|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
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
(MM/DD/YY)
|
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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Series C Preferred Stock Warrant (right to buy) |
$
0.4797 |
09/27/2018 |
|
M |
|
|
6,183 |
(
8
) |
(
8
) |
Series C Preferred Stock |
6,183 |
$
0 |
5,361 |
I |
By International Life Sciences Fund III Co-Investment, L.P. (
2
) |
Series C Preferred Stock |
(
9
) |
09/27/2018 |
|
M |
|
6,183 |
|
(
9
) |
(
9
) |
Common Stock |
228 |
$
0 |
64,815 |
I |
By International Life Sciences Fund III Co-Investment, L.P. (
2
) |
Series C Preferred Stock Warrant (right to buy) |
$
0.4797 |
09/27/2018 |
|
M |
|
|
521,159 |
(
8
) |
(
8
) |
Series C Preferred Stock |
521,159 |
$
0 |
451,869 |
I |
By International Life Sciences Fund III (LPI) L.P. (
2
) |
Series C Preferred Stock |
(
9
) |
09/27/2018 |
|
M |
|
521,159 |
|
(
9
) |
(
9
) |
Common Stock |
19,282 |
$
0 |
5,462,550 |
I |
By International Life Sciences Fund III (LPI) L.P. (
2
) |
Series C Preferred Stock Warrant (right to buy) |
$
0.4797 |
09/27/2018 |
|
M |
|
|
4,978 |
(
8
) |
(
8
) |
Series C Preferred Stock |
4,978 |
$
0 |
4,315 |
I |
By International Life Sciences Fund III Strategic Partners L.P. (
2
) |
Series C Preferred Stock |
(
9
) |
09/27/2018 |
|
M |
|
4,978 |
|
(
9
) |
(
9
) |
Common Stock |
184 |
$
0 |
52,183 |
I |
By International Life Sciences Fund III Strategic Partners L.P. (
2
) |
Series A Preferred Stock |
(
1
) |
10/01/2018 |
|
C |
|
|
21,776 |
(
1
) |
(
1
) |
Common Stock |
943 |
$
0 |
0 |
I |
By International Life Sciences Fund III Co-Investment, L.P. (
2
) |
Series B Preferred Stock |
(
3
) |
10/01/2018 |
|
C |
|
|
131,683 |
(
3
) |
(
3
) |
Common Stock |
7,610 |
$
0 |
0 |
I |
By International Life Sciences Fund III Co-Investment, L.P. (
2
) |
Series C Preferred Stock |
(
4
) |
10/01/2018 |
|
C |
|
|
64,815 |
(
4
) |
(
4
) |
Common Stock |
2,399 |
$
0 |
0 |
I |
By International Life Sciences Fund III Co-Investment, L.P. (
2
) |
Series A Preferred Stock |
(
1
) |
10/01/2018 |
|
C |
|
|
1,835,270 |
(
1
) |
(
1
) |
Common Stock |
79,467 |
$
0 |
0 |
I |
By International Life Sciences Fund III (LP1), L.P. (
2
) |
Series B Preferred Stock |
(
3
) |
10/01/2018 |
|
C |
|
|
11,097,596 |
(
3
) |
(
3
) |
Common Stock |
641,440 |
$
0 |
0 |
I |
By International Life Sciences Fund III (LP1), L.P. (
2
) |
Series C Preferred Stock |
(
4
) |
10/01/2018 |
|
C |
|
|
5,462,550 |
(
4
) |
(
4
) |
Common Stock |
202,115 |
$
0 |
0 |
I |
By International Life Sciences Fund III (LP1), L.P. (
2
) |
Series A Preferred Stock |
(
1
) |
10/01/2018 |
|
C |
|
|
17,533 |
(
1
) |
(
1
) |
Common Stock |
758 |
$
0 |
0 |
I |
By International Life Sciences Fund III Strategic Partners, L.P. (
2
) |
Series B Preferred Stock |
(
3
) |
10/01/2018 |
|
C |
|
|
106,019 |
(
3
) |
(
3
) |
Common Stock |
6,128 |
$
0 |
0 |
I |
By International Life Sciences Fund III Strategic Partners, L.P. (
2
) |
Series C Preferred Stock |
(
4
) |
10/01/2018 |
|
C |
|
|
52,183 |
(
4
) |
(
4
) |
Common Stock |
1,931 |
$
0 |
0 |
I |
By International Life Sciences Fund III Strategic Partners, L.P. (
2
) |
Series C Preferred Stock |
(
4
) |
10/01/2018 |
|
C |
|
|
9,217,015 |
(
4
) |
(
4
) |
Common Stock |
341,030 |
$
0 |
0 |
I |
By SV Life Sciences Fund V, L.P. (
5
) |
Series D Preferred Stock |
(
6
) |
10/01/2018 |
|
C |
|
|
6,683,697 |
(
6
) |
(
6
) |
Common Stock |
270,690 |
$
0 |
0 |
I |
By SV Life Sciences Fund V, L.P. (
5
) |
Series E Preferred Stock |
(
7
) |
10/01/2018 |
|
C |
|
|
9,155,794 |
(
7
) |
(
7
) |
Common Stock |
251,783 |
$
0 |
0 |
I |
By SV Life Sciences Fund V, L.P. (
5
) |
Series C Preferred Stock |
(
4
) |
10/01/2018 |
|
C |
|
|
194,786 |
(
4
) |
(
4
) |
Common Stock |
7,207 |
$
0 |
0 |
I |
By SV Life Sciences Fund V Strategic Partners, L.P. (
5
) |
Series D Preferred Stock |
(
6
) |
10/01/2018 |
|
C |
|
|
141,249 |
(
6
) |
(
6
) |
Common Stock |
5,721 |
$
0 |
0 |
I |
By SV Life Sciences Fund V Strategic Partners, L.P. (
5
) |
Series E Preferred Stock |
(
7
) |
10/01/2018 |
|
C |
|
|
193,492 |
(
7
) |
(
7
) |
Common Stock |
5,320 |
$
0 |
0 |
I |
By SV Life Sciences Fund V Strategic Partners, L.P. (
5
) |
|