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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (1) | 07/01/2013 | C | 1,816,475 | (1) | (1) | Common Stock | 1,816,475 | $ 0 | 0 | I | By Aisling Capital II, L.P. (2) | |||
Warrant to Purchase Preferred Stock | $ 1 (4) | 07/01/2013 | J | 497,666 (4) | (3) | 02/12/2018 | Series A Preferred Stock | 497,666 | $ 0 | 0 | I | By Aisling Capital II, L.P. (2) | |||
Warrant to Purchase Common Stock | $ 6.99 (4) | 07/01/2013 | J | 71,237 (4) | (3) | 02/12/2018 | Common Stock | 71,237 | $ 0 | 71,237 | I | By Aisling Capital II, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Aisling Capital II LP 888 7TH AVENUE 30TH FLOOR NEW YORK, NY 10106 |
X | |||
AISLING CAPITAL PARTNERS, LP 888 7TH AVENUE, 30TH FLOOR NEW YORK, NY 10106 |
X | |||
AISLING CAPITAL PARTNERS LLC 888 7TH AVENUE, 30TH FLOOR NEW YORK, NY 10106 |
X | |||
SCHIFF ANDREW N 888 7TH AVENUE 30TH FLOOR NEW YORK, NY 10106 |
X | |||
Purcell Dennis J 888 7TH AVENUE, 30TH FLOOR NEW YORK, NY 10106 |
X | |||
ELMS STEVE 888 7TH AVENUE, 30TH FLOOR NEW YORK, NY 10106 |
X |
/s/ Aisling Capital II, LP, by /s/ Lloyd Appel | 07/01/2013 | |
**Signature of Reporting Person | Date | |
/s/ Aisling Capital Partners, LLC, by /s/ Lloyd Appel | 07/01/2013 | |
**Signature of Reporting Person | Date | |
/s/ Aisling Capital Partners, LP, by /s/ Lloyd Appel | 07/01/2013 | |
**Signature of Reporting Person | Date | |
/s/ Andrew N. Schiff | 07/01/2013 | |
**Signature of Reporting Person | Date | |
/s/ Dennis J. Purcell | 07/01/2013 | |
**Signature of Reporting Person | Date | |
/s/ Steve Elms | 07/01/2013 | |
**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) | The Series A Preferred Stock was automatically converted into Common Stock on a 6.986-for-1 basis upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date. |
(2) | The reportable securities are owned directly by Aisling Capital II, LP ("Aisling"), and held indirectly by Aisling Capital Partners, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members of Aisling Partners. The individual managing members (collectively, the "Managers") of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Aisling GP, Aisling Partners, and the Managers share voting and dispositive power over the shares directly held by Aisling. |
(3) | The warrant is immediately exercisable. |
(4) | Upon the closing of the Issuer's initial public offering, this warrant to purchase shares of Series A Preferred Stock automatically converted on a 6.986-for-1 basis into a warrant to purchase shares of Common Stock, and the exercise price automatically adjusted accordingly. The transaction is listed solely for the purpose of reporting the change in the shares underlying the warrant and the change in exercise price. |