Relypsa Inc Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 144 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-20: Reporting owner Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P.; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2013-11-20: Reporting owner Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P.; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2013-11-20: Reporting owner Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P.; Form 4; Security Series B-2 Preferred Stock; Transaction C Conversion of derivative security.
- 2013-11-20: Reporting owner Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P.; Form 4; Security Series C-1 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −497,093 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −259,676 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −378,773 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −541,960 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −125,067 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | Delagardelle Jeani | New Leaf Venture Management I, L.P. | Ratcliffe Liam | New Leaf Venture Management I, L.L.C. | Chambon Philippe O. | NIEDEL JAMES | Lathi Vijay K | New Leaf Ventures I, L.P. Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | Other (Former 10% beneficial owner) | | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −17,671 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −497,093 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −259,676 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −378,773 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −541,960 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −125,067 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −17,671 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,295,845 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,905,702 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −3,007,297 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −693,991 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −1,417,578 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −327,133 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,295,845 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −1,905,702 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,007,297 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −693,991 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −1,417,578 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | OrbiMed Capital GP IV LLC | ORBIMED ADVISORS LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | −327,133 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −442,160 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −102,036 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −11,395 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −2,629 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −757,187 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −386,754 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −576,958 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −207,347 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −47,849 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −29,876 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −15,260 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −22,765 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −8,181 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,888 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,234,230 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −284,822 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −31,809 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −7,340 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −25,208 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −74,281 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −17,141 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −994 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −2,931 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −676 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,234,230 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −284,822 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −31,809 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −7,340 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −442,160 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −102,036 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −11,395 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Co-Investors III, L.P. | 5AM VENTURES III, L.P. | 5AM Partners III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −2,629 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −757,187 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −386,754 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −576,958 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −207,347 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −47,849 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −29,876 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −15,260 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −22,765 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −8,181 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,888 0 owned after | $0.00 | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −25,208 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −74,281 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −17,141 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −994 0 owned after | $13.50 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −2,931 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | 5AM Partners II, LLC | 5AM Ventures II LP | 5AM CO-INVESTORS II LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −676 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | HUNT RONALD Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ROCKLAGE SCOTT M Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · (m) | Holding | $0.17 exercise price | 2013-11-14 |