Axonics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 81 rows, 81 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-11-02: Reporting owner Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP | Chen Bihua; Form 3/A; Security Series B-2 Convertible Preferred Stock; Transaction Holding.
- 2018-11-02: Reporting owner Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP | Chen Bihua; Form 3/A; Security Series C Convertible Preferred Stock; Transaction Holding.
- 2018-11-02: Reporting owner Pardo Geoff; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2018-11-02: Reporting owner NeoMed Innovation V L.P. | NeoMed Innovation V Ltd; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-11-02 holding as of filing | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP | Chen Bihua 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3/A | Series B-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-02 | ||
| 2018-11-02 holding as of filing | Cormorant Asset Management, LP | Cormorant Global Healthcare Master Fund, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP | Chen Bihua 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-11-02 | ||
| 2018-11-02 | Pardo Geoff Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Cooperatieve Gilde Healthcare IV U.A. | C Conversion of derivative security | −1,888,888 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | NeoMed Innovation V L.P. | NeoMed Innovation V Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series A Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −195,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | NeoMed Innovation V L.P. | NeoMed Innovation V Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −379,675 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | NeoMed Innovation V L.P. | NeoMed Innovation V Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-2 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −203,125 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | NeoMed Innovation V L.P. | NeoMed Innovation V Ltd Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −308,155 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Malik Shahzad | 4 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | C Conversion of derivative security | −36,518 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Malik Shahzad | 4 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | C Conversion of derivative security | −1,025,981 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Malik Shahzad | 4 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | C Conversion of derivative security | −12,010 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Malik Shahzad | 4 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | C Conversion of derivative security | −337,447 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Advent Life Sciences LLP | Advent Life Sciences Fund II LP Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | C Conversion of derivative security | −36,518 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Advent Life Sciences LLP | Advent Life Sciences Fund II LP Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | C Conversion of derivative security | −1,025,981 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Advent Life Sciences LLP | Advent Life Sciences Fund II LP Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | C Conversion of derivative security | −12,010 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Advent Life Sciences LLP | Advent Life Sciences Fund II LP Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | C Conversion of derivative security | −337,447 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | COHEN RAYMOND W Director, Officer (Chief Executive Officer) | 4 | Series B-1 Preferred Stock Derivative · Indirect · By Cielo Trust Established March 30, 2018 | C Conversion of derivative security | −7,300 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Jiang Guangqiang Officer (Chief Technology Officer) | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,188 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Amble Erik | 4 | Series A Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −195,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Amble Erik | 4 | Series B-1 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −379,675 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Amble Erik | 4 | Series B-2 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −203,125 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Amble Erik | 4 | Series C Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | C Conversion of derivative security | −308,155 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Andera Partners | BioDiscovery 4 FCPR 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −345,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Andera Partners | BioDiscovery 4 FCPR 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −671,733 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Andera Partners | BioDiscovery 4 FCPR 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −359,375 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Andera Partners | BioDiscovery 4 FCPR 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −545,197 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Wisniewski Raphael Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −345,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Wisniewski Raphael Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −671,733 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Wisniewski Raphael Director, 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −359,375 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Wisniewski Raphael Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −545,197 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Gilde Healthcare IV Management B.V. | Cooperatieve Gilde Healthcare IV U.A. | Gilde Healthcare Holding B.V. 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Cooperatieve Gilde Healthcare IV U.A. | C Conversion of derivative security | −1,888,888 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Alfred E. Mann Foundation for Scientific Research Other (Former 10% Owner) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −125,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Alfred E. Mann Foundation for Scientific Research Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −771,161 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Petrovich John George | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −125,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Petrovich John George | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −771,161 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Tammenoms Bakker Juliet Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Longitude Venture Partners III, L.P. | C Conversion of derivative security | −2,000,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | ENRIGHT PATRICK G | Longitude Venture Partners III, L.P. | Longitude Capital Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Longitude Venture Partners III, L.P. | C Conversion of derivative security | −2,000,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Zac & Cloud Holdings LTD | Kuang Zhong Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series A Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | C Conversion of derivative security | −150,000 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Zac & Cloud Holdings LTD | Kuang Zhong Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-1 Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | C Conversion of derivative security | −291,551 0 owned after | $0.00 | 2018-11-02 | |
| 2018-11-02 | Zac & Cloud Holdings LTD | Kuang Zhong Other (Former 10% Owner) | Other (Former 10% Owner) | 4 | Series B-2 Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | C Conversion of derivative security | −156,250 0 owned after | $0.00 | 2018-11-02 | |
| 2018-10-31 | Cormorant Global Healthcare GP, LLC | Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −599,999 0 owned after | no price filed | 2018-11-02 | |
| 2018-10-31 | Cormorant Global Healthcare GP, LLC | Cormorant Global Healthcare Master Fund, LP | Chen Bihua | Cormorant Asset Management, LP 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −552,495 0 owned after | no price filed | 2018-11-02 | |
| 2018-10-31 holding as of filing | Gilde Healthcare IV Management B.V. | Cooperatieve Gilde Healthcare IV U.A. | Gilde Healthcare Holding B.V. 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Cooperatieve Gilde Healthcare IV U.A. | Holding | no price filed | 2018-10-31 | ||
| 2018-10-30 holding as of filing | Gilde Healthcare Holding B.V. | Gilde Healthcare IV Management B.V. 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Cooperatieve Gilde Healthcare IV U.A. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | ENRIGHT PATRICK G | Longitude Venture Partners III, L.P. | Longitude Capital Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Longitude Venture Partners III, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Pardo Geoff Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Cooperatieve Gilde Healthcare IV U.A. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Malik Shahzad Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Tammenoms Bakker Juliet Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Longitude Venture Partners III, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund II LP 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund II LP 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund II LP 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences LLP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Advent Life Sciences LLP | Advent Life Sciences Fund II LP 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Advent Life Sciences Fund II LP | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | BioDiscovery 4 FCPR | Andera Partners 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | BioDiscovery 4 FCPR | Andera Partners 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | BioDiscovery 4 FCPR | Andera Partners 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | BioDiscovery 4 FCPR | Andera Partners 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Wisniewski Raphael Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Wisniewski Raphael Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Wisniewski Raphael Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Wisniewski Raphael Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Petrovich John George Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Petrovich John George Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Jiang Guangqiang Officer (Chief Technology Officer) | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Amble Erik Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Amble Erik Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Amble Erik Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Amble Erik Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Alfred E. Mann Foundation for Scientific Research 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Alfred E. Mann Foundation for Scientific Research 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | NeoMed Innovation V Ltd | NeoMed Innovation V L.P. 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | NeoMed Innovation V Ltd | NeoMed Innovation V L.P. 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | NeoMed Innovation V Ltd | NeoMed Innovation V L.P. 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | NeoMed Innovation V Ltd | NeoMed Innovation V L.P. 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By NeoMed Innovation V, L.P. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Kuang Zhong | Zac & Cloud Holdings LTD 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Kuang Zhong | Zac & Cloud Holdings LTD 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Kuang Zhong | Zac & Cloud Holdings LTD 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · Zac and Cloud Holdings Ltd. | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | COHEN RAYMOND W Director, Officer (Chief Executive Officer) | 3 | Series B-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Chen Bihua | Cormorant Global Healthcare Master Fund, LP | Cormorant Asset Management, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-10-30 | ||
| 2018-10-30 holding as of filing | Chen Bihua | Cormorant Global Healthcare Master Fund, LP | Cormorant Asset Management, LP | CORMORANT PRIVATE HEALTHCARE FUND I, LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-10-30 |