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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series B Preferred Stock | (1) | 05/28/2013 | C | 37,379 | (1) | (5) | Common Stock | 37,379 | $ 0 | 0 | I | Advanced Technology Ventures VII (B), L.P. (4) | |||
Series B Preferred Stock | (1) | 05/28/2013 | C | 17,966 | (1) | (5) | Common Stock | 17,966 | $ 0 | 0 | I | Advanced Technology Ventures VII (C), L.P. (4) | |||
Series B Preferred Stock | (1) | 05/28/2013 | C | 931,468 | (1) | (5) | Common Stock | 931,468 | $ 0 | 0 | I | Advanced Technology Ventures VII, L.P. (4) | |||
Series B Preferred Stock | (1) | 05/28/2013 | C | 5,551 | (1) | (5) | Common Stock | 5,551 | $ 0 | 0 | I | ATV Entrepreneurs VII, L.P. (4) | |||
Series C Preferred Stock | (2) | 05/28/2013 | C | 17,302 | (2) | (5) | Common Stock | 17,302 | $ 0 | 0 | I | Advanced Technology Ventures VII (B), L.P. (4) | |||
Series C Preferred Stock | (2) | 05/28/2013 | C | 8,316 | (2) | (5) | Common Stock | 8,316 | $ 0 | 0 | I | Advanced Technology Ventures VII (C), L.P. (4) | |||
Series C Preferred Stock | (2) | 05/28/2013 | C | 431,173 | (2) | (5) | Common Stock | 431,173 | $ 0 | 0 | I | Advanced Technology Ventures VII, L.P. (4) | |||
Series C Preferred Stock | (2) | 05/28/2013 | C | 2,569 | (2) | (5) | Common Stock | 2,569 | $ 0 | 0 | I | ATV Entrepreneurs VII, L.P. (4) | |||
Series D Preferred Stock | (3) | 05/28/2013 | C | 3,448 | (3) | (5) | Common Stock | 3,448 | $ 0 | 0 | I | Advanced Technology Ventures VII (B), L.P. (4) | |||
Series D Preferred Stock | (3) | 05/28/2013 | C | 1,657 | (3) | (5) | Common Stock | 1,657 | $ 0 | 0 | I | Advanced Technology Ventures VII (C), L.P. (4) | |||
Series D Preferred Stock | (3) | 05/28/2013 | C | 85,939 | (3) | (5) | Common Stock | 85,939 | $ 0 | 0 | I | Advanced Technology Ventures VII, L.P. (4) | |||
Series D Preferred Stock | (3) | 05/28/2013 | C | 512 | (3) | (5) | Common Stock | 512 | $ 0 | 0 | I | ATV Entrepreneurs VII, L.P. (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
George Jean C/O ADVANCED TECHNOLOGY VENTURES 500 BOYLSTON STREET, SUITE 1380 BOSTON, MA 02116 |
X |
/s/ Sally A. Kay, as attorney-in-fact | 05/28/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Upon the closing of the Issuer's initial public offering, each share of Series B Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(2) | Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(3) | Upon the closing of the Issuer's initial public offering, each share of Series D Preferred Stock automatically converted into 1 share of Common Stock for no additional consideration and had no expiration date. |
(4) | Ms. George is a managing director of ATV Associates VII, LLC, the management company of the Entities affiliated with Advanced Technology Ventures, and shares voting and dispositive power over the shares held by the Entities affiliated with Advanced Technology Ventures. Ms. George disclaims beneficial ownership thereof except to the extent of her respective proportionate pecuniary interest in such shares. |
(5) | The shares do not have an expiration date. |