IVERIC bio, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 59 rows, 59 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-03-25: Reporting owner Novo A/S; Form 4; Security SERIES A PREFERRED STOCK WARRANT (RIGHT TO BUY); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-09-30: Reporting owner HBM Healthcare Investments (Cayman) Ltd.; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2013-09-30: Reporting owner HBM Healthcare Investments (Cayman) Ltd.; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2013-09-30: Reporting owner HBM Healthcare Investments (Cayman) Ltd.; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-03-25 | Novo A/S 10% Owner | 4 | SERIES A PREFERRED STOCK WARRANT (RIGHT TO BUY) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −13,668 0 owned after | $0.06 exercise price | 2015-03-26 | |
| 2013-09-30 | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,806,937 0 owned after | no price filed | 2013-10-03 | |
| 2013-09-30 | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −398,208 0 owned after | no price filed | 2013-10-03 | |
| 2013-09-30 | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −206,756 0 owned after | no price filed | 2013-10-03 | |
| 2013-09-30 | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 4 | Series A Preferred Stock Warrant Derivative · Direct | C Conversion of derivative security | −13,670 0 owned after | $0.00 | 2013-10-03 | |
| 2013-09-30 | Novo A/S | 4 | SERIES A PREFERRED STOCK Derivative · Direct | C Conversion of derivative security | −14,374,443 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | Novo A/S | 4 | SERIES B PREFERRED STOCK Derivative · Direct | C Conversion of derivative security | −5,208,334 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | Novo A/S | 4 | SERIES C PREFERRED STOCK Derivative · Direct | C Conversion of derivative security | −15,438,009 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −244,821 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −70,621 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −23,081 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −3,559,398 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Direct · (m) | C Conversion of derivative security | −11,536 0 owned after | $0.06 exercise price | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,036,944 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −337,161 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −101,054 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Direct · (m) | C Conversion of derivative security | −327 0 owned after | $0.06 exercise price | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −29,439 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −9,572 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,660,452 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Indirect · (m) | C Conversion of derivative security | −11,863 0 owned after | $0.06 exercise price | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,066,383 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −346,733 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,660,452 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Indirect · (m) | C Conversion of derivative security | −11,863 0 owned after | $0.06 exercise price | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,066,383 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV, L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −346,733 0 owned after | no price filed | 2013-10-02 | |
| 2013-09-30 | LIPTAK ROBERT | STEINMETZ MICHAEL | Simon Nicholas | Clarus Ventures II, LLC | Clarus Lifesciences II, L.P. | Clarus Ventures II GP, L.P. | WHEELER KURT | HENNER DENNIS | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,542,373 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-30 | LIPTAK ROBERT | STEINMETZ MICHAEL | Simon Nicholas | Clarus Ventures II, LLC | Clarus Lifesciences II, L.P. | Clarus Ventures II GP, L.P. | WHEELER KURT | HENNER DENNIS | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −186,027 0 owned after | $0.00 | 2013-10-02 | |
| 2013-09-25 holding as of filing | Clarus Ventures II, LLC | HENNER DENNIS | Clarus Lifesciences II, L.P. | Clarus Ventures II GP, L.P. | STEINMETZ MICHAEL | WHEELER KURT | LIPTAK ROBERT | Simon Nicholas | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2013-09-25 | ||
| 2013-09-25 holding as of filing | Clarus Ventures II, LLC | HENNER DENNIS | Clarus Lifesciences II, L.P. | Clarus Ventures II GP, L.P. | STEINMETZ MICHAEL | WHEELER KURT | LIPTAK ROBERT | Simon Nicholas | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2013-09-25 | ||
| 2013-09-24 holding as of filing | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | HBM Healthcare Investments (Cayman) Ltd. 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Direct · (m) | Holding | $0.06 exercise price | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Direct · (m) | Holding | $0.06 exercise price | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Indirect · (m) | Holding | $0.06 exercise price | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Shares (Series A Preferred Stock) Derivative · Indirect · (m) | Holding | $0.06 exercise price | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | SVLSF IV, LLC | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | Novo A/S | 3 | SERIES A PREFERRED STOCK Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | Novo A/S | 3 | SERIES B PREFERRED STOCK Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | Novo A/S | 3 | SERIES C PREFERRED STOCK Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-09-24 holding as of filing | Novo A/S | 3 | SERIES A PREFERRED STOCK WARRANT (RIGHT TO BUY) Derivative · Direct | Holding | no price filed | 2013-09-24 | ||
| 2013-08-07 | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +15,388 23,081 owned after | no price filed | 2013-10-02 | |
| 2013-05-23 | PATEL SAMIR CHANDRAKANT Director, Officer (President) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +7,693 7,693 owned after | no price filed | 2013-10-02 |