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 | ||||
Warrant to purchase Series D-1 Preferred Stock | Â (2) | Â (2) | Common Stock | 254,910 | $ 1.5 | I | See Footnote (3) |
Series B Preferred Stock | Â (4) | Â (4) | Common Stock | 245,333 | $ (4) | I | See Footnote (5) |
Series D Preferred Stock | Â (4) | Â (4) | Common Stock | 717,487 | $ (4) | I | See Footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BB BIOVENTURES L P C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
BAB BIO VENTURES LLP C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
BAB BIO VENTURES NV C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM ASSET MANAGEMENT INVESTORS 1999 LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM BIOVENTURES PARALLEL FUND L P C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM BIOVENTURES I LP C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM BIO VENTURES I LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
EVNIN LUKE C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
STEINMETZ MICHAEL C/O MPM ASSET MANAGEMENT 200 CLARENDON STREET, 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
By Ansbert Gadicke, managing director of BAB BioVentures NV, the general partner of BAB BioVentures L.P., the general partner of BB BioVentures L.P. /s/ Ansbert Gadicke | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Ansbert Gadicke, managing director of BAB BioVentures NV, the general partner of BAB BioVentures L.P. /s/ Ansbert Gadicke | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Ansbert Gadicke, managing director of BAB BioVentures NV /s/ Ansbert Gadicke | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Luke Evnin, manager of MPM Asset Management Investors 1999 LLC /s/ Luke Evnin | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Luke Evnin, manager of MPM BioVentures I LLC, the general partner of MPM BioVentures I L.P., the general partner of MPM BioVentures Parallel Fund, L.P. /s/ Luke Evnin | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Luke Evnin, manager of MPM BioVentures I LLC, the general partner of MPM BioVentures I L.P. /s/ Luke Evnin | 04/26/2007 | |
**Signature of Reporting Person | Date | |
By Luke Evnin, manager of MPM BioVentures I LLC /s/ Luke Evnin | 04/26/2007 | |
**Signature of Reporting Person | Date | |
/s/ Luke Evnin | 04/26/2007 | |
**Signature of Reporting Person | Date | |
/s/ Michael Steinmetz | 04/26/2007 | |
**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) | These shares are held as follows: 1,543,176 shares by BB BioVentures, L.P. ("BBBV"), 18,433 shares by MPM Asset Management Investors 1999 LLC ("AM 1999"), 210,814 shares by MPM BioVentures Parallel Fund, L.P. ("BV PF"), 46,335 shares by MPM BioVentures III, L.P., ("BV III"), 689,062 shares by MPM BioVentures III-QP, L.P. ("BV III QP"), 58,233 shares held by MPM BioVentures III GmbH & Co. Beteiligungs KG ("BV KG"), 20,812 shares by MPM BioVentures III Parallel Fund, L.P. ("BV III PF") and 16,381 shares held by MPM Asset Management Investors 2004 BVIII LLC ("AM BV III"). MPM BioVentures I, L.P. ("BV I") and MPM BioVentures I LLC ("BV I LLC") are the direct and indirect general partners of BV PF. BAB BioVentures L.P. ("BAB BV"), BAB BioVentures, N.V. ("BAB NV") and BV I LLC are the direct and indirect general partners of BB BV. Luke Evnin and Michael Steinmetz are managers of AM 1999 and BV I LLC. MPM BioVentures III GP, L.P. ("BV III GP") and MPM BioVentures III LLC ("BV III LLC") are the direct and indirect general partners of BV III, BV III QP, BV III PF and BV KG. Luke Evnin and Michael Steinmetz are members of BV III LLC and AM BV III. Each member of the group disclaims beneficial ownership of all such shares except to the extent of their respective proportionate pecuniary interests therein. |
(2) | Immediately exercisable. These warrants shall expire upon the closing of the Issuer's initial public offering. |
(3) | The shares, on a post-conversion basis, are held as follows: 34,859 by BBBV, 408 by AM 1999, 3,957 by BV PF, 12,029 by BV III, 178,885 by BV III QP, 15,117 by BV KG, 5,403 by BV III PF and 4,253 by AM BV III. Each member of the group disclaims beneficial ownership of all such shares except to the extent of their respective proportionate pecuniary interests therein. |
(4) | Each share of preferred stock will convert automatically on a .666667 for 1 basis into shares of Common Stock upon the closing of the Issuer's initial public offering. |
(5) | The shares, on a post-conversion basis, are held as follows: 213,759 by BBBV, 29,023 by AM 1999 and 2,551 by BV PF. Each member of the group disclaims beneficial ownership of all such shares except to the extent of their respective proportionate pecuniary interests therein. |
(6) | The shares, on a post-conversion basis, are held as follows: 98,115 by BBBV, 1,148 by AM 1999, 11,139 by BV PF, 33,857 by BV III, 503,500 by BV III QP, 42,551 by BV KG, 15,207 by BV III PF and 11,970 by AM BV III. Each member of the group disclaims beneficial ownership of all such shares except to the extent of their respective proportionate pecuniary interests therein. |