4//SEC Filing
Novan, Inc. 4
Accession 0000899243-16-030262
CIK 0001467154operating
Filed
Sep 27, 8:00 PM ET
Accepted
Sep 28, 6:28 PM ET
Size
23.0 KB
Accession
0000899243-16-030262
Insider Transaction Report
Form 4
Novan, Inc.NOVN
HUNTER F NEAL
10% Owner
Transactions
- Conversion
Common Stock
2016-09-26+478,280→ 478,280 total(indirect: See Footnote) - Conversion
Series 2 Preferred Stock
2016-09-26−379,307→ 0 total→ Common Stock (379,307 underlying) - Conversion
Series 1 Preferred Stock
2016-09-26−329,938→ 0 total→ Common Stock (329,938 underlying) - Conversion
Common Stock
2016-09-26+1,043,630→ 1,043,630 total - Conversion
Series 1 Preferred Stock
2016-09-26−478,280→ 0 total(indirect: See Footnote)→ Common Stock (478,280 underlying) - Conversion
Series 4 Preferred Stock
2016-09-26−87,033→ 0 total→ Common Stock (87,033 underlying) - Conversion
Mezzanine A Stock
2016-09-26−98,467→ 0 total→ Common Stock (98,467 underlying) - Conversion
Series 3 Preferred Stock
2016-09-26−148,885→ 0 total→ Common Stock (148,885 underlying)
T.D.H. One, LLC
10% Owner
Transactions
- Conversion
Mezzanine A Stock
2016-09-26−98,467→ 0 total→ Common Stock (98,467 underlying) - Conversion
Series 2 Preferred Stock
2016-09-26−379,307→ 0 total→ Common Stock (379,307 underlying) - Conversion
Common Stock
2016-09-26+1,043,630→ 1,043,630 total - Conversion
Series 1 Preferred Stock
2016-09-26−329,938→ 0 total→ Common Stock (329,938 underlying) - Conversion
Series 1 Preferred Stock
2016-09-26−478,280→ 0 total(indirect: See Footnote)→ Common Stock (478,280 underlying) - Conversion
Common Stock
2016-09-26+478,280→ 478,280 total(indirect: See Footnote) - Conversion
Series 4 Preferred Stock
2016-09-26−87,033→ 0 total→ Common Stock (87,033 underlying) - Conversion
Series 3 Preferred Stock
2016-09-26−148,885→ 0 total→ Common Stock (148,885 underlying)
T.D.H. Two, LLC
10% Owner
Transactions
- Conversion
Mezzanine A Stock
2016-09-26−98,467→ 0 total→ Common Stock (98,467 underlying) - Conversion
Series 1 Preferred Stock
2016-09-26−329,938→ 0 total→ Common Stock (329,938 underlying) - Conversion
Common Stock
2016-09-26+478,280→ 478,280 total(indirect: See Footnote) - Conversion
Series 3 Preferred Stock
2016-09-26−148,885→ 0 total→ Common Stock (148,885 underlying) - Conversion
Series 4 Preferred Stock
2016-09-26−87,033→ 0 total→ Common Stock (87,033 underlying) - Conversion
Common Stock
2016-09-26+1,043,630→ 1,043,630 total - Conversion
Series 1 Preferred Stock
2016-09-26−478,280→ 0 total(indirect: See Footnote)→ Common Stock (478,280 underlying) - Conversion
Series 2 Preferred Stock
2016-09-26−379,307→ 0 total→ Common Stock (379,307 underlying)
Footnotes (2)
- [F1]Includes (i) 239,140 shares of Series One preferred stock held by of T.D.H. One, LLC and (ii) 239,140 shares of Series One preferred stock held by T.D.H. Two, LLC. Mr. Hunter is the manager and majority equity holder of T.D.H. One, LLC and T.D.H. Two, LLC and has voting and investment power over such shares of preferred stock held by T.D.H. One, LLC and T.D.H. Two, LLC.
- [F2]The preferred stock automatically converted into common stock on a 1-to-1 basis upon the closing of the Issuer's initial public offering.
Documents
Issuer
Novan, Inc.
CIK 0001467154
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001467154
Filing Metadata
- Form type
- 4
- Filed
- Sep 27, 8:00 PM ET
- Accepted
- Sep 28, 6:28 PM ET
- Size
- 23.0 KB