UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | Â (1) | Â (2) | Common Stock | 364,585 (3) | $ 0 | D (4) (5) (6) | Â |
Series B Preferred Stock | Â (7) | Â (2) | Common Stock | 357,145 (3) | $ 0 | D (4) (6) (8) | Â |
Series C Preferred Stock | Â (9) | Â (2) | Common Stock | 710,228 (3) | $ 0 | D (4) (6) (10) | Â |
Series D Preferred Stock | Â (9) | Â (2) | Common Stock | 517,022 (3) | $ 0 | I | See footnotes (11) (12) (13) |
Series D Preferred Warrant (Right to Buy) | Â (9) | 11/01/2018 | Common Stock | 103,404 (3) | $ 8.45 | I | See footnotes (11) (12) (13) |
Series E Preferred Stock | Â (9) | Â (2) | Common Stock | 94,449 (3) | $ 0 | I | See footnotes (13) (14) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OVP VENTURE PARTNERS VI LP C/O OVP VENTURE PARTNERS 1616 EASTLAKE AVE. E., SUITE 208 SEATTLE, WA 98102 |
 |  X |  |  |
OVP VENTURE PARTNERS VII LP C/O OVP VENTURE PARTNERS 1616 EASTLAKE AVE. E., SUITE 208 SEATTLE, WA 98102 |
 |  X |  |  |
OVP VI ENTREPRENEURS FUND LP C/O OVP VENTURE PARTNERS 1616 EASTLAKE AVE. E., SUITE 208 SEATTLE, WA 98102 |
 |  X |  |  |
OVP VII ENTREPRENEURS FUND LP C/O OVP VENTURE PARTNERS 1616 EASTLAKE AVE. E., SUITE 208 SEATTLE, WA 98102 |
 |  X |  |  |
/s/ Barbara Mery, Attorney-in-fact | 07/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ Barbara Mery, Attorney-in-fact | 07/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ Barbara A. Mery, Attorney-in-fact | 07/26/2013 | |
**Signature of Reporting Person | Date | |
/s/ Barbara Mery, Attorney-in-fact | 07/26/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Reflects the automatic conversion of each share of Series A Preferred Stock into 1.4030303030303 shares of Common Stock to occur upon the closing of the Issuer's initial public offering. |
(2) | Each share has no expiration date. |
(3) | Reflects a 1-for-32 reverse stock split of the Issuer's outstanding shares effected June 12, 2013. |
(4) | The shares were erroneously reported as indirectly held on the Reporting Person's initial Form 3. |
(5) | 357,293 of these shares are owned by OVP Venture Partners VI, L.P., and 7,293 of these shares are owned by OVP VI Entrepreneurs Fund, L.P. |
(6) | OVMC VI, LLC serves as the general partner of OVP Venture Partners VI, L.P. and OVP VI Entrepreneurs Fund, L.P. Charles P. Waite, Jr. is a managing member of OVMC VI, LLC, the general partner of OVP Venture Partners VI, L.P. and OVP VI Entrepreneurs Fund, L.P., and shares voting and investment power over the shares held by OVP Venture Partners VI, L.P. and OVP VI Entrepreneurs Fund, L.P. Charles P. Waite, Jr. is also a managing member of OVMC VII, LLC the general partner of OVP Venture Partners VII, L.P. and OVP VII Entrepreneurs Fund, L.P., and shares voting and investment power over shares held by OVP Venture Partners VII, L.P. and OVP VI Entrepreneurs Fund, L.P. Mr. Waite, the other managing members of OVMC VI, LLC and OVMC VII, LLC, and each of the aforementioned entities disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |
(7) | Reflects the automatic conversion of each share of Series B Preferred Stock into 1.55942857142857 shares of Common Stock to occur upon the closing of the Issuer's initial public offering. |
(8) | 350,001 of these shares are owned by OVP Venture Partners VI, L.P., and 7,144 of these shares are owned by OVP VI Entrepreneurs Fund, L.P. |
(9) | Reflects the automatic conversion of each share of Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock into one share of Common Stock to occur upon the closing of the Issuer's initial public offering. |
(10) | 705,256 of these shares are owned by OVP Venture Partners VI, L.P., and 4,972 of these shares are owned by OVP VI Entrepreneurs Fund, L.P. |
(11) | These shares are owned by OVP Venture Partners VII, L.P. |
(12) | The shares were erroneously reported as directly held on the Reporting Person's initial Form 3. |
(13) | OVMC VII, LLC serves as the general partner of OVP Venture Partners VII, L.P. and OVP VII Entrepreneurs Fund, L.P. Charles P. Waite, Jr. is a managing member of OVMC VII, LLC and shares voting and investment power over the shares held by OVP Venture Partners VII, L.P. and OVP VII Entrepreneurs Fund, L.P. Mr. Waite, Jr. is also a managing member of OVMC VI, LLC the general partner of OVP Venture Partners VI, L.P. and OVP VI Entrepreneurs Fund, L.P., and shares voting and investment power over shares held by OVP Venture Partners VI, L.P. and OVP VI Entrepreneurs Fund, L.P. Mr. Waite, the other managing members of OVMC VI, LLC and OVMC VII, LLC, and each of the aforementioned entities disclaim beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |
(14) | 93,504 of these shares are owned by OVP Venture Partners VII, L.P., and 945 of these shares are owned by OVP VII Entrepreneurs Fund, L.P. |