|
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 | ||||||||
Series B Preferred Stock | (4) | 10/11/2007 | 10/11/2007 | C | 779,872 (3) | (5) | (5) | Common Stock | 779,872 (3) | $ 14.502 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Freund John Gordon C/O SKYLINE VENTURES 525 UNIVERSITY AVENUE, SUITE 520 PALO ALTO, CA 94301 |
X |
/s/ John G. Freund, M.D. | 03/16/2010 | |
**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 123,306 shares held by Skyline Venture Partners Qualified Purchaser Fund III, L.P. ("SVPQFIII"), 3,068 shares held by Skyline Venture Partners III, L.P. ("SVPIII") and 2,488 shares held by Skyline Expansion Fund, L.P. ("SEF") received pursuant to the cumulative stock dividend. This also represents 83,333 shares held by SEF previously reported by the Reporting Person on a Form 4 filing. This amendment corrects the number of shares held by each of SVPQFIII, SVPIII and SEF. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(2) | Represents the aggregate cumulative holdings, including the shares represented in footnote 1 above, of SVPQFIII of 1,645,733 shares, SVPQFIII of 40,971 shares and SEF of 164,289 shares. This amendment corrects the number of shares held by each of SVPQFIII, SVPIII and SEF and also represents an increase of one share beneficially owned by the Reporting Person. Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(3) | This amendment corrects the number of shares of common stock issued upon conversion of the issuer's Series B Preferred Stock by one additional share. |
(4) | All outstanding shares of the issuer's preferred stock were automatically converted into common stock on a 1-for-1 basis upon the closing of the issuer's initial public offering, for no additional consideration. |
(5) | Not applicable, see Note 4. |