CUSIP
NO. 03674U102
|
13
D
|
Page 2 of
12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Sofinnova
Venture Partners VI, L.P. (“SVP VI”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
WC
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF
ORGANIZATION Delaware
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
4,088,648
shares,1 which
includes 105,418 shares of Common Stock subject to currently exercisable
warrants, except that Sofinnova Management VI, L.L.C. (“SM VI”), the
general partner of SVP VI, may be deemed to have sole voting power, and
Alain L. Azan (“Azan”), Dr. Michael F. Powell (“Powell”), Dr. James I.
Healy (“Healy”) and Eric P. Buatois (“Buatois”), the managing members of
SM VI, may be deemed to have shared power to vote these
shares.
|
8
|
SHARED
VOTING POWER
See
response to row 7.
|
|
9
|
SOLE
DISPOSITIVE POWER
4,088,648
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, except that SM VI, the general partner of SVP VI,
may be deemed to have sole dispositive power and Azan, Powell, Healy and
Buatois, the managing members of SM VI, may be deemed to have shared power
to dispose of these shares.
|
|
10
|
SHARED
DISPOSITIVE POWER
See
response to row 9.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,088,648
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
EXCLUDES
CERTAIN SHARES
|
¨ |
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.45%
|
14
|
TYPE
OF REPORTING PERSON
|
PN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
3 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Sofinnova
Venture Affiliates VI, L.P. (“SVA VI”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
WC
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF
ORGANIZATION Delaware
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
5,727
shares, except that SM VI, the general partner of SVA VI, may be
deemed to have sole voting power, and Azan, Powell, Healy and Buatois, the
managing members of SM VI, may be deemed to have shared power to vote
these shares.
|
8
|
SHARED
VOTING POWER
See
response to row 7.
|
|
9
|
SOLE
DISPOSITIVE POWER
5,727
shares, except that SM VI, the general partner of SVA VI, may be deemed to
have sole dispositive power and Azan, Powell, Healy and Buatois, the
managing members of SM VI, may be deemed to have shared power to dispose
of these shares.
|
|
10
|
SHARED
DISPOSITIVE POWER
See
response to row 9.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
5,727
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
less
than 0.1%
|
14
|
TYPE
OF REPORTING PERSON
|
PN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
4 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Sofinnova
Venture Partners VI GmbH & Co. KG (“SVP VI KG”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
WC
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF
ORGANIZATION Germany
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
83,246
shares, except that SM VI, the managing limited partner of SVP VI KG,
may be deemed to have sole voting power, and Azan, Powell, Healy and
Buatois, the managing members of SM VI, may be deemed to have shared power
to vote these shares.
|
8
|
SHARED
VOTING POWER
See
response to row 7.
|
|
9
|
SOLE
DISPOSITIVE POWER
83,246
shares, except that SM VI, the managing limited partner of SVP VI KG, may
be deemed to have sole dispositive power and Azan, Powell, Healy and
Buatois, the managing members of SM VI, may be deemed to have shared power
to dispose of these shares.
|
|
10
|
SHARED
DISPOSITIVE POWER
See
response to row 9.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
83,246
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
0.03%
|
14
|
TYPE
OF REPORTING PERSON
|
PN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
5 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Sofinnova
Management VI, L.L.C. (“SM VI”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
AF
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF
ORGANIZATION Delaware
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are owned directly by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI,
the general partner of SVP VI and SVA VI and the managing limited partner
of SVP VI KG, may be deemed to have sole voting power, and Azan, Powell,
Healy and Buatois, the managing members of SM VI, may be deemed to have
shared power to vote these shares.
|
8
|
SHARED
VOTING POWER
See
response to row 7.
|
|
9
|
SOLE
DISPOSITIVE POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are owned directly by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI,
the general partner of SVP VI and SVA VI and the managing limited partner
of SVP VI KG, may be deemed to have sole dispositive power, and Azan,
Powell, Healy and Buatois, the managing members of SM VI, may be deemed to
have shared dispositive power over these shares.
|
|
10
|
SHARED
DISPOSITIVE POWER
See
response to row 9.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,177,621
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.7%
|
14
|
TYPE
OF REPORTING PERSON
|
OO
|
CUSIP
NO. 03674U102
|
13
D
|
Page
6 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Alain
L. Azan (“Azan”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
AF
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION U.S.
Citizen
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
-0-
|
8
|
SHARED
VOTING POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole voting power, and Azan, a managing
member of SM VI, may be deemed to have shared voting power to vote these
shares.
|
|
9
|
SOLE
DISPOSITIVE POWER
-0-
|
|
10
|
SHARED
DISPOSITIVE POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole dispositive power, and Azan, a
managing member of SM VI, may be deemed to have shared power to dispose of
these shares.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,177,621
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.7%
|
14
|
TYPE
OF REPORTING PERSON
|
IN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
7 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Dr.
Michael F. Powell (“Powell”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
AF
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION U.S.
Citizen
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
-0-
|
8
|
SHARED
VOTING POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole voting power, and Powell, a managing
member of SM VI, may be deemed to have shared voting power to vote these
shares.
|
|
9
|
SOLE
DISPOSITIVE POWER
-0-
|
|
10
|
SHARED
DISPOSITIVE POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole dispositive power, and Powell, a
managing member of SM VI, may be deemed to have shared power to dispose of
these shares.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,177,621
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.7%
|
14
|
TYPE
OF REPORTING PERSON
|
IN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
8 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Dr.
James I. Healy (“Healy”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
AF
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION U.S.
Citizen
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
25,443
shares, which includes 5,000 shares issuable pursuant to an outstanding
option exercisable within 60 days.
|
8
|
SHARED
VOTING POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole voting power, and Healy, a managing
member of SM VI, may be deemed to have shared voting power to vote these
shares.
|
|
9
|
SOLE
DISPOSITIVE POWER
25,443
shares, which includes 5,000 shares issuable pursuant to an outstanding
option exercisable within 60 days.
|
|
10
|
SHARED
DISPOSITIVE POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole dispositive power, and Healy, a
managing member of SM VI, may be deemed to have shared power to dispose of
these shares.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,203,064
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.8%
|
14
|
TYPE
OF REPORTING PERSON
|
IN
|
CUSIP
NO. 03674U102
|
13
D
|
Page
9 of 12 Pages
|
1
|
NAME
OF REPORTING PERSON
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
|
Eric
P. Buatois (“Buatois”)
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ¨ (b) x
|
|
3
|
SEC
USE ONLY
|
4
|
SOURCE
OF FUNDS
|
AF
|
|
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
or 2(e) ¨
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION U.S. Permanent
Resident
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
7
|
SOLE
VOTING POWER
-0-
|
8
|
SHARED
VOTING POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole voting power, and Buatois, a
managing member of SM VI, may be deemed to have shared voting power to
vote these shares.
|
|
9
|
SOLE
DISPOSITIVE POWER
-0-
|
|
10
|
SHARED
DISPOSITIVE POWER
4,177,621
shares, which includes 105,418 shares of Common Stock subject to currently
exercisable warrants, all of which are directly owned by or held as
nominee for the benefit of SVP VI, SVA VI and SVP VI KG. SM VI, the
general partner of SVP VI and SVA VI and the managing limited partner of
SVP VI KG, may be deemed to have sole dispositive power, and Buatois, a
managing member of SM VI, may be deemed to have shared power to dispose of
these shares.
|
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH
|
|
REPORTING
PERSON
|
4,177,621
|
|
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 11
|
|
EXCLUDES
CERTAIN SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 11
|
12.7%
|
14
|
TYPE
OF REPORTING PERSON
|
IN
|
ITEM
5.
|
Interest in Securities of the
Issuer.
|
|
(a)
See Rows 11 and 13 for each Reporting Person. The percentage listed in Row
13 for each Reporting Person was calculated based upon 32,835,437 shares
of Common Stock outstanding based on information provided by the
Issuer.
|
|
(b)
See Rows 7, 8, 9, and 10 for each Reporting
Person.
|
|
(c)
In connection with his service on the Issuer’s board of directors, Dr.
James I. Healy received an option to purchase 12,000 shares of Common
Stock on September 30, 2010, 5,000 of which are exercisable within 60 days
of this filing.
|
ITEM
6.
|
Contracts, Arrangements,
Understandings or Relationships with respect to the Securities of the
Issuer.
|
SOFINNOVA
VENTURE PARTNERS VI, L.P., a
Delaware
Limited Partnership
|
||
By:
|
SOFINNOVA
MANAGEMENT VI, L.L.C.,
|
|
a
Delaware Limited Liability Company
|
||
Its:
|
General
Partner
|
|
By:
|
/s/ Nathalie Auber
|
|
Nathalie
Auber
|
||
Attorney-in-Fact
|
||
SOFINNOVA
VENTURE AFFILIATES VI, L.P., a
Delaware
Limited Partnership
|
||
By:
|
SOFINNOVA
MANAGEMENT VI, L.L.C.,
|
|
a
Delaware Limited Liability Company
|
||
Its:
|
General
Partner
|
|
By:
|
/s/ Nathalie Auber
|
|
Nathalie
Auber
|
||
Attorney-in-Fact
|
||
SOFINNOVA
VENTURE PARTNERS VI GMBH
&
CO. KG, a German Limited Partnership
|
||
By:
|
SOFINNOVA
MANAGEMENT VI, L.L.C.,
|
|
a
Delaware Limited Liability Company
|
||
Its:
|
Managing
Limited Partner
|
|
By:
|
/s/ Nathalie Auber
|
|
Nathalie
Auber
|
||
Attorney-in-Fact
|
||
SOFINNOVA
MANAGEMENT VI, a Delaware
Limited
Liability Company
|
||
By:
|
/s/ Nathalie Auber
|
|
Nathalie
Auber
|
||
Attorney-in-Fact
|
ALAIN
L. AZAN
|
||
DR.
JAMES I. HEALY
|
||
DR.
MICHAEL F. POWELL
|
||
ERIC
P. BUATOIS
|
||
By:
|
/s/ Nathalie Auber
|
|
Nathalie
Auber
|
||
Attorney-in-Fact
|