CoLucid Pharmaceuticals, Inc. 4
4 · CoLucid Pharmaceuticals, Inc. · Filed May 12, 2015
Insider Transaction Report
Form 4
PAPPAS ARTHUR M
Director10% Owner
Transactions
- Conversion
Common Stock
2015-05-11+1,588,607→ 1,588,609 total(indirect: By A. M. Pappas Life Science Ventures III, L.P.) - Purchase
Common Stock
2015-05-11$10.00/sh+17,560$175,600→ 116,317 total(indirect: By PV III CEO Fund, L.P.) - Conversion
Series A Convertible Preferred Stock
2015-05-11−35,953→ 0 total(indirect: By PV III CEO Fund, L.P.)→ Common Stock (35,953 underlying) - Conversion
Series B Convertible Preferred Stock
2015-05-11−41,996→ 0 total(indirect: By PV III CEO Fund, L.P.)→ Common Stock (41,996 underlying) - Conversion
Common Stock
2015-05-11+98,757→ 98,757 total(indirect: By PV III CEO Fund, L.P.) - Purchase
Common Stock
2015-05-11$10.00/sh+282,440$2,824,400→ 1,871,049 total(indirect: By A. M. Pappas Life Science Ventures III, L.P.) - Conversion
Series A Convertible Preferred Stock
2015-05-11−578,297→ 0 total(indirect: By A. M. Pappas Life Science Ventures III, L.P.)→ Common Stock (578,297 underlying) - Conversion
Series B Convertible Preferred Stock
2015-05-11−675,588→ 0 total(indirect: By A. M. Pappas Life Science Ventures III, L.P.)→ Common Stock (675,588 underlying) - Conversion
Series C Convertible Preferred Stock
2015-05-11−334,722→ 0 total(indirect: By A. M. Pappas Life Science Ventures III, L.P.)→ Common Stock (334,722 underlying) - Conversion
Series C Convertible Preferred Stock
2015-05-11−20,808→ 0 total(indirect: By PV III CEO Fund, L.P.)→ Common Stock (20,808 underlying)
Holdings
- 5,528(indirect: By LLC)
Common Stock
Footnotes (5)
- [F1]Each share of Series A, Series B and Series C Convertible Preferred Stock was convertible at any time at the option of the holder, and converted automatically into shares of the Issuer's Common Stock on a one-for-one basis in connection with the closing of the Issuer's initial public offering.
- [F2]Represents securities held directly by A.M. Pappas Life Science Ventures III, L.P. AMP&A Management III, LLC is the general partner of A. M. Pappas Life Science Ventures III, L.P. and has a management agreement with A. M. Pappas & Associates, LLC. As a result, A. M. Pappas & Associates, LLC's investment committee has sole power to vote or to direct the vote of, and sole power to dispose or to direct the disposition of, all shares owned A.M. Pappas Life Science Ventures III, L.P. The reporting person is the sole managing member of A. M. Pappas & Associates, LLC. The reporting person may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F3]Represents securities held directly by PV III CEO Fund, L.P. AMP&A Management III, LLC is the general partner of PV III CEO Fund, L.P. and has a management agreement with A. M. Pappas & Associates, LLC. As a result, A. M. Pappas & Associates, LLC's investment committee has sole power to vote or to direct the vote of, and sole power to dispose or to direct the disposition of, all shares owned PV III CEO Fund, L.P. The reporting person is the sole managing member of A. M. Pappas & Associates, LLC. The reporting person may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F4]Represents securities held directly by A. M. Pappas & Associates, LLC. The reporting person is the sole managing member of A. M. Pappas & Associates, LLC. The reporting person may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F5]The securities did not have an expiration date. The securities converted automatically into shares of the Issuer's Common Stock on a one-for-one basis in connection with the closing of the Issuer's initial public offering.