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.
- 2013-11-14: Reporting owner ROCKLAGE SCOTT M; Form 3; Security Warrant to Purchase Preferred Stock; Transaction Holding.
- 2013-11-14: Reporting owner ROCKLAGE SCOTT M; Form 3; Security Warrant to Purchase Preferred Stock; Transaction Holding.
- 2013-11-14: Reporting owner 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P.; Form 3; Security Series C-1 Preferred Stock; Transaction Holding.
- 2013-11-14: Reporting owner 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P.; Form 3; Security Series C-1 Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM Co-Investors III, L.P. | 5AM Partners III, LLC | 5AM VENTURES III, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | 5AM CO-INVESTORS II LP | 5AM Ventures II LP | 5AM Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See Footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | New Leaf Venture Management I, L.P. | Ratcliffe Liam | NIEDEL JAMES | Delagardelle Jeani | Lathi Vijay K | New Leaf Ventures I, L.P. | Chambon Philippe O. | New Leaf Venture Management I, L.L.C. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | Director, 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Direct | Holding | $13.50 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | SILVERSTEIN JONATHAN 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 | SILVERSTEIN JONATHAN 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 | SILVERSTEIN JONATHAN 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 | SILVERSTEIN JONATHAN 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 | SILVERSTEIN JONATHAN 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 | SILVERSTEIN JONATHAN 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 | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Series C-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 | ||
| 2013-11-14 holding as of filing | ORBIMED ADVISORS LLC | OrbiMed Capital GP IV LLC | ISALY SAMUEL D 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Preferred Stock Derivative · Indirect · See footnotes | Holding | $0.17 exercise price | 2013-11-14 |