Advent Life Sciences LLP 4
4 · Axonics Modulation Technologies, Inc. · Filed Nov 2, 2018
Insider Transaction Report
Form 4
Advent Life Sciences LLP
10% Owner
Transactions
- Conversion
Common Stock
2018-11-02+43,822→ 43,822 total(indirect: By Advent Life Sciences LLP) - Conversion
Common Stock
2018-11-02+1,231,178→ 1,275,000 total(indirect: By Advent Life Sciences Fund II LP) - Conversion
Common Stock
2018-11-02+14,412→ 1,289,412 total(indirect: By Advent Life Sciences LLP) - Conversion
Common Stock
2018-11-02+404,937→ 1,694,349 total(indirect: By Advent Life Sciences Fund II LP) - Conversion
Series B-2 Preferred Stock
2018-11-02−36,518→ 0 total(indirect: By Advent Life Sciences LLP)→ Common Stock (43,822 underlying) - Conversion
Series B-2 Preferred Stock
2018-11-02−1,025,981→ 0 total(indirect: By Advent Life Sciences Fund II LP)→ Common Stock (1,231,178 underlying) - Conversion
Series C Preferred Stock
2018-11-02−337,447→ 0 total(indirect: By Advent Life Sciences Fund II LP)→ Common Stock (404,937 underlying) - Conversion
Series C Preferred Stock
2018-11-02−12,010→ 0 total(indirect: By Advent Life Sciences LLP)→ Common Stock (14,412 underlying)
Footnotes (5)
- [F1]Reflects a 1.2-for-1 forward stock split of the Issuer's common stock effected on October 18, 2018.
- [F2]Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series B-2 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The B-2 preferred stock had no expiration date.
- [F3]Securities are held by Advent Life Sciences LLP.
- [F4]Securities are held by Advent Life Sciences Fund II LP. Advent Life Sciences LLP is the general partner of Advent Life Sciences Fund II LP.
- [F5]Effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series C preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The C preferred stock had no expiration date.