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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (2) | 11/12/2014 | C | 1,272,187 (1) | (2) | (2) | Common Stock | 1,272,187 (1) (2) | (2) | 0 | I | See footnote (3) | |||
Series B Preferred Stock | (4) | 11/12/2014 | C | 682,475 (1) | (4) | (4) | Common Stock | 682,475 (1) (4) | (4) | 0 | I | See footnote (3) | |||
Series C Preferred Stock | (5) | 11/12/2014 | C | 204,076 (1) | (5) | (5) | Common Stock | 204,076 (1) (5) | (5) | 0 | I | See footnote (3) | |||
Series A Preferred Stock | (2) | 11/12/2014 | C | 28,090 (1) | (2) | (2) | Common Stock | 28,090 (1) (2) | (2) | 0 | I | See footnote (6) | |||
Series B Preferred Stock | (4) | 11/12/2014 | C | 15,069 (1) | (4) | (4) | Common Stock | 15,069 (1) (4) | (4) | 0 | I | See footnote (6) | |||
Series C Preferred Stock | (5) | 11/12/2014 | C | 4,506 (1) | (5) | (5) | Common Stock | 4,506 (1) (5) | (5) | 0 | I | See footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Three Arch Management IV, L.L.C. 3200 ALPINE ROAD PORTOLA VALLEY, CA 94028 |
Former 10% Beneficial Owner | |||
THREE ARCH PARTNERS IV LP 3200 ALPINE ROAD PORTOLA VALLEY, CA 94028 |
Former 10% Beneficial owner | |||
THREE ARCH ASSOCIATES IV LP 3200 ALPINE ROAD PORTOLA VALLEY, CA 94028 |
Former 10% Beneficial Owner | |||
JAEGER WILFRED E 3200 ALPINE ROAD PORTOLA VALLEY, CA 94028 |
X | Former 10% Beneficial Owner | ||
WAN MARK A 3200 ALPINE ROAD PORTOLA VALLEY, CA 94028 |
Former 10% Beneficial Owner |
/s/ Wilfred E. Jaeger, as managing member of Three Arch Management IV, L.L.C. | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Wilfred E. Jaeger, as managing member of Three Arch Management IV, L.L.C. , general partner of Three Arch Partners IV, L.P. | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Wilfred E. Jaeger, as managing member of Three Arch Management IV, L.L.C. , general partner of Three Arch Associates IV, L.P. | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Wilfred E. Jaeger | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Mark A. Wan | 11/12/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects a 1-for-24 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. |
(2) | Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(3) | Shares are held by Three Arch Partners IV, L.P. ("TAP IV"). Three Arch Management IV, L.L.C. ("TAM IV"), the general partner of TAP IV, has sole voting and dispositive power with respect to the securities held by TAP IV. Mark A. Wan and Wilfred E. Jaeger, the managing members of TAM IV, share the voting and dispositive power with respect to the shares held by TAP IV. Such persons and entities disclaim beneficial ownership of the shares held by TAP IV except to the extent of any pecuniary interest therein. |
(4) | Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(5) | Each share of Series C Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(6) | Shares are held by Three Arch Associates IV, L.P. ("TAA IV"). TAM IV, the general partner of TAA IV, has sole voting and dispositive power with respect to the securities held by TAA IV. Mark A. Wan and Wilfred E. Jaeger, the managing members of TAM IV, share the voting and dispositive power with respect to the shares held by TAA IV. Such persons and entities disclaim beneficial ownership of the shares held by TAA IV except to the extent of any pecuniary interest therein. |