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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 | |
VIVO VENTURES VII, LLC 575 HIGH STREET, SUITE 201 PALO ALTO, CA 94301 |
X | |||
Vivo Ventures Fund VII, L.P. 575 HIGH ST PALO ALTO, CA 94301 |
X | |||
Vivo Ventures VII Affiliates Fund, L.P. 575 HIGH ST PALO ALTO, CA 94301 |
X |
/s/ Frank Kung, Managing Member | 08/17/2016 | |
**Signature of Reporting Person | Date | |
/s/ Frank Kung, Manager Member of Vivo Ventures VII, LLC, General Partner of Vivo Ventures Fund VII, L.P. | 08/17/2016 | |
**Signature of Reporting Person | Date | |
/s/ Frank Kung, Manager Member of Vivo Ventures VII, LLC, General Partner of Vivo Ventures VII Affiliates Fund, L.P. | 08/17/2016 | |
**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) | The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.18 to $4.39 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
(2) | These shares are owned directly by Vivo Ventures Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares. |
(3) | The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.15 to $4.28 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
(4) | These shares are owned directly by Vivo Ventures VII Affliates Fund, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares. |