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 | ||||
Series A-2 Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 384,175 | $ (2) | D (3) | Â |
Series B-1 Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 828,323 | $ (2) | D (3) | Â |
Series B-2 Convertibe Preferred Stock | Â (5) | Â (5) | Common Stock | 864,855 | $ (2) | D (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SOFINNOVA VENTURE PARTNERS VI L P 140 GEARY STREET, 10TH FLOOR SAN FRANCISCO, CA 94108 |
 |  X |  |  |
Sofinnova Management VI, L.L.C. 140 GEARY ST 10TH FL SAN FRANCISCO, CA 94108 |
 |  X |  |  |
SOFINNOVA VENTURE PARTNERS VI, L.P., a Delaware Limited Partnership By: Sofinnova Management VI, L.L.C., a Delaware limited liability company, Its: General Partner /s/ Nathalie Auber Nathalie Auber, Attorney-in-Fact | 02/23/2010 | |
**Signature of Reporting Person | Date | |
Nathalie Auber, Attorney-in-Fact | 02/23/2010 | |
**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 Series A-2 Convertible Preferred Stock is convertible on a one-for-one basis at any time at the holder's election and has no expiration date. |
(2) | Not applicable. |
(3) | Shares are held by Sofinnova Venture Partners VI, L.P. ("SV VI"). Sofinnova Management VI, L.L.C. ("SV VI LLC") is the general partner of SV VI, and James I. Healy, a director of the issuer, Michael F. Powell, Alain L. Azan and Eric P. Buatois, the managing members of SV VI LLC, may be deemed to share voting and dispositive power over the shares held by SV VI. Such persons and entities disclaim beneficial ownership of shares held by SV VI except to the extent of any pecuniary interest therein. |
(4) | The Series B-1 Convertible Preferred Stock is convertible on a one-for-one basis at any time at the holder's election and has no expiration date. |
(5) | The Series B-2 Convertible Preferred Stock is convertible on a one-for-one basis at any time at the holder's election and has no expiration date. |
 Remarks: Exhibit List    Exhibit 24.1 - Power of Attorney /s/ Nathalie Auber Nathalie Auber, Attorney-in-Fact for James I. Healy, M.D., Ph.D. /s/ Nathalie Auber Nathalie Auber, Attorney-in-Fact for Michael F. Powell /s/ Nathalie Auber Nathalie Auber, Attorney-in-Fact for Alain L. Azan /s/ Nathalie Auber Nathalie Auber, Attorney-in-Fact for Eric P. Buatois |