Hozoji Hironori 4
4 · KYTHERA BIOPHARMACEUTICALS INC · Filed Oct 16, 2012
Insider Transaction Report
Form 4
Hozoji Hironori
Director
Transactions
- Conversion
Common Stock
2012-10-16+408,187→ 408,187 total(indirect: See footnote) - Conversion
Series C Preferred Stock
2012-10-16−408,187→ 0 total(indirect: See footnote)→ Common Stock (408,187 underlying) - Conversion
Common Stock
2012-10-16+408,188→ 408,188 total(indirect: See footnote) - Conversion
Series D Preferred Stock
2012-10-16−53,626→ 0 total(indirect: See footnote)→ Common Stock (53,626 underlying) - Conversion
Common Stock
2012-10-16+53,626→ 461,814 total(indirect: See footnote) - Conversion
Series C Preferred Stock
2012-10-16−408,188→ 0 total(indirect: See footnote)→ Common Stock (408,188 underlying)
Footnotes (7)
- [F1]Reflects a 1-for-2.6443 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
- [F2]Each share of Series C Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F3]Shares held by JAFCO Super V3 Investment Limited Partnership. JAFCO Co., Ltd. is the sole general partner of JAFCO Super V3 Investment Limited Partnership. Hironori Hozoji, a member of the Issuer's board of directors, is a Principal of JAFCO Co., Ltd. and may be deemed to have shared voting and investment power over the shares held by JAFCO Super V3 Investment Limited Partnership. Mr. Hozoji disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- [F4]Shares held by JAFCO Life Science No. 1 Investment Enterprise Partnership. JAFCO Co., Ltd. is an executive partner of JAFCO Life Science No. 1 Investment Enterprise Partnership. Hironori Hozoji, a member of the Issuer's board of directors, is a Principal of JAFCO Co., Ltd. and may be deemed to have shared voting and investment power over the shares held by JAFCO Life Science No. 1 Investment Enterprise Partnership. Mr. Hozoji disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- [F5]Each share of Series D Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F6]The shares are immediately convertible.
- [F7]The shares do not have an expiration date.