Relypsa Inc Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 52 rows, 52 shown. 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 Warrant to Purchase Common Stock; Transaction J Other acquisition or disposition (describe transaction).
- 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 Warrant to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-20: Reporting owner HUNT RONALD; Form 4; Security Warrant to Purchase Common Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2013-11-20: Reporting owner HUNT RONALD; Form 4; Security Warrant to Purchase Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +25,977 25,977 owned after | $9.18 exercise price | 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 Common Stock Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,977 0 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +25,977 25,977 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | HUNT RONALD | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,977 0 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +1,417,578 1,417,578 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +327,133 327,133 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | SILVERSTEIN JONATHAN Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 | Warrant to Purchase Common Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +1,417,578 1,417,578 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 Common Stock Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +327,133 327,133 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 Common Stock Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +676 676 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −676 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +442,160 442,160 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +102,036 102,036 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +11,395 11,395 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +2,629 2,629 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,629 0 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +37,056 37,056 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,056 0 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +74,281 74,281 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +17,141 17,141 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +1,461 1,461 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,461 0 owned after | $9.18 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +2,931 2,931 owned after | $0.17 exercise price | 2013-11-20 | |
| 2013-11-20 | ROCKLAGE SCOTT M Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,931 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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +442,160 442,160 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +102,036 102,036 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +11,395 11,395 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +2,629 2,629 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +37,056 37,056 owned after | $9.18 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,056 0 owned after | $9.18 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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +74,281 74,281 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +17,141 17,141 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +1,461 1,461 owned after | $9.18 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,461 0 owned after | $9.18 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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +2,931 2,931 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −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 Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +676 676 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 Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −676 0 owned after | $0.17 exercise price | 2013-11-20 |