |
Ansbert Gadicke(12)(13) |
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8,397,070 |
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0 |
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8,397,070 |
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0 |
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8,397,070 |
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8,397,070 |
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39.3 |
% |
Nicholas Galakatos(12) |
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5,409,280 |
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0 |
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5,409,280 |
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0 |
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5,409,280 |
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5,409,280 |
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25.3 |
% |
Michael Steinmetz(12) |
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5,409,280 |
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0 |
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5,409,280 |
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0 |
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5,409,280 |
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5,409,280 |
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25.3 |
% |
Kurt Wheeler(12) |
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5,409,280 |
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0 |
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5,409,280 |
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0 |
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5,409,280 |
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5,409,280 |
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25.3 |
% |
Nicholas Simon III(12) |
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5,409,280 |
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0 |
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5,409,280 |
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0 |
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5,409,280 |
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5,409,280 |
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25.3 |
% |
Dennis Henner(12) |
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5,409,280 |
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0 |
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5,409,280 |
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0 |
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5,409,280 |
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5,409,280 |
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25.3 |
% |
Todd Foley(13) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
Vaughn Kailian(13) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
James Paul Scopa(13) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
Steven St. Peter(13) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
John Vander Vort(13) |
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2,987,790 |
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0 |
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2,987,790 |
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0 |
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2,987,790 |
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2,987,790 |
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14.0 |
% |
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(1) |
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Consists of shares of Common Stock underlying Series A-1, Series A-2 and Series A-3 which
are convertible at any time, in whole or in part, at the election of the holder at a
conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. |
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(2) |
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These percentages were calculated based upon 21,354,127 shares of outstanding Common
Stock, which consists of: (i) 599,247 shares of Common Stock and (ii) an aggregate of
20,754,880 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of December 15, 2011 following completion of the Offering as disclosed in
the Issuers Preliminary Information Statement on Schedule 14C, filed with the SEC on
December 16, 2011. See footnote (3) on each of the Reporting Persons respective cover
pages for additional information regarding the calculation of percentages. |
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(3) |
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The Reporting Persons and the Separately Filing Group Members may be deemed part of a
group within the meaning of Section 13(d)(3) of the Exchange Act. Accordingly, the
Reporting Persons and the Separately Filing Group Members may collectively beneficially
own 100% of the 21,354,127 shares of Common Stock outstanding on an as-converted basis.
Shares listed as beneficially owned by the Reporting Persons exclude shares held by any of
the Separately Filing Group Members, as to which the Reporting Persons disclaim beneficial
ownership. |
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(4) |
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Consists of shares of Common Stock issuable upon conversion of 224,528 shares of Series
A-1, 181,364 shares of Series A-2 and 44,395 shares of Series A-3. |
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(5) |
|
Consists of shares of Common Stock issuable upon conversion of 15,096 shares of Series
A-1, 12,194 shares of Series A-2 and 2,985 shares of Series A-3. |
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(6) |
|
Consists of shares of Common Stock issuable upon conversion of 6,779 shares of Series
A-1, 5,477 shares of Series A-2 and 1,340 shares of Series A-3. |
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(7) |
|
Consists of shares of Common Stock issuable upon conversion of 18,975 shares of Series
A-1, 15,327 shares of Series A-2 and 3,752 shares of Series A-3. |
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(8) |
|
Consists of shares of Common Stock issuable upon conversion of 4,346 shares of Series
A-1, 3,511 shares of Series A-2 and 859 shares of Series A-3. |
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(9) |
|
Consists of shares of Common Stock issuable upon conversion of 114,537 shares of Series
A-1 and 184,242 shares of Series A-2. |
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(10) |
|
BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV
III, BV III PF and BV III KG. See footnotes (4) through (7) for the securities with
respect to which these Filing Persons share voting and dispositive power. |
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(11) |
|
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. See
footnote (9) for the securities with respect to which these Filing Persons share voting
and dispositive power. |
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(12) |
|
These Filing Persons are Series A Members of BV III LLC and managers of AM LLC. See
footnotes (4) through (8) for the securities with respect to which these Filing Persons
share voting and dispositive power. |
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(13) |
|
These Filing Persons are members of BV IV LLC. See footnote (9) for the securities with
respect to which these Filing Persons share voting and dispositive power. |
The information provided and incorporated by reference in Item 3 is hereby incorporated by
reference in this Item 5.
Item 7. Material to Be Filed as Exhibits
A. |
|
Amended and Restated Stockholders Agreement, dated as of May 17, 2011, as amended by
Amendment No. 1, dated as of November 7, 2011, Amendment No. 2, dated as of November 7, 2011,
and Amendment No. 3, dated as of December 15, 2011, by and among the Company and the
stockholders party thereto (incorporated by reference to Exhibit 10.1 of the Issuers Current
Report on Form 8-K (SEC File No. 000-53173), filed with the SEC on December 15, 2011). |
B. |
|
Agreement regarding filing of joint Schedule 13D. |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information
set forth in this statement is true, complete and correct.
Dated: December 23, 2011
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MPM BIOVENTURES III, L.P. |
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MPM BIOVENTURES III-QP, L.P. |
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By:
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MPM BioVentures III GP, L.P.,
its General Partner
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By:
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MPM BioVentures III GP, L.P.,
its General Partner |
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By:
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MPM BioVentures III LLC,
its General Partner
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By:
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MPM BioVentures III LLC,
its General Partner |
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By:
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/s/ Luke Evnin
Name: Luke Evnin
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By:
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/s/ Luke Evnin
Name: Luke Evnin
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Title: Series A Member
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Title: Series A Member |
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MPM BIOVENTURES III PARALLEL FUND, L.P. |
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MPM BIOVENTURES III GMBH & CO. BETEILIGUNGS
KG |
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By:
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MPM BioVentures III GP, L.P.,
its General Partner
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By:
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MPM BioVentures III GP, L.P.,
in its capacity as the Managing Limited Partner |
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By:
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MPM BioVentures III LLC,
its General Partner
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By:
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MPM BioVentures III LLC,
its General Partner |
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By:
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/s/ Luke Evnin
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin
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Name: Luke Evnin |
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Title: Series A Member
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Title: Series A Member |
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MPM ASSET MANAGEMENT INVESTORS 2003 BVIII LLC |
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MPM BIOVENTURES III GP, L.P. |
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By:
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MPM BioVentures III LLC, |
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By:
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/s/ Luke Evnin
Name: Luke Evnin
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its General Partner |
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Title: Manager
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By:
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/s/ Luke Evnin
Name:
Luke Evnin |
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Title: Series A Member |
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MPM BIOVENTURES III LLC |
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin |
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Title: Series A Member |
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MPM Bio IV NVS Strategic Fund, L.P. |
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MPM BIOVENTURES IV GP LLC |
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By:
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MPM BIOVENTURES IV GP LLC, its General Partner
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By:
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MPM BIOVENTURES IV LLC, its Managing Member |
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By:
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MPM BIOVENTURES IV LLC, its Managing Member |
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By:
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/s/ Luke Evnin
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin
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Name: Luke Evnin |
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Title: Member
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Title: Member |
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MPM BIOVENTURES IV LLC |
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin |
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Title: Member |
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/s/ Luke Evnin
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/s/ Ansbert Gadicke |
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Luke Evnin
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Ansbert Gadicke |
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/s/ Nicholas Galakatos
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/s/ Michael Steinmetz |
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Nicholas Galakatos
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Michael Steinmetz |
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/s/ Kurt Wheeler
Kurt Wheeler
|
|
|
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/s/ Nicholas Simon III
Nicholas Simon III
|
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/s/ Dennis Henner
|
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/s/ Todd Foley |
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Dennis Henner
|
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Todd Foley |
|
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/s/ Vaughn Kailian
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/s/ James Paul Scopa |
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Vaughn Kailian
|
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James Paul Scopa |
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/s/ Steven St. Peter
|
|
|
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/s/ John Vander Vort |
|
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|
|
Steven St. Peter
|
|
|
|
John Vander Vort |
|
|
The original statement shall be signed by each person on whose behalf the statement is filed or
his authorized representative. If the statement is signed on behalf of a person by his authorized
representative (other than an executive officer or general partner of the filing person), evidence
of the representatives authority to sign on behalf of such person shall be filed with the
statement: provided, however, that a power of attorney for this purpose which is already on file
with the Commission may be incorporated by reference. The name and any title of each person who
signs the statement shall be typed or printed beneath his signature.
Attention: Intentional misstatements or omissions of fact
constitute Federal criminal violations (See 18 U.S.C. 1001)
SCHEDULE I
General Partners/Members:
Luke Evnin
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG, manager of MPM Asset Management Investors 2003
BVIII LLC and a member of the managing member of the general partner of MPM Bio IV NVS Strategic
Fund
Citizenship: USA
Ansbert Gadicke
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG, manager of MPM Asset Management Investors 2003
BVIII LLC and a member of the managing member of the general partner of MPM Bio IV NVS Strategic
Fund
Citizenship: USA
Nicholas Galakatos
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Michael Steinmetz
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Kurt Wheeler
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Nicholas Simon III
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Dennis Henner
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Steven St. Peter
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
James Paul Scopa
c/o MPM Asset Management
601 Gateway Blvd. Suite 350
S. San Francisco, CA 94080
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
Todd Foley
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
Vaughn M. Kailian
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
John Vander Vort
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
EXHIBIT INDEX
A. |
|
Amended and Restated Stockholders Agreement, dated as of May 17, 2011, as amended by
Amendment No. 1, dated as of November 7, 2011, Amendment No. 2, dated as of November 7, 2011,
and Amendment No. 3, dated as of December 15, 2011, by and among the Company and the
stockholders party thereto (incorporated by reference to Exhibit 10.1 of the Issuers Current
Report on Form 8-K (SEC File No. 000-53173), filed with the SEC on December 15, 2011). |
B. |
|
Agreement regarding filing of joint Schedule 13D. |