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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities
only) MPM Bio Ventures IV Q-P, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 3,461,187(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 3,461,187(2) | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,461,187(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
21.5%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 2
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities
only) MPM BioVentures IV GmbH & Co. Beteiligungs KG |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Germany | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 133,342(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 133,342(2) | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
133,342(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.9%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 3
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) MPM Asset Management Investors BV4 LLC |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 98,420(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 98,420(2) | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
98,420(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.6%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
Page 4
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures IV GP LLC |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,594,529(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,594,529(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,594,529(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.3%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
Page 5
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures IV LLC |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
Page 6
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 25,510 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 25,510 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
25,510 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.2%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 7
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III-QP, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 379,381 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 379,381 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
379,381 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
2.5%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 8
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III GmbH & Co. Beteiligungs KG |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Germany | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 32,061 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 32,061 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
32,061 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.2%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 9
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III Parallel Fund, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 11,456 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 11,456 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
11,456 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.1%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 10
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM Asset Management Investors 2004 BVIII LLC |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 9,017 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 9,017 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
9,017 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.1%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
Page 11
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures Strategic Fund, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 62,375 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 62,375 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
62,375 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
0.4%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 12
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III GP, L.P. |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 510,783(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
510,783(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
510,783(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
3.3%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
Page 13
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS I.R.S. Identification No(s). of above person(s) (entities only) MPM BioVentures III LLC |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 510,783(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
510,783(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
510,783(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
3.3%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
Page 14
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) Ansbert Gadicke |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 4,212,749(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
4,212,749(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
4,212,749(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
26.1%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 15
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) Luke Evnin |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 4,212,749(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
4,212,749(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
4,212,749(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
26.1%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 16
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) Steven St. Peter |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 17
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) William Greene |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 18
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) James Paul Scopa |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION |
||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 20,000(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(3) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 20,000(2) | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(3) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,712,949(2) (3) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
23.0%(4) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 19
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) Ashley Dombkowski |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 20
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) Vaughn M. Kailian |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 21
CUSIP No. |
U7117K107 |
1. | NAME OF REPORTING PERSONS. I.R.S. Identification No(s). of above person(s) (entities only) John Vander Vort |
||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||||||||
(a) o | |||||||||||
(b) þ (1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 3,692,949(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH: | 10. | SHARED DISPOSITIVE POWER | |||||||||
3,692,949(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
3,692,949(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | ||||||||||
22.8%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Page 22
Page 23
Page 24
Shares | ||||||||||||||||||||||||||||||||||||||||
Issuable | ||||||||||||||||||||||||||||||||||||||||
Upon | Shares | |||||||||||||||||||||||||||||||||||||||
Exercise of | Issuable | |||||||||||||||||||||||||||||||||||||||
Shares | Warrants | Upon | ||||||||||||||||||||||||||||||||||||||
Issuable | to | Exercise of | ||||||||||||||||||||||||||||||||||||||
Upon | Purchase | Options to | ||||||||||||||||||||||||||||||||||||||
Exercise of | Common | Purchase | Sole | Shared | Sole | Shared | ||||||||||||||||||||||||||||||||||
Reporting | Shares Held | Options | Stock Held | CDIs Held | Voting | Voting | Dispositive | Dispositive | Beneficial | Percentage | ||||||||||||||||||||||||||||||
Person | Directly | Held Directly | Directly | Directly | Power | Power | Power | Power | Ownership | of Class (1) | ||||||||||||||||||||||||||||||
BV IV QP |
2,717,322 | 0 | 361,668 | 382,197 | 3,461,187 | 0 | 3,461,187 | 0 | 3,461,187 | 21.5 | % | |||||||||||||||||||||||||||||
BV IV KG |
104,685 | 0 | 13,933 | 14,724 | 133,342 | 0 | 133,342 | 0 | 133,342 | 0.9 | % | |||||||||||||||||||||||||||||
AM LLC |
77,268 | 0 | 10,284 | 10,868 | 98,420 | 0 | 98,420 | 0 | 98,420 | 0.6 | % | |||||||||||||||||||||||||||||
BV IV GP(2) |
0 | 0 | 0 | 0 | 0 | 3,594,529 | 0 | 3,594,529 | 3,594,529 | 22.3 | % | |||||||||||||||||||||||||||||
BV IV LLC(3) |
0 | 0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % | |||||||||||||||||||||||||||||
BV III |
25,510 | 0 | 0 | 0 | 25,510 | 0 | 25,510 | 0 | 25,510 | 0.2 | % | |||||||||||||||||||||||||||||
BV III QP |
379,381 | 0 | 0 | 0 | 379,381 | 0 | 379,381 | 0 | 379,381 | 2.5 | % | |||||||||||||||||||||||||||||
BV III KG |
32,061 | 0 | 0 | 0 | 32,061 | 0 | 32,061 | 0 | 32,061 | 0.2 | % | |||||||||||||||||||||||||||||
BV III PF |
11,456 | 0 | 0 | 0 | 11,456 | 0 | 11,456 | 0 | 11,456 | 0.1 | % | |||||||||||||||||||||||||||||
AM BVIII LLC |
9,017 | 0 | 0 | 0 | 9,017 | 0 | 9,017 | 0 | 9,017 | 0.1 | % | |||||||||||||||||||||||||||||
BV SF |
62,375 | 0 | 0 | 0 | 62,375 | 0 | 62,375 | 0 | 62,375 | 0.4 | % | |||||||||||||||||||||||||||||
BV III GP(4) |
0 | 0 | 0 | 0 | 0 | 510,783 | 0 | 510,783 | 510,783 | 3.3 | % | |||||||||||||||||||||||||||||
BV III LLC(4) |
0 | 0 | 0 | 0 | 0 | 510,783 | 0 | 510,783 | 510,783 | 3.3 | % | |||||||||||||||||||||||||||||
Ansbert Gadicke(5) |
0 | 0 | 0 | 0 | 0 | 4,212,749 | 0 | 4,212,749 | 4,212,749 | 26.1 | % | |||||||||||||||||||||||||||||
Luke Evnin(5) |
0 | 0 | 0 | 0 | 0 | 4,212,749 | 0 | 4,212,749 | 4,212,749 | 26.1 | % | |||||||||||||||||||||||||||||
Steven St. Peter(6) |
0 | 0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % | |||||||||||||||||||||||||||||
William Greene(6) |
0 | 0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % | |||||||||||||||||||||||||||||
James Paul
Scopa(6)(7) |
0 | 20,000 | 0 | 0 | 20,000 | 3,692,949 | 20,000 | 3,692,949 | 3,712,949 | 23.0 | % | |||||||||||||||||||||||||||||
Ashley Dombkowski(6) |
0 | 0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % | |||||||||||||||||||||||||||||
Vaughn Kailian(6) |
0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % | ||||||||||||||||||||||||||||||
John Vander Vort(6) |
0 | 0 | 0 | 0 | 0 | 3,692,949 | 0 | 3,692,949 | 3,692,949 | 22.8 | % |
(1) | This percentage is calculated based upon 15,371,121 shares of the Issuers Common Stock outstanding as of September 2, 2009 as set forth in Section 2.2 of that certain Agreement and Plan of Merger by and among the Issuer, LEO Pharma A/S and Plant Acquisition Sub, Inc., a Delaware corporation, dated September 2, 2009 (the Merger Agreement), filed as Exhibit 2.1 to the Issuers Current Report on Form 8-K filed with the Securities and Exchange Commission on September 2, 2009 (the Form 8-K) (as adjusted pursuant to Rule 13d-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the Exchange Act)). |
Page 25
(2) | Includes securities held by BV IV QP and BV IV KG. BV IV GP and BV IV LLC are the direct and indirect general partners of BV IV QP and BV IV KG. | |
(3) | Includes securities held by BV IV QP, BV IV KG and AM LLC. BV IV GP and BV IV LLC are the direct and indirect general partners of BV IV QP and BV IV KG and BV IV LLC is the manager of AM LLC. | |
(4) | Includes securities held by BV III, BV III QP, BV III PF, BV IV KG and BV SF. BV III GP and BV III LLC are the direct and indirect general partners of BV III, BV III QP, BV III PF, BV III KG and BV SF. | |
(5) | Includes securities held by BV IV QP, BV IV KG, AM LLC, BV III, BV III QP, BV III PF, BV III KG and BV SF. The Reporting Person is a Series A member of BV III LLC and a manager of AM BVIII LLC. | |
(6) | Includes securities held by BV IV QP, BV IV KG and AM LLC. The Reporting Person is a member of BV IV LLC. | |
(7) | Includes 20,000 shares of Common Stock issuable upon the exercise of options within 60 days of the filing date. |
99.6. | Form of Voting Agreement (including form of Proxy), dated as of September 2, 2009, by and between LEO Pharma A/S and each of the Voting Agreement Parties (incorporated by reference to Exhibit 99.1 to the Issuers Current Report on Form 8-K filed with the Securities and Exchange Commission on September 2, 2009). |
Page 26
MPM BioVentures IV GP LLC |
||||
By: | MPM BioVentures IV LLC, | |||
its Managing Member | ||||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV LLC |
||||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV-QP, L.P. |
||||
By: | MPM BioVentures IV GP LLC, its General Partner | |||
By: | MPM BioVentures IV LLC, its Managing Member | |||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV GmbH & Co. Beteiligungs KG |
||||
By: | MPM BioVentures IV GP LLC, in its capacity as | |||
the Managing Limited Partner | ||||
By: | MPM BioVentures IV LLC, its Managing Member | |||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM Asset Management Investors BV4 LLC |
||||
By: | MPM BioVentures IV LLC | |||
Its: Manager | ||||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member |
Page 27
MPM BioVentures III, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III-QP, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III GmbH & Co. Beteiligungs KG |
|||||
By: | MPM BioVentures III GP, L.P., in its capacity as the Managing Limited Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III Parallel Fund, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM Asset Management Investors 2004 BVIII LLC |
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By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Manager | ||||
MPM BioVentures Strategic Fund, L.P. |
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By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member |
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MPM BioVentures III GP, L.P. |
||||
By: | MPM BioVentures III LLC, its General Partner | |||
By: | /s/ Luke Evnin | |||
Name: | Luke Evnin | |||
Title: | Series A Member | |||
MPM BioVentures III, LLC |
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By: | /s/ Luke Evnin | |||
Name: | Luke Evnin | |||
Title: | Series A Member | |||
Page 29
A. | Form of Voting Agreement (including form of Proxy), dated as of September 2, 2009, by and between LEO Pharma A/S and each of the Voting Agreement Parties (incorporated by reference to Exhibit 99.1 to the Issuers Current Report on Form 8-K filed with the Securities and Exchange Commission on September 2, 2009). | |
B. | Agreement regarding filing of joint Schedule 13D. |
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MPM BioVentures IV GP LLC |
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By: | MPM BioVentures IV LLC, its Managing Member |
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By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV LLC |
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By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV-QP, L.P. |
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By: | MPM BioVentures IV GP LLC, its General Partner | |||
By: | MPM BioVentures IV LLC, its Managing Member | |||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM BioVentures IV GmbH & Co. Beteiligungs KG |
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By: | MPM BioVentures IV GP LLC, in its capacity as the Managing Limited Partner | |||
By: | MPM BioVentures IV LLC, its Managing Member | |||
By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member | |||
MPM Asset Management Investors BV4 LLC |
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By: | MPM BioVentures IV LLC Its: Manager |
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By: | /s/ Vaughn M. Kailian | |||
Name: | Vaughn M. Kailian | |||
Title: | Member |
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MPM BioVentures III, L.P. |
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By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III-QP, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III GmbH & Co. Beteiligungs KG |
|||||
By: | MPM BioVentures III GP, L.P., in its capacity as the Managing Limited Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM BioVentures III Parallel Fund, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member | ||||
MPM Asset Management Investors 2004 BVIII LLC |
|||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Manager | ||||
MPM BioVentures Strategic Fund, L.P. |
|||||
By: | MPM BioVentures III GP, L.P., its General Partner | ||||
By: | MPM BioVentures III LLC, its General Partner | ||||
By: | /s/ Luke Evnin | ||||
Name: | Luke Evnin | ||||
Title: | Series A Member |
Page 32
MPM BioVentures III GP, L.P. |
||||
By: | MPM BioVentures III LLC, its General Partner | |||
By: | /s/ Luke Evnin | |||
Name: | Luke Evnin | |||
Title: | Series A Member | |||
MPM BioVentures III, LLC |
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By: | /s/ Luke Evnin | |||
Name: | Luke Evnin | |||
Title: | Series A Member | |||
/s/ Ansbert Gadicke | ||||
Ansbert Gadicke | ||||
/s/ Luke Evnin | ||||
Luke Evnin | ||||
/s/ Steven St. Peter | ||||
Steven St. Peter | ||||
/s/ William Greene | ||||
William Greene | ||||
/s/ James Paul Scopa | ||||
James Paul Scopa | ||||
/s/ Ashley Dombkowski | ||||
Ashley Dombkowski | ||||
/s/ Vaughn M. Kailian | ||||
Vaughn M. Kailian | ||||
/s/ John Vander Vort | ||||
John Vander Vort | ||||
Page 33