Tabula Rasa HealthCare, Inc. 4
4 · Tabula Rasa HealthCare, Inc. · Filed Oct 4, 2016
Insider Transaction Report
Form 4
LUBIN DANIEL C
Director10% Owner
Transactions
- Conversion
Common Stock
2016-10-04+113,027→ 139,906 total(indirect: By Radius Venture Partners III, L.P.) - Conversion
Series B Preferred Stock
2016-10-04−2,157,390→ 0 total(indirect: By Radius Venture Partners III QP, L.P.)→ Common Stock (1,112,056 underlying) - Conversion
Common Stock
2016-10-04+154,792→ 191,603 total(indirect: By Radius Venture Partners III (Ohio), L.P.) - Conversion
Series A-1 Preferred Stock
2016-10-04−21,428→ 0 total(indirect: By Radius Venture Partners III, L.P.)→ Common Stock (11,045 underlying) - Other
Common Stock
2016-10-04−1,535→ 138,371 total(indirect: By Radius Venture Partners III, L.P.) - Conversion
Series A-1 Preferred Stock
2016-10-04−29,346→ 0 total(indirect: By Radius Venture Partners III (Ohio), L.P.)→ Common Stock (15,127 underlying) - Conversion
Common Stock
2016-10-04+1,232,499→ 1,525,599 total(indirect: By Radius Venture Partners III QP, L.P.) - Conversion
Series B Preferred Stock
2016-10-04−270,952→ 0 total(indirect: By Radius Venture Partners III (Ohio), L.P.)→ Common Stock (139,665 underlying) - Conversion
Series B Preferred Stock
2016-10-04−197,846→ 0 total(indirect: By Radius Venture Partners III, L.P.)→ Common Stock (101,982 underlying) - Other
Common Stock
2016-10-04−2,102→ 189,501 total(indirect: By Radius Venture Partners III (Ohio), L.P.) - Other
Common Stock
2016-10-04−16,735→ 1,508,864 total(indirect: By Radius Venture Partners III QP, L.P.) - Conversion
Series A-1 Preferred Stock
2016-10-04−233,659→ 0 total(indirect: By Radius Venture Partners III QP, L.P.)→ Common Stock (120,443 underlying)
Holdings
- 5,565
Common Stock
Footnotes (6)
- [F1]These securities are held directly by Radius Venture Partners III (Ohio), L.P. and indirectly by Radius Venture Partners III, LLC, the general partner of Radius Venture Partners III (Ohio), L.P., Jordan S. Davis, managing member of Radius Venture Partners III, LLC, and Daniel C. Lubin, managing member of Radius Venture Partners III, LLC. Mr. Lubin, a director of the Issuer, and Mr. Davis share voting and dispositive power with respect to the shares held by Radius Venture Partners III (Ohio), L.P. Each of Radius Venture Partners III, LLC, Mr. Davis, and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein.
- [F2]These securities are held directly by Radius Venture Partners III QP, L.P and indirectly by Radius Venture Partners III, LLC, the general partner of Radius Venture Partners III QP, L.P., Jordan S. Davis, managing member of Radius Venture Partners III, LLC, and Daniel C. Lubin, managing member of Radius Venture Partners III, LLC. Mr. Lubin, a director of the Issuer, and Mr. Davis share voting and dispositive power with respect to the shares held by Radius Venture Partners III QP, L.P. Each of Radius Venture Partners III, LLC, Mr. Davis, and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein.
- [F3]These securities are held directly by Radius Venture Partners III, L.P., and indirectly by Radius Venture Partners III, LLC, the general partner of Radius Venture Partners III, L.P., Jordan S. Davis, managing member of Radius Venture Partners III, LLC, and Daniel C. Lubin, managing member of Radius Venture Partners III, LLC. Mr. Lubin, a director of the Issuer, and Mr. Davis share voting and dispositive power with respect to the shares held by Radius Venture Partners III, L.P. Each of Radius Venture Partners III, LLC, Mr. Davis, and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein.
- [F4]Each share of Series A-1 Preferred Stock and Series B Preferred Stock was converted automatically into shares of the Issuer's Common Stock immediately prior to the closing of Issuer's initial public offering.
- [F5]The securities did not have an expiration date.
- [F6]20,372 shares of common stock were surrendered to the Issuer at the completion of Issuer's initial public offering pursuant to the letter agreement, dated as of June 30, 2014, as amended, with the Issuer.