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Home/Filings/3/0001104659-23-071703
3//SEC Filing

BIOS Fund III QP, LP 3

Accession 0001104659-23-071703

CIK 0001701478other
View on SEC.govCompany Profile

Filed

Jun 14, 8:00 PM ET

Accepted

Jun 15, 5:57 PM ET

Size

50.9 KB

Accession

0001104659-23-071703

Insider Transaction Report

Form 3
Period: 2023-06-15
Azitra IncAZTR
BIOS Capital Management, LP
10% Owner
Holdings

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)
BIOS Fund III, LP
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)
BIOS Fund III QP, LP
10% Owner
Holdings

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)
BIOS Fund III NT, LP
10% Owner
Holdings

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)
Fletcher Aaron G.L.
10% Owner
Holdings

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)
BIOS Advisors GP, LLC
10% Owner
Holdings

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)
BIOS Equity Partners III, LP
10% Owner
Holdings

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)
BIOS Azitra Co-Invest I, LP
10% Owner
Holdings

  • Convertible Notes

    (indirect: Directly held by Bios Fund III, LP)
    77,953

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (412,389 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (22,798 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II QP, LP)
    → Common Stock (170,272 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III NT, LP)
    → Common Stock (130,498 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III QP, LP)
    → Common Stock (808,058 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (4,011 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (13,092 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (8,051 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (3,521 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-02-22→ Common Stock (26,298 underlying)

  • Convertible Notes

    (indirect: Directly held by Bios Fund III QP, LP)
    509,141

  • Convertible Notes

    (indirect: Directly held by Bios Fund III NT, LP)
    82,223

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I QP, LP)
    → Common Stock (467,613 underlying)

  • Series A Convertible Preferred Stock

    (indirect: Directly held by Bios Fund I, LP)
    → Common Stock (799,467 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II NT, LP)
    → Common Stock (101,842 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (52,078 underlying)

  • Series B Convertible Preferred Stock

    (indirect: Directly held by Bios Fund III, LP)
    → Common Stock (123,718 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $0.48From: 2018-04-13Exp: 2028-04-13→ Common Stock (1,753 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II QP, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (34,846 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (39,760 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Fund II, LP)
    → Common Stock (232,908 underlying)

  • Series A-1 Convertible Preferred Stock

    (indirect: Directly held by Bios Azitra Co-Invest I, LP)
    → Common Stock (397,600 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (10,664 underlying)

  • Warrants (Right to Buy)

    (indirect: Directly held by Bios Fund II NT, LP)
    Exercise: $5.28From: 2019-03-29→ Common Stock (4,664 underlying)
Footnotes (9)
  • [F1]Reflects a convertible note that is convertible into shares of common stock of the Issuer. The principal amount of the convertible note together with accrued interest will be automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering ("IPO") at a conversion price equal to the lesser of: (i) $30 million divided by the number of shares of the Issuer's common stock issued and outstanding, on a fully diluted basis, immediately prior to the close of the IPO or (ii) 50% of the price per share issued in connection with the IPO.
  • [F2]The number of shares represented reflects a forward stock split at a ratio of 7.1-for-1 which was effectuated upon the effectiveness of the Issuer's Form S-1 (File No. 333-269876).
  • [F3]Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Azitra Co-invest I, LP ("Bios Azitra Co-invest"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT").
  • [F4]Cavu Management, LP, an entity managed and controlled by Mr. Les Kreis, and Bios Capital Management, LP, an entity managed and controlled by Mr. Aaron Fletcher, are the general partners of Bios Equity I, Bios Equity II and Bios Equity III. Cavu Advisors LLC, an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management LP. Bios Advisors GP, LLC, an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Capital Management, LP. The shares owned by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Fund III, Bios Fund III QP, Bios Fund III NT and Bios Azitra Co-invest (collectively, the "Bios Equity Entities") are aggregated for purposes of reporting share ownership information. Mr. Kreis and Mr. Fletcher share voting and investment control with respect to shares held by the Bios Equity Entities.
  • [F5]Each share of Series A Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series A Convertible Preferred Stock has no expiration date.
  • [F6]Each share of Series A-1 Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series A-1 Convertible Preferred Stock has no expiration date.
  • [F7]Each share of Series B Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series B Convertible Preferred Stock has no expiration date.
  • [F8]The exercise price of the warrants reflects adjustment for a forward stock split at a ratio of 7.1-for-1 which was effectuated upon the effectiveness of the Issuer's Form S-1 (File No. 333-269876).
  • [F9]The warrants expire upon the earlier of: (i) February 22, 2026 or (ii) the consummation of a sale of the Issuer.

Documents

1 file

Issuer

Azitra Inc

CIK 0001701478

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001791916

Filing Metadata

Form type
3
Filed
Jun 14, 8:00 PM ET
Accepted
Jun 15, 5:57 PM ET
Size
50.9 KB
View on SEC.gov