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-1 Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 540,010 | $ (1) | I | See footnote (2) |
Series A-2 Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 1,842,420 | $ (1) | I | See footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MPM BioVentures IV LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM BioVentures IV GP LLC C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
MPM Bio IV NVS Strategic Fund LP C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
DOMBKOWSKI ASHLEY L C/O MPM ASSET MANAGEMENT 601 GATEWAY BLVD., SUITE 350 SOUTH SAN FRANCISCO, CA 94080 |
 |  X |  |  |
Greene William C/O MPM ASSET MANAGEMENT 601 GATEWAY BLVD., SUITE 350 SOUTH SAN FRANCISCO, CA 94080 |
 |  X |  |  |
KAILIAN VAUGHN M C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
Scopa James Paul C/O MPM ASSET MANAGEMENT 601 GATEWAY BLVD., SUITE 350 SOUTH SAN FRANCISCO, CA 94080 |
 |  X |  |  |
St Peter Steven C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
Vander Vort John C/O MPM ASSET MANAGEMENT 200 CLARENDON ST., 54TH FLOOR BOSTON, MA 02116 |
 |  X |  |  |
/s/ Luke Evnin, Member of MPM BioVentures IV LLC | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ Luke Evnin, Member of MPM BioVentures IV LLC, the general partner of MPM BioVentures IV GP LLC | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ Luke Evnin, Member of MPM BioVentures IV LLC, the general partner of MPM BioVentures IV GP LLC, the general partner of MPM Bio IV NVS Strategic Fund. L.P. | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ Ashley L. Dombkowski | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ William Greene | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ Vaughn M. Kailian | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ James Paul Scopa | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ Steven St. Peter | 05/19/2011 | |
**Signature of Reporting Person | Date | |
/s/ John Vander Vort | 05/19/2011 | |
**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) | Each share of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock (collectively, the "Preferred Stock") has no expiration date and is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every 1 share of Preferred Stock. |
(2) | The shares are held by MPM Bio IV NVS Strategic Fund, L.P. ("MPM NVS"). MPM BioVentures IV GP LLC ("BV IV GP LLC") and MPM BioVentures IV LLC ("BV IV LLC") are the direct and indirect general partners of MPM NVS. Luke Evnin, Ansbert Gadicke, Ashley L. Dombkowski, Willliam Greene, Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander Vort are the members of MPM NVS. Each reporting person disclaims beneficial ownership of the securities reported herein except to the extent of his, her or its respective pecuniary interest therein. |