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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 Convertible Preferred Stock | (1) | 11/04/2013 | C | 7,190,864 | (1) | (1) | Common Stock | 1,797,716 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series A Convertible Preferred Stock | (1) | 11/04/2013 | C | 42,469 | (1) | (1) | Common Stock | 10,617 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) | |||
Series B Convertible Preferred Stock | (1) | 11/04/2013 | C | 3,992,420 | (1) | (1) | Common Stock | 998,105 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series B Convertible Preferred Stock | (1) | 11/04/2013 | C | 23,580 | (1) | (1) | Common Stock | 5,895 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 11/04/2013 | C | 3,196,673 | (1) | (1) | Common Stock | 799,168 | $ 0 | 0 | I | By Versant Venture Capital III, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 11/04/2013 | C | 18,880 | (1) | (1) | Common Stock | 4,720 | $ 0 | 0 | I | By Versant Side Fund III, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COLELLA SAMUEL D 3000 SAND HILL ROAD BUILDING FOUR, SUITE 210 MENLO PARK, CA 94025 |
X | X |
/s/ Samuel D. Colella | 11/04/2013 | |
**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) | Each outstanding share of convertible preferred stock automatically converted into 0.25 shares of common stock upon closing of the Issuer's initial public offering and has no expiration date. |
(2) | The Reporting Person is a managing member of Versant Ventures III, LLC which is the sole general partner of Versant Venture Capital III, L.P. ("Versant Capital") and Versant Side Fund III, L.P. ("Versant Side Fund"). The Reporting Person, along with the other managing members of Versant Ventures III, LLC, has voting and dispositive power with respect to these shares. The Reporting Person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |