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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) | (1) | 11/16/2010 | C | 315,746 | (6) | (7) | Common Stock | 315,746 | (1) | 0 | D (2) | ||||
| Series B Preferred Stock (3) | (3) | 11/16/2010 | C | 257,677 | (6) | (7) | Common Stock | 257,677 | (3) | 0 | D (2) | ||||
| Series C Preferred Stock (4) | (4) | 11/16/2010 | C | 177,084 | (6) | (7) | Common Stock | 177,084 | (4) | 0 | D (2) | ||||
| Series D Preferred Stock (5) | (5) | 11/16/2010 | C | 488,789 | (6) | (7) | Common Stock | 488,789 | (5) | 0 | D (2) | ||||
| Series E Preferred Stock (5) | (5) | 11/16/2010 | C | 547,094 | (6) | (7) | Common Stock | 547,094 | (5) | 0 | D (2) | ||||
| Warrant to Purchase Common Stock | $ 1.5 | 11/16/2010 | X | 308,930 | (8) | 08/12/2016 | Common Stock | 308,930 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series B Preferred Stock (3) | $ 11.642 (9) | 11/16/2010 | J(10) | 924 | (8) | 02/21/2012 | Common Stock | 924 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series B Preferred Stock (3) | $ 11.642 (9) | 11/16/2010 | J(10) | 242 | (8) | 03/12/2012 | Common Stock | 242 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series D Preferred Stock (5) | $ 7.56 | 11/16/2010 | X | 32,364 | (8) | 02/13/2014 | Common Stock | 32,364 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series D Preferred Stock (5) | $ 7.56 | 11/16/2010 | X | 17,261 | (8) | 04/06/2014 | Common Stock | 17,261 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series D Preferred Stock (5) | $ 7.56 | 11/16/2010 | X | 2,958 | (8) | 06/12/2014 | Common Stock | 2,958 | $ 0 | 0 | D (2) | ||||
| Warrant to Purchase Series D Preferred Stock (5) | $ 7.56 | 11/16/2010 | X | 1,096 | (8) | 08/05/2014 | Common Stock | 1,096 | $ 0 | 0 | D (2) | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ENTERPRISE PARTNERS VI LP C/O ENTERPRISE PARTNERS 2223 AVENIDA DE LA PLAYA, SUITE 300 LA JOLLA, CA 92037-3218 |
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| /s/ Andrew E. Senyei, Managing Director, Enterprise Partners VI, L.P. | 11/16/2010 | |
| **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) | Each share of Series A Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 4.615101 conversion ratio applicable to such shares. |
| (2) | The shares are owned by Enterprise Partners VI, LP ("Enterprise VI"). Enterprise Management Partners VI, LLC ("Enterprise VI LLC") serves as the general partner of Enterprise VI. Andrew E. Senyei, M.D. is a managing director of Enterprise VI LLC and shares voting and investment power over the shares held by Enterprise VI. |
| (3) | Each share of Series B Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 5.926613 conversion ratio applicable to such shares. |
| (4) | Each share of Series C Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 8.241076 conversion ratio applicable to such shares. |
| (5) | Each share of Series D and Series E Preferred Stock was automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering. |
| (6) | The securities are immediately convertible. |
| (7) | The expiration date is not relevant to the conversion of these securities. |
| (8) | The warrant is immediately exercisable. |
| (9) | The Exercise Price of the Warrant to Purchase Series B Preferred Stock is $69.00 per share of Series B Preferred Stock. The exercise price is reported on an "as converted" basis after giving effect to the 5.926613 conversion ratio. |
| (10) | Warrant canceled pursuant to its terms concurrent with closing of Issuer's initial public offering. |