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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 B-1 Convertible Preferred Stock | (1) | 04/01/2014 | C | 26,437,934 | (1) | (4) | Common Stock | 755,369 | $ 0 | 0 | I | Direct and indirect - see footnotes (2) | |||
Series B-2 Convertible Preferred Stock | (1) | 04/01/2014 | C | 49,060,606 | (1) | (4) | Common Stock | 1,401,731 | $ 0 | 0 | I | Direct and indirect - see footnotes (2) | |||
Series B-3 Convertible Preferred Stock | (1) | 04/01/2014 | C | 23,507,953 | (1) | (4) | Common Stock | 671,655 | $ 0 | 0 | I | Direct and indirect - see footnotes (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alta Partners VIII, L.P. ONE EMBARCADERO CENTER, 37TH FLOOR SAN FRANCISCO, FL 94111 |
X | |||
CHAMPSI FARAH ONE EMBARCADERO CENTER, 37TH FLOOR SAN FRANCISCO, FL 94111 |
X | |||
JANNEY DANIEL ONE EMBARCADERO CENTER, 37TH FLOOR SAN FRANCISCO, FL 94111 |
X | |||
NOHRA GUY P ONE EMBARCADERO CENTER, 37TH FLOOR SAN FRANCISCO, FL 94111 |
X | |||
Alta Partners Management VIII, LLC ONE EMBARCADERO CENTER, 37TH FLOOR SAN FRANCISCO, FL 94111 |
X |
/s/ Laurence Randall | 04/01/2014 | |
**Signature of Reporting Person | Date | |
Farah Champsi | 04/01/2014 | |
**Signature of Reporting Person | Date | |
Daniel Janney | 04/01/2014 | |
**Signature of Reporting Person | Date | |
Guy Nohra | 04/01/2014 | |
**Signature of Reporting Person | Date | |
Laurence Randall | 04/01/2014 | |
**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) | Each share of convertible preferred stock converted automatically into common stock upon the closing of the Issuer's initial public offering, and had no expiration date. |
(2) | The securities are held of record by Alta Partners VIII, L.P. ("APVIII"). Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. |
(3) | Shares purchased in the Issuer's initial public offering at the initial public offering price of $12.00 per share. |
(4) | Not applicable. |