Alexza Pharmaceuticals Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 108 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-03-13: Reporting owner Zaffaroni Alejandro A; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2006-03-13: Reporting owner Zaffaroni Alejandro A; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2006-03-13: Reporting owner Zaffaroni Alejandro A; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2006-03-13: Reporting owner Zaffaroni Alejandro A; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −123,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −123,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −27,500 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −27,500 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,094,864 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,092,226 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −20,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −20,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −34,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −34,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −795,860 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −795,262 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Zaffaroni Alejandro A Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −780,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −71,039 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −7,948,407 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −27,045 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −3,025,951 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Affiliates Fund II-A, L.P. | C Conversion of derivative security | −57,424 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | C Conversion of derivative security | −19,155 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, L.P. | C Conversion of derivative security | −27,542 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare III, L.P. | C Conversion of derivative security | −2,547,068 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, L.P. | C Conversion of derivative security | −5,425,681 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | C Conversion of derivative security | −2,902 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, L.P. | C Conversion of derivative security | −13,746 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare III, L.P. | C Conversion of derivative security | −385,900 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FHM IV LP | Frazier Affiliates III, LP | FHM III, LLC | FRAZIER AFFILIATES IV LP | Frazier Healthcare III, LP | FRAZIER HEALTHCARE IV LP Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, L.P. | C Conversion of derivative security | −2,707,872 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Samuels Camille D | LINK WILLIAM J PHD | Warden Charles M | Bolzon Bradley J PhD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −71,039 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Samuels Camille D | LINK WILLIAM J PHD | Warden Charles M | Bolzon Bradley J PhD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −7,948,407 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Samuels Camille D | LINK WILLIAM J PHD | Warden Charles M | Bolzon Bradley J PhD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −27,045 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Samuels Camille D | LINK WILLIAM J PHD | Warden Charles M | Bolzon Bradley J PhD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −3,025,951 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Samuels Camille D | LINK WILLIAM J PHD | Warden Charles M | Bolzon Bradley J PhD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Affiliates Fund II-A, L.P. | C Conversion of derivative security | −57,424 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D | JAFFE ROSS A MD | Versant Venture Capital II, LP | ATWOOD BRIAN G | Versant Side Fund II, LP | Versant Affiliates Fund II-A, LP | MILDER DONALD B | LUBASH BARBARA N | Versant Ventures II LLC | ROBERTSON REBECCA B Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −71,039 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D | JAFFE ROSS A MD | Versant Venture Capital II, LP | ATWOOD BRIAN G | Versant Side Fund II, LP | Versant Affiliates Fund II-A, LP | MILDER DONALD B | LUBASH BARBARA N | Versant Ventures II LLC | ROBERTSON REBECCA B Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −7,948,407 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D | JAFFE ROSS A MD | Versant Venture Capital II, LP | ATWOOD BRIAN G | Versant Side Fund II, LP | Versant Affiliates Fund II-A, LP | MILDER DONALD B | LUBASH BARBARA N | Versant Ventures II LLC | ROBERTSON REBECCA B Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | C Conversion of derivative security | −27,045 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D | JAFFE ROSS A MD | Versant Venture Capital II, LP | ATWOOD BRIAN G | Versant Side Fund II, LP | Versant Affiliates Fund II-A, LP | MILDER DONALD B | LUBASH BARBARA N | Versant Ventures II LLC | ROBERTSON REBECCA B Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | C Conversion of derivative security | −3,025,951 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | COLELLA SAMUEL D | JAFFE ROSS A MD | Versant Venture Capital II, LP | ATWOOD BRIAN G | Versant Side Fund II, LP | Versant Affiliates Fund II-A, LP | MILDER DONALD B | LUBASH BARBARA N | Versant Ventures II LLC | ROBERTSON REBECCA B Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4 | Series D Preferred Stock Derivative · Indirect · By Versant Affiliates Fund II-A, L.P. | C Conversion of derivative security | −57,424 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | C Conversion of derivative security | −19,155 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, L.P. | C Conversion of derivative security | −27,542 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare III, L.P. | C Conversion of derivative security | −2,547,068 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, L.P. | C Conversion of derivative security | −5,425,681 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | C Conversion of derivative security | −2,902 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, L.P. | C Conversion of derivative security | −13,746 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare III, L.P. | C Conversion of derivative security | −385,900 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | FRAZIER ALAN D Director | 4 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, L.P. | C Conversion of derivative security | −2,707,872 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | RINGOLD GORDON Director | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −50,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | RINGOLD GORDON Director | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −50,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | RINGOLD GORDON Director | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −50,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | PAKIANATHAN DEEPIKA Director | 4 | Series D Preferred Stock Derivative · Indirect · By Delphi BioInvestments VI, L.P. | C Conversion of derivative security | −53,893 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | PAKIANATHAN DEEPIKA Director | 4 | Series D Preferred Stock Derivative · Indirect · By Delphi Ventures VI, L.P. | C Conversion of derivative security | −5,389,342 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Read J Leighton Director | 4 | Series C Preferred Stock Derivative · Indirect · By Alloy Partners 2002, L.P. | C Conversion of derivative security | −84,333 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Read J Leighton Director | 4 | Series C Preferred Stock Derivative · Indirect · By Alloy Ventures 2002, L.P. | C Conversion of derivative security | −3,123,445 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Read J Leighton Director | 4 | Series D Preferred Stock Derivative · Indirect · By Alloy Partners 2002, L.P. | C Conversion of derivative security | −102,217 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | Read J Leighton Director | 4 | Series D Preferred Stock Derivative · Indirect · By Alloy Ventures 2002, L.P. | C Conversion of derivative security | −3,785,808 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-13 | STEIN ISSAC Director | 4 | Series A Preferred Stock Derivative · Indirect · By The Stein 1995 Revocable Trust, as co-trustee | C Conversion of derivative security | −250,000 0 owned after | $0.00 | 2006-03-14 | |
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates III, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare III, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates III, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare III, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER HEALTHCARE IV LP | FHM III, LLC | Frazier Healthcare III, LP | Frazier Affiliates III, LP | FHM IV LP | FRAZIER AFFILIATES IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, LP | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | PAKIANATHAN DEEPIKA Director | 3 | Series D Preferred Stock Derivative · Indirect · By Delphi BioInvestments VI, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | PAKIANATHAN DEEPIKA Director | 3 | Series D Preferred Stock Derivative · Indirect · By Delphi Ventures VI, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Read J Leighton Director | 3 | Series C Preferred Stock Derivative · Indirect · By Alloy Partners 2002, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Read J Leighton Director | 3 | Series C Preferred Stock Derivative · Indirect · By Alloy Ventures 2002, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Read J Leighton Director | 3 | Series D Preferred Stock Derivative · Indirect · By Alloy Partners 2002, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Read J Leighton Director | 3 | Series D Preferred Stock Derivative · Indirect · By Alloy Ventures 2002, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | RINGOLD GORDON Director | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | RINGOLD GORDON Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | RINGOLD GORDON Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | STEIN ISSAC Director | 3 | Series A Preferred Stock Derivative · Indirect · By the Stein 1995 Revocable Trust, as co-trustee | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | LINK WILLIAM J PHD | Warden Charles M | Samuels Camille D | Bolzon Bradley J PhD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | LINK WILLIAM J PHD | Warden Charles M | Samuels Camille D | Bolzon Bradley J PhD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | LINK WILLIAM J PHD | Warden Charles M | Samuels Camille D | Bolzon Bradley J PhD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | LINK WILLIAM J PHD | Warden Charles M | Samuels Camille D | Bolzon Bradley J PhD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | LINK WILLIAM J PHD | Warden Charles M | Samuels Camille D | Bolzon Bradley J PhD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Affiliates Fund II-A, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | JAFFE ROSS A MD | Versant Affiliates Fund II-A, LP | Versant Side Fund II, LP | Versant Ventures II LLC | LUBASH BARBARA N | Versant Venture Capital II, LP | ROBERTSON REBECCA B | ATWOOD BRIAN G | COLELLA SAMUEL D | MILDER DONALD B 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | JAFFE ROSS A MD | Versant Affiliates Fund II-A, LP | Versant Side Fund II, LP | Versant Ventures II LLC | LUBASH BARBARA N | Versant Venture Capital II, LP | ROBERTSON REBECCA B | ATWOOD BRIAN G | COLELLA SAMUEL D | MILDER DONALD B 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | JAFFE ROSS A MD | Versant Affiliates Fund II-A, LP | Versant Side Fund II, LP | Versant Ventures II LLC | LUBASH BARBARA N | Versant Venture Capital II, LP | ROBERTSON REBECCA B | ATWOOD BRIAN G | COLELLA SAMUEL D | MILDER DONALD B 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Side Fund II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | JAFFE ROSS A MD | Versant Affiliates Fund II-A, LP | Versant Side Fund II, LP | Versant Ventures II LLC | LUBASH BARBARA N | Versant Venture Capital II, LP | ROBERTSON REBECCA B | ATWOOD BRIAN G | COLELLA SAMUEL D | MILDER DONALD B 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Venture Capital II, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | JAFFE ROSS A MD | Versant Affiliates Fund II-A, LP | Versant Side Fund II, LP | Versant Ventures II LLC | LUBASH BARBARA N | Versant Venture Capital II, LP | ROBERTSON REBECCA B | ATWOOD BRIAN G | COLELLA SAMUEL D | MILDER DONALD B 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Versant Affiliates Fund II-A, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series C Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series D Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | Zaffaroni Alejandro A Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER ALAN D Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER ALAN D Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Affiliates IV, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER ALAN D Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare III, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER ALAN D Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Frazier Healthcare IV, L.P. | Holding | no price filed | 2006-03-08 | ||
| 2006-03-08 holding as of filing | FRAZIER ALAN D Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · By Frazier Affiliates III, L.P. | Holding | no price filed | 2006-03-08 |