Aravive, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 111 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-03-27: Reporting owner New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-03-27: Reporting owner New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P.; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-03-27: Reporting owner New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P.; Form 4; Security Series D1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-03-27: Reporting owner New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P.; Form 4; Security Series D2 Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,942,466 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,439,620 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series D1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,050,019 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series D2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,349,433 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,546,094 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-27 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Chambon Philippe O. | Delagardelle Jeani | Lathi Vijay K | Ratcliffe Liam | New Leaf Venture Associates II, L.P. Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −759,565 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-26 | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | AKKARAJU SRINIVAS | Mehra Anand | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −23,403 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-26 | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | AKKARAJU SRINIVAS | Mehra Anand | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −775,315 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-26 | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | AKKARAJU SRINIVAS | Mehra Anand | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −802,596 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-26 | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | AKKARAJU SRINIVAS | Mehra Anand | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −485,664 0 owned after | $0.00 | 2014-03-28 | |
| 2014-03-26 | SUN ANTHONY Y Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −403,704 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | SUN ANTHONY Y Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −14,222,222 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | SUN ANTHONY Y Director, 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −1,479,993 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | SUN ANTHONY Y Director, 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −654,796 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | SUN ANTHONY Y Director, 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −5,486,820 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Aisling Capital Partners III LP | ELMS STEVE | Aisling Capital Partners III LLC | AISLING CAPITAL III LP | SCHIFF ANDREW N | Purcell Dennis J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −403,704 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Aisling Capital Partners III LP | ELMS STEVE | Aisling Capital Partners III LLC | AISLING CAPITAL III LP | SCHIFF ANDREW N | Purcell Dennis J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −14,222,222 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Aisling Capital Partners III LP | ELMS STEVE | Aisling Capital Partners III LLC | AISLING CAPITAL III LP | SCHIFF ANDREW N | Purcell Dennis J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −1,479,993 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Aisling Capital Partners III LP | ELMS STEVE | Aisling Capital Partners III LLC | AISLING CAPITAL III LP | SCHIFF ANDREW N | Purcell Dennis J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −654,796 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Aisling Capital Partners III LP | ELMS STEVE | Aisling Capital Partners III LLC | AISLING CAPITAL III LP | SCHIFF ANDREW N | Purcell Dennis J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −5,486,820 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,966,027 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,017,215 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,389,507 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,476,754 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −656,313 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −665,057 0 owned after | $0.45 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −945,973 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −701,432 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −140,174 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −62,297 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −63,127 0 owned after | $0.45 exercise price | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −88,000 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Seires B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −70,792 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −65,250 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −13,040 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,796 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Index Ventures IV (Jersey) LP | Yucca (Jersey) SLP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,872 0 owned after | $0.45 exercise price | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Warrants to Purchase Series B Preferred Stock Derivative · Indirect · See FN | X Exercise of in-the-money or at-the-money derivative security | −506,376 0 owned after | $0.45 exercise price | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | X Exercise of in-the-money or at-the-money derivative security | +506,376 14,468,020 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −14,468,020 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −5,626,413 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −2,033,350 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −899,619 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Malik Shahzad Director, 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −1,773,049 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Warrants to Purchase Series B Preferred Stock Derivative · Indirect · See FN | X Exercise of in-the-money or at-the-money derivative security | −506,376 0 owned after | $0.45 exercise price | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | X Exercise of in-the-money or at-the-money derivative security | +506,376 14,468,020 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −14,468,020 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −5,626,413 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −2,033,350 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −899,619 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-26 | Advent Life Sciences Fund I LP | Advent Life Sciences LLP 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −1,773,049 0 owned after | $0.00 | 2014-03-27 | |
| 2014-03-20 holding as of filing | Mehra Anand | AKKARAJU SRINIVAS | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Mehra Anand | AKKARAJU SRINIVAS | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Mehra Anand | AKKARAJU SRINIVAS | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Mehra Anand | AKKARAJU SRINIVAS | Sofinnova Venture Partners VIII, L.P. | POWELL MICHAEL | HEALY JAMES | Sofinnova Management VIII, L.L.C. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Ratcliffe Liam | Chambon Philippe O. | New Leaf Venture Management II, L.L.C. | New Leaf Venture Associates II, L.P. | NIEDEL JAMES | New Leaf Ventures II, L.P. | HUNT RONALD | Delagardelle Jeani | Lathi Vijay K 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Index Ventures IV (Jersey) LP | Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP | Yucca (Jersey) SLP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Direct | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | SUN ANTHONY Y Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | SUN ANTHONY Y Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | SUN ANTHONY Y Director, 10% Owner | 3 | Seried D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | SUN ANTHONY Y Director, 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | SUN ANTHONY Y Director, 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Purcell Dennis J | Aisling Capital Partners III LLC | ELMS STEVE | Aisling Capital Partners III LP | AISLING CAPITAL III LP | SCHIFF ANDREW N 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Purcell Dennis J | Aisling Capital Partners III LLC | ELMS STEVE | Aisling Capital Partners III LP | AISLING CAPITAL III LP | SCHIFF ANDREW N 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Purcell Dennis J | Aisling Capital Partners III LLC | ELMS STEVE | Aisling Capital Partners III LP | AISLING CAPITAL III LP | SCHIFF ANDREW N 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Seried D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Purcell Dennis J | Aisling Capital Partners III LLC | ELMS STEVE | Aisling Capital Partners III LP | AISLING CAPITAL III LP | SCHIFF ANDREW N 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Purcell Dennis J | Aisling Capital Partners III LLC | ELMS STEVE | Aisling Capital Partners III LP | AISLING CAPITAL III LP | SCHIFF ANDREW N 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series D-1 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series D-2 Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series E Converible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Warrant to Purchase Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | $0.45 exercise price | 2014-03-20 | ||
| 2014-03-20 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund I LP 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-03-20 |