UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants (right to buy) | 09/30/2013 | 09/30/2018 | Common Stock | 72,963 (1) | $ 5.75 | D (1) | |
Warrants (right to buy) | 09/30/2013 | 09/30/2018 | Common Stock | 1,384 (2) | $ 5.75 | I (2) | Versant Affiliates Fund II-A, L.P. (2) |
Warrants (right to buy) | 09/30/2013 | 09/30/2018 | Common Stock | 652 (3) | $ 5.75 | I (3) | Versant Side Fund II, L.P. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Versant Venture Capital II, LP 3000 SAND HILL ROAD BULIDING 4, SUITE 210 MENLO PARK, CA 94025 |
X | |||
Versant Affiliates Fund II-A, LP 3000 SAND HILL ROAD BULIDING 4, SUITE 210 MENLO PARK, CA 94025 |
X | |||
Versant Side Fund II, LP 3000 SAND HILL ROAD BULIDING 4, SUITE 210 MENLO PARK, CA 94025 |
X |
/s/ Robin L. Praeger, Attorney-in-fact | 10/11/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares are held by Versant Venture Capital II, L.P. ("VVC II"). In their capacity as managing members of Versant Ventures II, LLC ("VV II") which is the general partner of VVC II, Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder share voting and investment authority over the shares held by the VVC II and may be deemed to beneficially own the shares. Each of Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder disclaim beneficial ownership of these shares except to the extent of his or her pecuniary interest therein. |
(2) | The shares are held by Versant Affiliates Fund II-A, L.P. ("Affiliates II"). In their capacity as managing members of VV II which is the general partner of Affiliates II, Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder share voting and investment authority over the shares held by Affiliates II and may be deemed to beneficially own the shares. Each of Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder disclaim beneficial ownership of these shares except to the extent of his or her pecuniary interest therein. |
(3) | The shares are held by Versant Side Fund II, L.P. ("Side Fund II"). In their capacity as managing members of VV II which is the general partner of Side Fund II, Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder share voting and investment authority over the shares held by the Side Fund II and may be deemed to beneficially own the shares. Each of Brian G. Atwood, Ross A. Jaffe, M.D., Samuel D. Colella, Rebecca B. Robertson, Bradley J. Bolzon, Ph.D., William J. Link, Ph.D., Charles M. Warden, Barbara Lubash and Don Milder disclaim beneficial ownership of these shares except to the extent of his or her pecuniary interest therein. |