Sec Form 4 Filing - Battery Ventures IX, L.P. @ CHAMPIONS ONCOLOGY, INC. - 2019-01-08

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Battery Ventures IX, L.P.
2. Issuer Name and Ticker or Trading Symbol
CHAMPIONS ONCOLOGY, INC. [ CSBR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O BATTERY VENTURES, ONE MARINA PARK DRIVE, SUITE 1100
3. Date of Earliest Transaction (MM/DD/YY)
01/08/2019
(Street)
BOSTON, MA02210
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/08/2019 X 58,333 A $ 4.8 2,011,882 ( 1 ) I By Funds ( 2 )
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
Warrant to purchase shares of Common Stock $ 4.8 ( 3 ) ( 4 ) 01/18/2019 X 58,333 ( 3 ) ( 4 ) 01/28/2013 01/27/2019( 3 ) Common Stock 58,333 $ 0 0 I By Funds ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Battery Ventures IX, L.P.
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Battery Investment Partners IX, LLC
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Battery Partners IX, LLC
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Battery Management Corp.
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Agrawal Neeraj
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
BROWN MICHAEL MAURICE
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Feldman Jesse
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
Lee Roger H
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
TABORS R DAVID
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X
TOBIN SCOTT R
C/O BATTERY VENTURES
ONE MARINA PARK DRIVE, SUITE 1100
BOSTON, MA02210
X X
Signatures
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Ventures IX, L.P.) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Investment Partners IX, LLC) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Partners IX, LLC) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Management Corp.) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Neeraj Agrawal) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Michael M. Brown) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Jesse R. Feldman) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Roger H. Lee) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of R. David Tabors) 04/30/2019
Signature of Reporting Person Date
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Scott R. Tobin) 04/30/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
( 2 )Consists of 1,991,965 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 19,917 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX.
( 3 )Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019.
( 4 )Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.

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