AFFYMAX INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 49 rows, 49 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-12-20: Reporting owner Hozoji Hironori; Form 5; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2006-12-20: Reporting owner CREDIT SUISSE/; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2006-12-20: Reporting owner CREDIT SUISSE/; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2006-12-20: Reporting owner CREDIT SUISSE/; Form 4; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-12-20 | Hozoji Hironori Director | 5 | Series D Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −993,903 0 owned after | $0.00 | 2007-02-13 | |
| 2006-12-20 | CREDIT SUISSE/ 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −349,998 0 owned after | $0.00 | 2006-12-22 | |
| 2006-12-20 | CREDIT SUISSE/ 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −554,729 0 owned after | $0.00 | 2006-12-22 | |
| 2006-12-20 | CREDIT SUISSE/ 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −331,301 0 owned after | $0.00 | 2006-12-22 | |
| 2006-12-20 | BX LP | BEAR STEARNS HEALTH INNOVENTURES MANAGEMENT LLC | Bear Stearns Health Innoventures Offshore LP | BEAR STEARNS COMPANIES INC | RYSER STEFAN | BEAR STEARNS HEALTH INNOVENTURES LP | BEAR STEARNS HEALTH INNOVENTURES EMPLOYEE FUND LP | BSHI Members LLC | BEAR STEARNS ASSET MANAGEMENT INC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −662,601 0 owned after | $0.00 | 2006-12-22 | |
| 2006-12-20 | BX LP | BEAR STEARNS HEALTH INNOVENTURES MANAGEMENT LLC | Bear Stearns Health Innoventures Offshore LP | BEAR STEARNS COMPANIES INC | RYSER STEFAN | BEAR STEARNS HEALTH INNOVENTURES LP | BEAR STEARNS HEALTH INNOVENTURES EMPLOYEE FUND LP | BSHI Members LLC | BEAR STEARNS ASSET MANAGEMENT INC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −496,950 0 owned after | $0.00 | 2006-12-22 | |
| 2006-12-20 | GALAKATOS NICHOLAS Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −350,000 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | GALAKATOS NICHOLAS Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −554,727 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | GALAKATOS NICHOLAS Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −463,820 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | EVNIN LUKE | MPM ASSET MANAGEMENT II LP | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | STEINMETZ MICHAEL | MPM ASSET MANAGEMENT II LLC | WHEELER KURT | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | MPM BIOVENTURES II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −350,000 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | EVNIN LUKE | MPM ASSET MANAGEMENT II LP | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | STEINMETZ MICHAEL | MPM ASSET MANAGEMENT II LLC | WHEELER KURT | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | MPM BIOVENTURES II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −554,727 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | EVNIN LUKE | MPM ASSET MANAGEMENT II LP | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | STEINMETZ MICHAEL | MPM ASSET MANAGEMENT II LLC | WHEELER KURT | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | MPM BIOVENTURES II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −463,820 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM BIOVENTURES III LLC | MPM BIOVENTURES III GP LP | MPM BioVentures Strategic Fund LP | SIMON NICHOLAS J III | HENNER DENNIS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −350,000 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM BIOVENTURES III LLC | MPM BIOVENTURES III GP LP | MPM BioVentures Strategic Fund LP | SIMON NICHOLAS J III | HENNER DENNIS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −554,727 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | MPM BIOVENTURES III LLC | MPM BIOVENTURES III GP LP | MPM BioVentures Strategic Fund LP | SIMON NICHOLAS J III | HENNER DENNIS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −463,820 0 owned after | $0.00 | 2006-12-21 | |
| 2006-12-20 | CZEREPAK ELIZABETH Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −662,601 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | CZEREPAK ELIZABETH Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −496,950 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | APAX MANAGERS INC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −442,587 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | APAX MANAGERS INC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −475,480 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | APAX MANAGERS INC 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −240,803 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −368,524 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −396,236 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-20 | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −819,360 0 owned after | $0.00 | 2006-12-20 | |
| 2006-12-14 holding as of filing | GALAKATOS NICHOLAS Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | GALAKATOS NICHOLAS Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | GALAKATOS NICHOLAS Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | GALAKATOS NICHOLAS Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | HENNER DENNIS | MPM BIOVENTURES III GP LP | SIMON NICHOLAS J III | MPM BioVentures Strategic Fund LP | MPM BIOVENTURES III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | HENNER DENNIS | MPM BIOVENTURES III GP LP | SIMON NICHOLAS J III | MPM BioVentures Strategic Fund LP | MPM BIOVENTURES III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | HENNER DENNIS | MPM BIOVENTURES III GP LP | SIMON NICHOLAS J III | MPM BioVentures Strategic Fund LP | MPM BIOVENTURES III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | HENNER DENNIS | MPM BIOVENTURES III GP LP | SIMON NICHOLAS J III | MPM BioVentures Strategic Fund LP | MPM BIOVENTURES III LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | MPM ASSET MANAGEMENT II LLC | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | WHEELER KURT | STEINMETZ MICHAEL | EVNIN LUKE | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | MPM BIOVENTURES II LP | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | MPM ASSET MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | MPM ASSET MANAGEMENT II LLC | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | WHEELER KURT | STEINMETZ MICHAEL | EVNIN LUKE | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | MPM BIOVENTURES II LP | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | MPM ASSET MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | MPM ASSET MANAGEMENT II LLC | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | WHEELER KURT | STEINMETZ MICHAEL | EVNIN LUKE | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | MPM BIOVENTURES II LP | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | MPM ASSET MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | MPM ASSET MANAGEMENT II LLC | MPM BIOVENTURES II GMBH & CO PARALLEL BETEILIGUNGS KG | WHEELER KURT | STEINMETZ MICHAEL | EVNIN LUKE | MPM BIOVENTURES II QP LP | GADICKE ANSBERT | MPM BIOVENTURES II LP | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | MPM ASSET MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | CREDIT SUISSE/ 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | CREDIT SUISSE/ 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | CREDIT SUISSE/ 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | APAX MANAGERS INC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | APAX MANAGERS INC 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | APAX MANAGERS INC 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | CZEREPAK ELIZABETH Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | CZEREPAK ELIZABETH Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | Hozoji Hironori Director | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | Apax Europe V GP Co.LTD | APAX PARTNERS EUROPE MANAGERS LTD 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | BEAR STEARNS HEALTH INNOVENTURES EMPLOYEE FUND LP | RYSER STEFAN | Bear Stearns Health Innoventures Offshore LP | BSHI Members LLC | BX LP | BEAR STEARNS ASSET MANAGEMENT INC | BEAR STEARNS HEALTH INNOVENTURES LP | BEAR STEARNS HEALTH INNOVENTURES MANAGEMENT LLC | BEAR STEARNS COMPANIES INC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 | ||
| 2006-12-14 holding as of filing | BEAR STEARNS HEALTH INNOVENTURES EMPLOYEE FUND LP | RYSER STEFAN | Bear Stearns Health Innoventures Offshore LP | BSHI Members LLC | BX LP | BEAR STEARNS ASSET MANAGEMENT INC | BEAR STEARNS HEALTH INNOVENTURES LP | BEAR STEARNS HEALTH INNOVENTURES MANAGEMENT LLC | BEAR STEARNS COMPANIES INC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2006-12-14 |