Dermira, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 108 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-08: Reporting owner BARRETT M JAMES; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2014-10-08: Reporting owner BARRETT M JAMES; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2014-10-08: Reporting owner BARRETT M JAMES; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2014-10-08: Reporting owner Weller Harry R; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-10-08 | BARRETT M JAMES 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BARRETT M JAMES 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BARRETT M JAMES 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Weller Harry R 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Weller Harry R 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Weller Harry R 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Viswanathan Ravi 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Viswanathan Ravi 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Viswanathan Ravi 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | SANDELL SCOTT D 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | SANDELL SCOTT D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | SANDELL SCOTT D 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | MOTT DAVID M 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | MOTT DAVID M 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | MOTT DAVID M 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KERINS PATRICK J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KERINS PATRICK J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | KERINS PATRICK J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | DRANT RYAN D 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | DRANT RYAN D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | DRANT RYAN D 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BASKETT FOREST 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BASKETT FOREST 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BASKETT FOREST 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BARRIS PETER J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BARRIS PETER J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BARRIS PETER J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,378,408 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −655,321 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −382,840 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Hutton Wende S Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,708,040 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Hutton Wende S Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −469,878 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Hutton Wende S Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −272,955 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,708,040 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −469,878 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −272,955 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,337,590 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −44,545 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −643,066 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −12,254 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −375,681 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | CRAVES FRED B Director | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −7,159 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −2,337,590 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −44,545 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −643,066 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −12,254 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −375,681 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | Bay City Capital Fund V, L.P. | BAY CITY CAPITAL LLC | Bay City Capital Fund V Co-Investment Fund, L.P. | Bay City Capital Management V LLC 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −7,159 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | WIGGANS THOMAS G Director, Officer (CEO & Chairman of the Board) | 4 | Series A Preferred Stock Derivative · Indirect · Held by the Wiggans Living Trust dated 5/14/02 | C Conversion of derivative security | −82,043 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | WIGGANS THOMAS G Director, Officer (CEO & Chairman of the Board) | 4 | Series C Preferred Stock Derivative · Indirect · Held by the Wiggans Living Trust dated 5/14/02 | C Conversion of derivative security | −25,965 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-08 | BAUER EUGENE A Director, Officer (Chief Medical Officer) | 4 | Series A Preferred Stock Derivative · Indirect · By the Bauer Family 1995 Trust | C Conversion of derivative security | −18,272 0 owned after | $0.00 | 2014-10-08 | |
| 2014-10-02 holding as of filing | Weller Harry R 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Weller Harry R 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Weller Harry R 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 1 | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Canaan VIII LP | Canaan Partners VIII LLC Director, 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Bay City Capital Management V LLC | Bay City Capital Fund V, L.P. | Bay City Capital Fund V Co-Investment Fund, L.P. | BAY CITY CAPITAL LLC 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | WIGGANS THOMAS G Director, Officer (CEO & Chairman of the Board) | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | WIGGANS THOMAS G Director, Officer (CEO & Chairman of the Board) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Hutton Wende S Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-10-02 | ||
| 2014-10-02 holding as of filing | Hutton Wende S Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-10-02 |