TENGION INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 98 rows, 98 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-04-14: Reporting owner Randall Lorin; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-14: Reporting owner Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-14: Reporting owner Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-14: Reporting owner Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-04-14 | Randall Lorin Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −54,941 0 owned after | no price filed | 2013-09-06 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,400,451 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −248,104 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,457,107 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −92,979 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,452,709 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −105,941 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,049,699 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −39,722 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,047,591 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −149,363 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,479,539 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Dalsgaard Carl-Johan | Christenson Johan | Steiner Eugen | OFCO Club IV | HealthCap IV GP SA 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −55,987 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,400,451 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −248,104 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,457,107 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −92,979 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,452,709 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −105,941 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,049,699 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −39,722 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,047,591 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −149,363 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,479,539 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | HEALTHCAP IV LP | HEALTHCAP IV BIS LP | HealthCap IV GP AB, L.L.C. | Odlander, Fredrikson & Co. AB | HealthCap IV GP SA | Samuelsson Per | Fredrikson Peder | Lindstrand Staffan | Eriksson Per-Olof | HealthCap IV, K.B. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −55,987 0 owned after | $0.00 | 2010-04-16 | |
| 2010-04-14 | Stejbach Mark Officer (VP & Chief Commercial Officer) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −27,500 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Nichtberger Steven Officer (President & CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −62,762 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Nichtberger Steven Officer (President & CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −27,473 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Nichtberger Steven Officer (President & CEO) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,747 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Scheer David Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −132,035 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Scheer David Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −54,945 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Bertram Timothy Officer (SVP, Science & Technology) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −30,925 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Bertram Timothy Officer (SVP, Science & Technology) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,714 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Bertram Timothy Officer (SVP, Science & Technology) | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,494 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | NAHIRNY JAMES J Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −5,623,145 0 owned after | $0.00 | 2010-04-15 | |
| 2010-04-14 | NAHIRNY JAMES J Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,227,825 0 owned after | $0.00 | 2010-04-15 | |
| 2010-04-14 | Oak Investment Partners XI L P 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,277,411 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Oak Investment Partners XI L P 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,639,775 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | Oak Investment Partners XI L P 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,117,638 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | SAFEGUARD SCIENTIFICS INC Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By SDI | C Conversion of derivative security | −4,120,879 0 owned after | no price filed | 2010-04-15 | |
| 2010-04-14 | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL | JOHNSON & JOHNSON 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | C Conversion of derivative security | −4,961,653 0 owned after | $0.00 | 2010-04-14 | |
| 2010-04-14 | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL | JOHNSON & JOHNSON 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | C Conversion of derivative security | −2,162,818 0 owned after | $0.00 | 2010-04-14 | |
| 2010-04-14 | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL | JOHNSON & JOHNSON 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | C Conversion of derivative security | −3,823,817 0 owned after | $0.00 | 2010-04-14 | |
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-13 holding as of filing | OFCO Club IV | Dalsgaard Carl-Johan | HealthCap IV GP SA | Gunterberg Jacob | Forsberg Anki | Odlander Bjorn | Steiner Eugen | Christenson Johan 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-13 | ||
| 2010-04-09 holding as of filing | JOHNSON & JOHNSON | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | JOHNSON & JOHNSON | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | JOHNSON & JOHNSON | JOHNSON & JOHNSON DEVELOPMENT CORP ET AL 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · By Johnson & Johnson Development Corporation | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | NAHIRNY JAMES J Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | NAHIRNY JAMES J Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Gunterberg Jacob | Steiner Eugen | OFCO Club IV | Odlander Bjorn | HealthCap IV GP SA | Forsberg Anki | Dalsgaard Carl-Johan | Christenson Johan 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $23.44 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | HealthCap IV, K.B. | HEALTHCAP IV BIS LP | Odlander, Fredrikson & Co. AB | Fredrikson Peder | HealthCap IV GP AB, L.L.C. | Lindstrand Staffan | HealthCap IV GP SA | Samuelsson Per | Eriksson Per-Olof | HEALTHCAP IV LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | $26.39 exercise price | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Bertram Timothy Officer (SVP, Science & Technology) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Bertram Timothy Officer (SVP, Science & Technology) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Bertram Timothy Officer (SVP, Science & Technology) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Randall Lorin Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Scheer David Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Scheer David Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Stejbach Mark Officer (VP & Chief Commercial Officer) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Nichtberger Steven Director, Officer (President & CEO) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Nichtberger Steven Director, Officer (President & CEO) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Nichtberger Steven Director, Officer (President & CEO) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Oak Investment Partners XI L P 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Oak Investment Partners XI L P 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | Oak Investment Partners XI L P 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-09 | ||
| 2010-04-09 holding as of filing | SAFEGUARD SCIENTIFICS INC Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By SDI | Holding | no price filed | 2010-04-09 |