Histogen Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-07-30: Reporting owner Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP; Form 4; Security Warrant to Purchase Common Stock; Transaction C Conversion of derivative security.
- 2013-07-30: Reporting owner Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP; Form 4; Security Warrant to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-07-30: Reporting owner Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP; Form 4; Security Warrant to Purchase Common Stock; Transaction C Conversion of derivative security.
- 2013-07-30: Reporting owner Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP; Form 4; Security Warrant to Purchase Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Ventures III, L.P. | C Conversion of derivative security | +73,395 73,395 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Ventures III, L.P. | X Exercise of in-the-money or at-the-money derivative security | −73,395 0 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Ventures III, L.P. | C Conversion of derivative security | −42,336 0 owned after | $0.90 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Ventures III, L.P. | C Conversion of derivative security | +5,131 5,131 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Partners III, L.P. | C Conversion of derivative security | +1,727 1,727 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Partners III, L.P. | X Exercise of in-the-money or at-the-money derivative security | −1,727 0 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | Aberdare Ventures III LP | Aberdare GP III, L.L.C. | Aberdare Partners III LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Aberdare Partners III, L.P. | C Conversion of derivative security | +120 120 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | +73,395 73,395 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −73,395 0 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | −42,336 0 owned after | $0.90 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | +5,131 5,131 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | +1,727 1,727 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,727 0 owned after | $0.08 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | +120 120 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | Scopa James Paul Director | 4 | Warrant to Purchase Common Stock (Right to Buy) Derivative · Indirect · (m) | C Conversion of derivative security | +32,220 32,220 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | Foley Todd | EVNIN LUKE | KAILIAN VAUGHN M | Vander Vort John | GADICKE ANSBERT 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock (Right to Buy) Derivative · Indirect · See Footnote | C Conversion of derivative security | +32,220 32,220 owned after | $7.43 exercise price | 2013-08-01 | |
| 2013-07-30 | MPM BioVentures IV LLC | MPM BIOVENTURES V LLC | MPM BioVentures IV GP LLC | MPM BioVentures IV QP LP | MPM ASSET MANAGEMENT INVESTORS BV5 LLC | MPM BIOVENTURES V, L.P. | MPM BioVentures IV GmbH & Co. Beteiligungs KG | MPM BIOVENTURES V GP LLC | MPM Asset Management Investors BV4 LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock (Right to Buy) Derivative · Indirect · See Footnote | C Conversion of derivative security | +32,220 32,220 owned after | $7.43 exercise price | 2013-08-01 |