Venus Concept Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 173 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-16: Reporting owner COXE TENCH; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2017-10-16: Reporting owner COXE TENCH; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2017-10-16: Reporting owner COXE TENCH; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2017-10-16: Reporting owner COXE TENCH; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −2,116 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −7,692 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −2,257 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −35,264 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −102,894 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −89,830 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −96,844 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | COXE TENCH 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −83,948 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Irrevocable Trust (WCT) | C Conversion of derivative security | −5,890 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (ROSE) | C Conversion of derivative security | −23,009 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (ROSE) | C Conversion of derivative security | −14,482 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (ROSE) | C Conversion of derivative security | −22,953 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −9,829 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −12,439 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | WHITE JAMES N 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −19,589 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | SUTTER HILL VENTURES 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | SUTTER HILL VENTURES 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | SUTTER HILL VENTURES 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (CHAT) | C Conversion of derivative security | −14,818 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Profit Sharing Plan Trust | C Conversion of derivative security | −3,600 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −35,468 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −44,893 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Speiser Michael L 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −53,905 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −3,910 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −4,948 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Pullara Samuel J III 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −10,910 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −3,910 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −4,948 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | Dyckerhoff Stefan A 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −8,882 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Irrevocable Trust (BICT) | C Conversion of derivative security | −40,982 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (NEST) | C Conversion of derivative security | −31,747 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −479,145 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −606,386 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Ltd Partnership (SHV) | C Conversion of derivative security | −888,690 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −66,684 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −31,476 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | BIRD JEFFREY W Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −71,498 0 owned after | no price filed | 2017-10-18 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −12,466 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −461,717 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −474,184 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −13,650 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −505,580 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −519,230 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −16,643 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −616,446 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | KELLY DOUGLAS E | Hunkapiller Michael | Di Bona Tony | ALLOY VENTURES 2002 LLC | Hanafi Ammar | Shoch John | Rubin Daniel 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −633,094 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −12,466 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −461,717 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −474,184 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −13,650 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −505,580 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −519,230 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −16,643 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −616,446 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | ALLOY VENTURES 2002 LLC | Alloy Ventures 2002, LP | Alloy Ventures 2005, LLC | Alloy Partners 2002, LP | ALLOY VENTURES 2005 LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −633,094 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | GIANOS PHILIP T | InterWest Management Partners IX, LLC | Holmes W Stephen | NASR KHALED | InterWest Partners IX, LP | ORONSKY ARNOLD L 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,538,461 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | GIANOS PHILIP T | InterWest Management Partners IX, LLC | Holmes W Stephen | NASR KHALED | InterWest Partners IX, LP | ORONSKY ARNOLD L 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,647,297 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | Clarus Ventures II, LLC | GALAKATOS NICHOLAS | WHEELER KURT | Clarus Lifesciences II, L.P. | Simon Nicholas | LIPTAK ROBERT | HENNER DENNIS | Clarus Ventures II GP, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,389,105 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −12,466 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −461,717 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −474,184 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −13,650 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −505,580 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −519,230 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −16,643 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −616,446 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | TAYLOR CRAIG C Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −633,094 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | Kliman Gilbert H Director | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,538,461 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | Kliman Gilbert H Director | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,647,297 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | MOLL FREDERIC H Director | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −316,725 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | MOLL FREDERIC H Director | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −153,846 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-16 | MOLL FREDERIC H Director | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −46,620 0 owned after | no price filed | 2017-10-17 | |
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | Hunkapiller Michael | Hanafi Ammar | ALLOY VENTURES 2002 LLC | Shoch John | Di Bona Tony | Rubin Daniel | KELLY DOUGLAS E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | ALLOY VENTURES 2005 LP | ALLOY VENTURES 2002 LLC | Alloy Partners 2002, LP | Alloy Ventures 2005, LLC | Alloy Ventures 2002, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | ALLOY VENTURES 2005 LP | ALLOY VENTURES 2002 LLC | Alloy Partners 2002, LP | Alloy Ventures 2005, LLC | Alloy Ventures 2002, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | ALLOY VENTURES 2005 LP | ALLOY VENTURES 2002 LLC | Alloy Partners 2002, LP | Alloy Ventures 2005, LLC | Alloy Ventures 2002, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | ALLOY VENTURES 2005 LP | ALLOY VENTURES 2002 LLC | Alloy Partners 2002, LP | Alloy Ventures 2005, LLC | Alloy Ventures 2002, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 | ||
| 2017-10-11 holding as of filing | ALLOY VENTURES 2005 LP | ALLOY VENTURES 2002 LLC | Alloy Partners 2002, LP | Alloy Ventures 2005, LLC | Alloy Ventures 2002, LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2017-10-11 |