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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
New Leaf Ventures II, L.P. C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
New Leaf Venture Associates II, L.P. C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
New Leaf Venture Management II, L.L.C. C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
Chambon Philippe O. C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
NIEDEL JAMES C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
HUNT RONALD C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X | |||
Lathi Vijay K C/O NEW LEAF VENTURES 1200 PARK PLACE, SUITE 300 SAN MATEO, CA 94043 |
X | |||
Delagardelle Jeani C/O NEW LEAF VENTURES 1200 PARK PLACE, SUITE 300 SAN MATEO, CA 94043 |
X | |||
Ratcliffe Liam C/O NEW LEAF VENTURES TIMES SQUARE TOWER, 7 TIMES SQ, STE 3502 NEW YORK, NY 10036 |
X |
/s/ Craig L. Slutzkin, Chief Financial Officer of New Leaf Venture Management II, L.L.C., the sole general partner of New Leaf Venture Associates II, L.P., the sole general partner of New Leaf Ventures II, L.P. | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, Chief Financial Officer of New Leaf Venture Management II, L.L.C., the sole general partner of New Leaf Venture Associates II, L.P. | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, Chief Financial Officer of New Leaf Venture Management II, L.L.C. | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for Philippe O. Chambon | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for James Niedel | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for Ronald Hunt | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for Vijay Lathi | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for Jeani Delagardelle | 10/01/2014 | |
**Signature of Reporting Person | Date | |
/s/ Craig L. Slutzkin, as Attorney-in-Fact for Liam Ratcliffe | 10/01/2014 | |
**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) | The price reported in Column 4 is a weighted average price (net of commissions). These shares were sold in multiple transactions at prices ranging from $19.75 to $20.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(2) | Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management") is the general partner of NLV Associates. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi, James Niedel and Liam Ratcliffe are the individual managers of NLV Management (the "Individual Managers"). NLV Associates and NLV Management disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. As one of six individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his economic interest. |