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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A-1 Convertible Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
325,255
|
$
(1)
|
I
|
See footnote
(2)
|
Series A-2 Convertible Preferred Stock
|
Â
(3)
|
Â
(3)
|
Common Stock
|
624,021
|
$
(3)
|
I
|
See footnote
(2)
|
Series B Convertible Preferred Stock
|
Â
(4)
|
Â
(4)
|
Common Stock
|
935,783
|
$
(4)
|
I
|
See footnote
(2)
|
Series C Convertible Preferred Stock
|
Â
(5)
|
Â
(5)
|
Common Stock
|
210,589
|
$
(5)
|
I
|
See footnote
(2)
|
Series D Convertible Preferred Stock
|
Â
(6)
|
Â
(6)
|
Common Stock
|
158,709
|
$
(6)
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
11/16/2015 |
Series A-1 Convertible Preferred Stock
(8)
|
34,849
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
10/26/2016 |
Series A-1 Convertible Preferred Stock
(8)
|
23,232
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
05/03/2017 |
Series A-1 Convertible Preferred Stock
(8)
|
54,760
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
08/28/2018 |
Series A-1 Convertible Preferred Stock
(8)
|
12,445
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
12/18/2018 |
Series A-1 Convertible Preferred Stock
(8)
|
12,445
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series A-1 Stock (right to buy)
|
Â
(7)
|
04/15/2019 |
Series A-1 Convertible Preferred Stock
(8)
|
24,393
|
$
12.55
|
I
|
See footnote
(2)
|
Warrant to Purchase Series B Stock (right to buy)
|
Â
(7)
|
04/15/2019 |
Series B Convertible Preferred Stock
(9)
|
15,152
|
$
6.19
|
I
|
See footnote
(2)
|
* |
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-1 Convertible Preferred Stock is convertible into Common Stock on an 18.967-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(2) |
The securities are held directly by TVM V Life Science Ventures GmbH & Co. KG. ("TVM LSV V"). The Reporting Person is an authorized officer of TVM LSV V's general partner, TVM Capital, and disclaims beneficial ownership of all shares held by the foregoing entities except to the extent of his pecuniary interest therein. |
(3) |
The Series A-2 Convertible Preferred Stock is convertible into Common Stock on an 18.967-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(4) |
The Series B Convertible Preferred Stock is convertible into Common Stock on an 18.967-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(5) |
The Series C Convertible Preferred Stock is convertible into Common Stock on an 18.967-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(6) |
The Series D Convertible Preferred Stock is convertible into Common Stock on an 18.967-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. |
(7) |
This warrant is immediately exercisable. |
(8) |
Upon completion of the Issuer's initial public offering, this warrant to purchase shares of Series A-1 Convertible Preferred Stock will automatically convert on an 18.967-for-one basis into a warrant to purchase shares of Common Stock. |
(9) |
Upon completion of the Issuer's initial public offering, this warrant to purchase shares of Series B Convertible Preferred Stock will automatically convert on an 18.967-for-one basis into a warrant to purchase shares of Common Stock. |