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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LVP GP III, LLC 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X | |||
LATTERELL PATRICK F 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X | |||
LVP III Associates, L.P. 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X | |||
LVP III Partners LP 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X | |||
LVP LIFE SCIENCE VENTURES III L.P. 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X | |||
LVPMC, LLC 2603 CAMINO RAMON SUITE 200 SAN RAMON, CA 94583-4289 |
X |
Patrick F. Latterell, Managing Member of LVP GP III, LLC | 08/21/2018 | |
**Signature of Reporting Person | Date | |
Patrick F. Latterell, Manager of LVPMC, LLC | 08/21/2018 | |
**Signature of Reporting Person | Date | |
Patrick F. Latterell, Managing Member of LVP GP III, LLC, General Partner of LVP III Associates, L.P. | 08/21/2018 | |
**Signature of Reporting Person | Date | |
Patrick F. Latterell, Managing Member of LVP GP III, LLC, General Partner of LVP III Partner, L.P. | 08/21/2018 | |
**Signature of Reporting Person | Date | |
Patrick F. Latterell, Managing Member of LVP GP III, LLC, General Partner of LVP Life Sciences Ventures III, L.P. | 08/21/2018 | |
**Signature of Reporting Person | Date | |
Patrick F. Latterell, Manager of LVPMC, LLC and Managing Member of LVP GP III, LLC the General Partner of LVP Life Science Ventures III, L.P. LVP III Associates, L.P. and LVP III Partners L.P. | 08/21/2018 | |
**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) | The reported securities are owned directly by each of LVPMC, LLC ("LVPMC"), LVP Life Science Ventures III, L.P. ("LVP III"), LVP III Associates, L.P. ("Associates") and LVP III Partners, L.P. ("Partners"). LVP GP III, LLC ("GP III") is the general partner of LVP III, Associates and Partners. GP III may be deemed to have sole voting power and dispositive power over the shares held by LVP III, Associates and Partners. Each of GP III and Patrick Latterell, the managing member of GP III and the manager of LVPMC, may be deemed to share voting and dispositive power over the reported securities and disclaim beneficial ownership of the reported securities held by LVPMC, LVP III, Associates and Partners except to the extent of any pecuniary interest therein. |