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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 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 | |
CMEA VENTURES LIFE SCIENCES 2000 LP ONE EMBARCADERO CENTER SUITE 3250 SAN FRANCISCO, CA 94111 |
X | X | ||
CMEA Ventures Life Sciences 2000, Civil Law Partnership ONE EMBARCADERO CENTER SUITE 3250 SAN FRANCISCO, CA 94111 |
X | |||
CMEA Ventures LS Management 2000, L.P. ONE EMBARCADERO CENTER SUITE 3250 SAN FRANCISCO, CA 94111 |
X | |||
Collier David J ONE EMBARCADERO CENTER SUITE 3250 SAN FRANCISCO, CA 94111 |
X | |||
Handelsman Karl D. ONE EMBARCADERO CENTER SUITE 3250 SAN FRANCISCO, CA 94111 |
X |
CMEA Ventures Life Sciences 2000, LP By:CMEA Ventures LS Management 2000, LP for CMEA Ventures Life Sciences 2000, L.P., as its General Partner /s/ David Collier | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Thomas R. Baruch | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Thomas R. Baruch | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ David Collier | 11/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Karl D. Handelsman | 11/12/2014 | |
**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) | Held by CMEA Ventures Life Sciences 2000, L.P. Thomas R. Baruch, a member of the Issuer's board of directors, David Collier and Karl Handelsman are general partners of CMEA Ventures LS Management 2000, L.P., the general partner of CMEA Ventures Life Sciences 2000, L.P., and, as such, have voting and investment power over the securities held by CMEA Ventures Life Sciences 2000, L.P. Each of the Reporting Persons disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of any pecuniary interest therein. |
(2) | Held by CMEA Ventures Life Sciences 2000, Civil Law Partnership. Thomas R. Baruch, a member of the Isser's board of directors, David Collier and Karl Handelsman are general partners of CMEA Ventures LS Management 2000, L.P., the managing limited partner of CMEA Ventures Life Sciences 2000, Civil Law Partnership, and, as such, have voting and investment power over the securities held by CMEA Ventures Life Sciences 2000, Civil Law Partnership. Each of the Reporting Persons disclaims beneficial ownership of the securities reports on this Form 4 except to the extent of any pecuniary interest therein. |