Concert Pharmaceuticals, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 96 rows, 96 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-20: Reporting owner Freund John Gordon; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-20: Reporting owner Freund John Gordon; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-20: Reporting owner Freund John Gordon; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-20: Reporting owner Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-20 | Freund John Gordon Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,200,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-20 | Freund John Gordon Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,000,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-20 | Freund John Gordon Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −600,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-20 | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,200,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-20 | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,000,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-20 | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −600,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | New Leaf Ventures I, L.P. | HUNT RONALD | Lathi Vijay K | Chambon Philippe O. | Delagardelle Jeani | New Leaf Venture Management I, L.L.C. | NIEDEL JAMES | Ratcliffe Liam | New Leaf Venture Management I, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | +442,478 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | New Leaf Ventures I, L.P. | HUNT RONALD | Lathi Vijay K | Chambon Philippe O. | Delagardelle Jeani | New Leaf Venture Management I, L.L.C. | NIEDEL JAMES | Ratcliffe Liam | New Leaf Venture Management I, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | +77,522 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −32,405 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −43,206 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −8,641 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,467,595 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,956,794 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −391,359 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −76,531 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −102,041 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −20,408 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,423,469 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,897,959 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | WAN MARK A | THREE ARCH ASSOCIATES III LP | THREE ARCH PARTNERS III LP | THREE ARCH MANAGEMENT III LLC | JAEGER WILFRED E 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −379,592 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | BROOKSIDE CAPITAL PARTNERS FUND LP | BROOKSIDE CAPITAL INVESTORS L P | BROOKSIDE CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 4 | SERIES B CONVERTIBLE PREFERRED STOCK Derivative · Indirect · See Footnote | C Conversion of derivative security | −4,300,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | BROOKSIDE CAPITAL PARTNERS FUND LP | BROOKSIDE CAPITAL INVESTORS L P | BROOKSIDE CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 4 | SERIES C CONVERTIBLE PREFERRED STOCK Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,000,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | QVT Associates GP LLC | QVT Fund V LP 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. | C Conversion of derivative security | −250,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | QVT Associates GP LLC | QVT Fund V LP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. | C Conversion of derivative security | −1,000,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | QVT Associates GP LLC | QVT Fund V LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. | C Conversion of derivative security | −219,000 0 owned after | $0.00 | 2014-02-21 | |
| 2014-02-19 | GLAXOSMITHKLINE PLC Other (Former 10% Owner) | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −800,000 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | GLAXOSMITHKLINE PLC Other (Former 10% Owner) | 4 | Series D Convertible Preferred Stock Derivative · Indirect · By Glaxo Group Limited | C Conversion of derivative security | −6,666,667 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Adage Capital Advisors, L.L.C. | ADAGE CAPITAL PARTNERS GP LLC | Atchinson Robert | Gross Phillip | Adage Capital Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,800,000 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,638,450 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −3,165,187 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −841,493 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −561,550 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,084,813 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Polack Axel | TVM Life Science Ventures VI GmbH & Co KG | Goll Alexandra | Birner Hubert | TVM Life Science Ventures VI LP | Fischer Stefan | SCHUHSLER HELMUT 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −288,407 0 owned after | $0.00 | 2014-02-20 | |
| 2014-02-19 | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −100,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −50,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | HUTT PETER BARTON Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | C Conversion of derivative security | −1,368,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | C Conversion of derivative security | −1,710,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | C Conversion of derivative security | −342,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | C Conversion of derivative security | −152,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | C Conversion of derivative security | −190,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | Greylock XII GP LLC | Greylock XII-A Limited Partnership | Greylock XII Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | C Conversion of derivative security | −38,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | AFEYAN NOUBAR | Flagship Ventures Fund 2004 L P | Flagship Ventures General Partner LLC | KANIA EDWIN M JR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,000,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | AFEYAN NOUBAR | Flagship Ventures Fund 2004 L P | Flagship Ventures General Partner LLC | KANIA EDWIN M JR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −525,500 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | ALDRICH RICHARD Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By RA Capital Associates, Inc. | C Conversion of derivative security | −300,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-19 | ALDRICH RICHARD Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By RA Capital Associates, Inc. | C Conversion of derivative security | −50,000 0 owned after | $0.00 | 2014-02-19 | |
| 2014-02-12 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Glaxo Group Limited | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Ratcliffe Liam | Lathi Vijay K | New Leaf Ventures I, L.P. | New Leaf Venture Management I, L.L.C. | HUNT RONALD | NIEDEL JAMES | New Leaf Venture Management I, L.P. | Delagardelle Jeani | Chambon Philippe O. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Ratcliffe Liam | Lathi Vijay K | New Leaf Ventures I, L.P. | New Leaf Venture Management I, L.L.C. | HUNT RONALD | NIEDEL JAMES | New Leaf Venture Management I, L.P. | Delagardelle Jeani | Chambon Philippe O. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | BROOKSIDE CAPITAL MANAGEMENT LLC | BROOKSIDE CAPITAL INVESTORS L P | BROOKSIDE CAPITAL PARTNERS FUND LP 10% Owner | 10% Owner | 10% Owner | 3 | SERIES B CONVERTIBLE PREFERRED STOCK Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | BROOKSIDE CAPITAL MANAGEMENT LLC | BROOKSIDE CAPITAL INVESTORS L P | BROOKSIDE CAPITAL PARTNERS FUND LP 10% Owner | 10% Owner | 10% Owner | 3 | SERIES C CONVERTIBLE PREFERRED STOCK Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | ADAGE CAPITAL PARTNERS GP LLC | Adage Capital Partners, L.P. | Adage Capital Advisors, L.L.C. | Gross Phillip | Atchinson Robert 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See FN | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | QVT Fund LP | QVT Associates GP LLC 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Through QVT Fund LP and Quintessence Fund L.P. | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | QVT Fund LP | QVT Associates GP LLC 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Through QVT Fund LP and Quintessence Fund L.P. | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | QVT Fund LP | QVT Associates GP LLC 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Through QVT Fund LP and Quintessence Fund L.P. | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Flagship Ventures Fund 2004 L P | Flagship Ventures General Partner LLC | AFEYAN NOUBAR | KANIA EDWIN M JR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Flagship Ventures Fund 2004 L P | Flagship Ventures General Partner LLC | AFEYAN NOUBAR | KANIA EDWIN M JR 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Polack Axel | Goll Alexandra | Birner Hubert | SCHUHSLER HELMUT | TVM Life Science Ventures VI LP | Fischer Stefan | TVM Life Science Ventures VI GmbH & Co KG 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | JAEGER WILFRED E | THREE ARCH PARTNERS IV LP | Three Arch Management IV, L.L.C. | THREE ARCH ASSOCIATES IV LP | WAN MARK A Director, 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | THREE ARCH PARTNERS III LP | THREE ARCH ASSOCIATES III LP | THREE ARCH MANAGEMENT III LLC | WAN MARK A | JAEGER WILFRED E 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Tung Roger D Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | HUTT PETER BARTON Director | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Greylock XII Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Greylock XII Limited Partnership | Greylock XII-A Limited Partnership | Greylock XII GP LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Greylock XII-A Limited Partnership | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | Freund John Gordon | Skyline Venture Management IV, LLC | KANEKO YASUNORI | Skyline Venture Partners Qualified Purchaser Fund IV L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | ALDRICH RICHARD Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 | ||
| 2014-02-12 holding as of filing | ALDRICH RICHARD Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-02-12 |