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 C Preferred Stock | Â (1) | Â (2) | Common Stock | 664,565 | $ 0 | I | See footnote (3) |
Series C Preferred Stock | Â (1) | Â (2) | Common Stock | 6,488 | $ 0 | I | See footnote (4) |
Series D Preferred Stock | Â (1) | Â (2) | Common Stock | 2,967,987 | $ 0 | I | See footnote (3) |
Series D Preferred Stock | Â (1) | Â (2) | Common Stock | 28,979 | $ 0 | I | See footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Delphi Management Partners VIII, L.L.C. 3000 SAND HILL ROAD, BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
DELPHI VENTURES VIII LP 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
Delphi BioInvestments VIII LP 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
ROEDER DOUGLAS A 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 X |  X |  |  |
BOCHNOWSKI JAMES J 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
DOUGLASS DAVID L 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
PAKIANATHAN DEEPIKA 3000 SAND HILL ROAD BUILDING 1, SUITE 135 MENLO PARK, CA 94025 |
 |  X |  |  |
/s/ David B. Berger, Attorney-in-Fact for Delphi Management Partners VIII, L.L.C. | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Delphi Ventures VIII, L.P. | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Delphi BioInvestments VIII, L.P. | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Douglas A. Roeder | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for James T. Bochnowski | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for David L. Douglass | 11/13/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Deepika R. Pakianathan | 11/13/2013 | |
**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 securities are immediately convertible. |
(2) | The expiration date is not relevant to the conversion of these securities. |
(3) | The reported securities are owned directly by Delphi Ventures VIII, L.P. ("DV VIII"). Delphi Management Partners VIII, L.L.C. (the "General Partner"), as general partner of Delphi Ventures VIII, L.P., and Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D., the managing members of the General Partner, may be deemed to share voting and dispositive power over the reported securities but each disclaims beneficial ownership in the securities held by DV VIII, except to the extent of their pecuniary interest therein. |
(4) | The reported securities are owned directly by Delphi BioInvestments VIII, L.P. ("DBI VIII"). The General Partner, as general partner of Delphi BioInvestments VIII, L.P., and Douglas A. Roeder, James J. Bochnowski, David L. Douglass and Deepika R. Pakianathan, Ph.D., the managing members of the General Partner, may be deemed to share voting and dispositive power over the reported securities but each disclaims beneficial ownership in the securities held by DBI VIII, except to the extent of their pecuniary interest therein. |