Home/Filings/4/0001012975-05-000341

4//SEC Filing

AVALON PHARMACEUTICALS INC 4

Accession 0001012975-05-000341

CIK 0001162192operating

View on SEC.gov Company Profile

Filed

Oct 5, 8:00 PM ET

Accepted

Oct 6, 6:16 PM ET

Size

64.4 KB

Accession

0001012975-05-000341

Insider Transaction Report

Form 4

Period: 2005-10-04

AVALON PHARMACEUTICALS INCAVRX

Oxford Bioscience Partners (Bermuda) III Limtied Partnership

10% Owner

Transactions

Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)

Oxford Bioscience Partners (Adjunct) III L.P.

10% Owner

Transactions

Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)

mRNA Fund L.P.

10% Owner

Transactions

Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)

mRNA Partners L.P.

10% Owner

Transactions

Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)

BARNES JEFFREY T

10% Owner

Transactions

Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)

OXFORD BIOSCIENCE PARTNERS III LP

10% Owner

Transactions

Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)

OBP Management III L.P.

10% Owner

Transactions

Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)

FLEMING JONATHAN

10% Owner

Transactions

Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)

OBP Management (Bermuda) III Limited Partnership

10% Owner

Transactions

Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)

WALTON ALAN G

Director

Transactions

Conversion
Common Stock
2005-10-04+457,946→ 528,066 total
Conversion
Common Stock
2005-10-04+5,420→ 6,244 total(indirect: mRNA Fund L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+145,195$1,524,548→ 673,261 total
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−150,257→ 0 total
→ Common Stock (150,257 underlying)
Conversion
Common Stock
2005-10-04+65,267→ 75,261 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−54,628→ 0 total
→ Common Stock (54,628 underlying)
Conversion
8% Convertible Notes
2005-10-04−7,786→ 0 total(indirect: By Partnership)
→ Common Stock (7,786 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+20,693$217,277→ 95,954 total(indirect: Oxford Bioscience Partners (Bermuda) III L.P.)
Purchase
Common Stock
2005-10-04$10.50/sh+13,795$144,848→ 63,963 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)
Conversion
8% Convertible Notes
2005-10-04−5,858→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (5,858 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−23,686→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (23,686 underlying)
Conversion
8% Convertible Notes
2005-10-04−649→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (649 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−1,766→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (1,766 underlying)
Purchase
Common Stock
2005-10-04$10.50/sh+1,717$18,029→ 7,961 total(indirect: mRNA Fund L.P.)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−21,415→ 0 total(indirect: By Partnership)
→ Common Stock (21,415 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−253,061→ 0 total
→ Common Stock (253,061 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−36,066→ 0 total(indirect: By Partnership)
→ Common Stock (36,066 underlying)
Conversion
Series B Redeemable Convertible Preferred Stock
2005-10-04−3,005→ 0 total(indirect: By mRNA Fund L.P.)
→ Common Stock (3,005 underlying)
Conversion
Series A Redeemable Convertible Preferred Stock
2005-10-04−14,062→ 0 total(indirect: By Oxford Bioscience Partners (Adjunct) III L.P.)
→ Common Stock (14,062 underlying)
Conversion
Common Stock
2005-10-04+43,606→ 50,168 total(indirect: Oxford Bioscience Partners (Adjunct) III L.P.)

Footnotes (10)

[F1]Securities held of record by Oxford Bioscience Partners III L.P. ("OBP"). By virtue of their relationship as affiliated limited partnerships whose general partners share general partners, Oxford Bioscience Partners (Adjunct) III L.P. ("OBP Adjunct"), Oxford Bioscience Partners (Bermuda) III Limited Partnership ("OBP Bermuda") and mRNA Fund L.P. ("mRNA") may be deemed to beneficially own the shares held of record by OBP. OBP Management III L.P. (the general partner of OBP and OBP Adjunct), OBP Management (Bermuda) III Limited Partnership (the general partner of OBP Bermuda) and mRNA Partners L.P. (the general partner of mRNA) may be deemed to beneficially own the shares held of record by OBP. Messrs. Barnes, Fleming, and Walton (the general partners of OBP Management III L.P.) may be deemed to beneficially own the shares held of record by OBP. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
[F10]Upon the closing of the initial public offering of Avalon, the 8% Convertible Notes automatically converted into Common Stock at a conversion rate equal to the principal amount of the note, plus accrued and unpaid interest (which accrued at the rate of 15% until February 24, 2005 and at the rate of 8% thereafter) divided by the public offering price per share, which was $10.50.
[F2]Securities held of record by OBP Bermuda. By virtue of their relationship as affiliated limited partnerships whose general partners share general partners, OBP, OBP Adjunct and mRNA may be deemed to benefically own the shares held of record by OBP Bermuda. OBP Management III L.P. (the general partner of of OBP and OBP Adjunct), OBP Management (Bermuda) III Limited Partnership (the general partner of OBP Bermuda) and mRNA Partners L.P. (the general partner of mRNA) may be deemed to benefically own the shares held of record by OBP Bermuda. Messrs. Barnes, Fleming, and Walton (the general partners of OBP Management (Bermuda) III Limited Partnership) may be deemed to beneficially own the shares held of record by OBP Bermuda. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
[F3]Represents a correction to the number of shares underlying the derivative securities as reported by the Reporting Persons on the Form 3 filed on September 28, 2005, which contained a de minimis error in the number of such shares.
[F4]Securities held of record by OBP Adjunct. By virtue of their relationship as affiliated limited partnerships whose general partners share general partners, OBP, OBP Bermuda and mRNA may be deemed to benefically own the shares held of record by OBP Adjunct. OBP Management III L.P. (the general partner of of OBP and OBP Adjunct), OBP Management (Bermuda) III Limited Partnership (the general partner of OBP Bermuda) and mRNA Partners L.P. (the general partner of mRNA) may be deemed to benefically own the shares held of record by OBP Adjunct. Messrs. Barnes, Fleming, and Walton (the general partners of OBP Management III L.P.) may be deemed to beneficially own the shares held of record by OBP Adjunct. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
[F5]Securities held of record by mRNA. By virtue of their relationship as affiliated limited partnerships whose general partners share general partners, OBP, OBP Bermuda and OBP Adjunct may be deemed to benefically own the shares held of record by mRNA. OBP Management III L.P. (the general partner of of OBP and OBP Adjunct), OBP Management (Bermuda) III Limited Partnership (the general partner of OBP Bermuda) and mRNA Partners L.P. (the general partner of mRNA) may be deemed to benefically own the shares held of record by mRNA. Messrs. Barnes, Fleming, and Walton (the general partners of mRNA Partners L.P.) may be deemed to beneficially own the shares held of record by mRNA. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
[F6]Upon the closing of the initial public offering of Avalon Pharmaceuticals, Inc. ("Avalon"), each share of Series A Redeemable Convertible Preferred Stock automatically converted into Common Stock for no consideration.
[F7]These securities are convertible at anytime into Common Stock of Avalon.
[F8]These securities are preferred stock and do not have an expiration date. These securities automatically converted into shares of Avalon Common Stock upon the October 4, 2005 closing of Avalon's initial public offering.
[F9]Upon the closing of the initial public offering of Avalon, each share of Series B Redeemable Convertible Preferred Stock automatically converted into Common Stock for no consideration.

Documents

2 files

Issuer

AVALON PHARMACEUTICALS INC

CIK 0001162192

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001162192

Filing Metadata

Form type: 4
Filed: Oct 5, 8:00 PM ET
Accepted: Oct 6, 6:16 PM ET
Size: 64.4 KB

View on SEC.gov