Audentes Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 66 rows, 66 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-25: Reporting owner Woiwode Thomas; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-25: Reporting owner Woiwode Thomas; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-25: Reporting owner Woiwode Thomas; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-25: Reporting owner Woiwode Thomas; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-07-25 | Woiwode Thomas Director | 4 | Series A Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −1,081,477 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Woiwode Thomas Director | 4 | Series B Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −480,856 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Woiwode Thomas Director | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −198,410 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Woiwode Thomas Director | 4 | Series A Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −6,811 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Woiwode Thomas Director | 4 | Series B Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −3,029 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Woiwode Thomas Director | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −1,249 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −1,081,477 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −480,856 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | C Conversion of derivative security | −198,410 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −6,811 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −3,029 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Versant Ventures IV, LLC 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | C Conversion of derivative security | −1,249 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series Seed Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −627,867 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,511,441 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,071,992 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −332,766 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Series Seed Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −627,867 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,511,441 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,071,992 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | ORBIMED ADVISORS LLC Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −332,766 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | LANGE LOUIS G Director | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −9,000 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | LANGE LOUIS G Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −13,400 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | LANGE LOUIS G Director | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −2,233 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | C Conversion of derivative security | −1,387,392 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | C Conversion of derivative security | −616,874 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | C Conversion of derivative security | −259,524 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | C Conversion of derivative security | −35,755 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | C Conversion of derivative security | −15,898 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | 5AM Partners III, LLC 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | C Conversion of derivative security | −6,688 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Mgmt III, L.P. | | | | | | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −535,996 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Mgmt III, L.P. | | | | | | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −267,998 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Mgmt III, L.P. | | | | | | 4 | Series C Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −99,830 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-25 | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Flynn James E | Deerfield Mgmt L.P. | Deerfield Mgmt III, L.P. | | | | | | 4 | Series C Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −99,830 0 owned after | no price filed | 2016-07-25 | |
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series A Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series B Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series A Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series B Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Woiwode Thomas Director | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Venture Capital IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Versant Venture Capital IV, L.P. | Versant Side Fund IV, L.P. | Versant Ventures IV, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Versant Side Fund IV, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt III, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Mgmt L.P. | | | | | | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt III, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Mgmt L.P. | | | | | | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt III, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Mgmt L.P. | | | | | | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt III, L.P. | Flynn James E | Deerfield Special Situations Fund, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Mgmt L.P. | | | | | | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series Seed Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | SILVERSTEIN JONATHAN Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series Seed Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | LANGE LOUIS G Director | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | LANGE LOUIS G Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | LANGE LOUIS G Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By 5AM Ventures III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | Holding | no price filed | 2016-07-19 | ||
| 2016-07-19 holding as of filing | 5AM Co-Investors III, L.P. | Schwab Andrew J. | 5AM VENTURES III, L.P. | DIEKMAN JOHN D | ROCKLAGE SCOTT M | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By 5AM Co-Investors III, L.P. | Holding | no price filed | 2016-07-19 |