Bradshaw Paul 4

Accession 0001104659-17-062492

CIK 0001494650other

Filed

Oct 16, 8:00 PM ET

Accepted

Oct 17, 2:17 PM ET

Size

22.4 KB

Accession

0001104659-17-062492

Form 4

Period: 2017-10-17

10% Owner

Transactions

Conversion
Series A Preferred Stock
2017-10-17−285,480→ 0 total
→ Common Stock (824,436 underlying)
Conversion
Series D Preferred Stock
2017-10-17−45,662→ 0 total
→ Common Stock (131,867 underlying)
Conversion
Series C-1 Preferred Stock
2017-10-17−113,842→ 0 total
→ Common Stock (328,764 underlying)
Conversion
Series B-1 Preferred Stock
2017-10-17−35,680→ 0 total
→ Common Stock (103,040 underlying)
Conversion
Series C Preferred Stock
2017-10-17−34,300→ 0 total
→ Common Stock (99,055 underlying)
Conversion
Common Stock
2017-10-17+1,687,166→ 2,740,065 total
Conversion
Series C-2 Preferred Stock
2017-10-17−69,256→ 0 total
→ Common Stock (200,004 underlying)

10% Owner

Transactions

Conversion
Series C-1 Preferred Stock
2017-10-17−113,842→ 0 total
→ Common Stock (328,764 underlying)
Conversion
Common Stock
2017-10-17+1,687,166→ 2,740,065 total
Conversion
Series A Preferred Stock
2017-10-17−285,480→ 0 total
→ Common Stock (824,436 underlying)
Conversion
Series C Preferred Stock
2017-10-17−34,300→ 0 total
→ Common Stock (99,055 underlying)
Conversion
Series C-2 Preferred Stock
2017-10-17−69,256→ 0 total
→ Common Stock (200,004 underlying)
Conversion
Series D Preferred Stock
2017-10-17−45,662→ 0 total
→ Common Stock (131,867 underlying)
Conversion
Series B-1 Preferred Stock
2017-10-17−35,680→ 0 total
→ Common Stock (103,040 underlying)

10% Owner

Transactions

Conversion
Series C Preferred Stock
2017-10-17−34,300→ 0 total
→ Common Stock (99,055 underlying)
Conversion
Common Stock
2017-10-17+1,687,166→ 2,740,065 total
Conversion
Series B-1 Preferred Stock
2017-10-17−35,680→ 0 total
→ Common Stock (103,040 underlying)
Conversion
Series D Preferred Stock
2017-10-17−45,662→ 0 total
→ Common Stock (131,867 underlying)
Conversion
Series C-2 Preferred Stock
2017-10-17−69,256→ 0 total
→ Common Stock (200,004 underlying)
Conversion
Series A Preferred Stock
2017-10-17−285,480→ 0 total
→ Common Stock (824,436 underlying)
Conversion
Series C-1 Preferred Stock
2017-10-17−113,842→ 0 total
→ Common Stock (328,764 underlying)

Footnotes (4)

[F1]Represents the total number of shares of Common Stock received by Entrepreneurs Fund LP ("EF LP") upon conversion of Series A, Series B-1, Series C, Series C-1, Series C-2 and Series D Preferred Stock in connection with the closing of the Issuer's initial public offering.
[F2]The Series A, Series B-1, Series C, Series C-1, Series C-2 and Series D Preferred Stock converted into Common Stock on a 2.8879-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series C, Series C-1, Series C-2 and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
[F3]The shares are directly held by EF LP. The general partner of EF LP is Entrepreneurs Fund General Partner Limited ("EF GP"). The managing directors of EF GP are Colin Dow and Paul Bradshaw. Each of EF GP, Colin Dow and Paul Bradshaw disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest therein, if any.
[F4]Each of EF GP, Colin Dow and Paul Bradshaw disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest therein, if any.

Documents

1 file

OptiNose, Inc.

CIK 0001494650

Entity typeother