|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Skyline Venture Partners Qualified Purchaser Fund IV L P 525 UNIVERSITY AVENUE PALO ALTO, CA 94301 |
X | |||
Skyline Venture Management IV, LLC 525 UNIVERSITY AVENUE PALO ALTO, CA 94301 |
X | |||
KANEKO YASUNORI 525 UNIVERSITY AVENUE PALO ALTO, CA 94301 |
X | |||
HOFFMAN STEPHEN J 525 UNIVERSITY AVENUE PALO ALTO, CA 94301 |
X |
/s/ Karensa Kenny as attorney-in-fact Skyline Venture Partners Qualified Purchaser Fund IV, L.P | 03/14/2014 | |
**Signature of Reporting Person | Date | |
/s/ Karensa Kenny as attorney-in-fact Skyline Venture Management IV, LLC | 03/14/2014 | |
**Signature of Reporting Person | Date | |
/s/ Karensa Kenny as attorney-in-fact Yasunori Kaneko | 03/14/2014 | |
**Signature of Reporting Person | Date | |
/s/ Karensa Kenny as attorney-in-fact Stephen Hoffman | 03/14/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents a pro-rata in-kind distribution by Skyline Venture Partners Qualified Purchaser Fund IV, L.P. ("SVP IV") without consideration to its limited and general partners. |
(2) | The shares are held by SVP IV. John G. Freund, M.D. and Yasunori Kaneko, M.D. are the Managing Members of Skyline Venture Management IV, LLC, the general partner of SVP IV, and may be deemed to share voting and dispositive power over the shares held by SVP IV. Stephen Hoffman, M.D., Ph.D. is a member of Skyline Venture Management IV, LLC and may be deemed to share voting and dispositive power with respect to the shares of Common Stock held by SVP IV. Each of Dr. Freund and Mr. Hoffman disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Dr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports. |