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 | ||||
Common stock warrants (right to buy) | 12/13/2015 | 06/16/2022 | Common Stock | 307,064 | $ 6.1012 | I | By Venrock Healthcare Capital Partners II, L.P. (1) |
Common stock warrants (right to buy) | 12/13/2015 | 06/16/2022 | Common Stock | 124,508 | $ 6.1012 | I | By VHCP Co-Investment Holdings II, LLC (2) |
Common stock warrants (right to buy) | 12/13/2015 | 06/16/2022 | Common Stock | 156,365 | $ 6.1012 | I | By Venrock Healthcare Capital Partners, L.P. (3) |
Common stock warrants (right to buy) | 12/13/2015 | 06/16/2022 | Common Stock | 28,594 | $ 6.1012 | I | By VHCP Co-Investment Holdings, LLC (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hove Anders D 11080 CIRCLEPOINT RD., SUITE 140 WESTMINSTER, CO 80023 |
 X |  |  |  |
/s/ Brian L. Selby, Attorney-in-Fact | 02/21/2017 | |
**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) | These securities are owned directly by Venrock Healthcare Capital Partners II, L.P. The Reporting Person has a pecuniary interest in Venrock Healthcare Capital Partners II, L.P. The Reporting Person holds no voting or investment interest in these securities, and disclaims beneficial ownership of such shares except to the extent of his pro rata partnership interest therein. |
(2) | These securities are owned directly by VHCP Co-Investment Holdings II, LLC. The Reporting Person has a pecuniary interest in VHCP Co-Investment Holdings II, LLC. The Reporting Person holds no voting or investment interest in these securities, and disclaims beneficial ownership of such shares except to the extent of his pro rata partnership interest therein. |
(3) | These securities are owned directly by Venrock Healthcare Capital Partners, L.P. The Reporting Person has a pecuniary interest in Venrock Healthcare Capital Partners, L.P. The Reporting Person holds no voting or investment interest in these securities, and disclaims beneficial ownership of such shares except to the extent of his pro rata partnership interest therein. |
(4) | These securities are owned directly by VHCP Co-Investment Holdings, LLC. The Reporting Person has a pecuniary interest in VHCP Co-Investment Holdings, LLC. The Reporting Person holds no voting or investment interest in these securities, and disclaims beneficial ownership of such shares except to the extent of his pro rata partnership interest therein. |
 Remarks: Exhibit 24- Power of Attorney |