4//SEC Filing
Regado Biosciences Inc 4
Accession 0001140361-13-034594
CIK 0001311596operating
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 4:40 PM ET
Size
35.9 KB
Accession
0001140361-13-034594
Insider Transaction Report
Form 4
NEFF P SHERRILL
Director10% Owner
Transactions
- Conversion
Common Stock, par value $0.001 per share
2013-08-27+399,201→ 435,129 total(indirect: See Footnote 6) - Purchase
Common Stock, par value $0.001 per share
2013-08-27$4.00/sh+71,810$287,240→ 1,294,021 total(indirect: See Footnote 6) - Award
Stock Option (right to buy)
2013-08-27+17,964→ 17,964 totalExercise: $4.00Exp: 2023-08-27→ Common Stock, par value $0.001 per share (17,964 underlying) - Conversion
Series B Preferred Stock
2013-08-27−6,666,667→ 0 total(indirect: See Footnote 6)→ Common Stock, par value $0.001 per share (399,201 underlying) - Conversion
Series C Preferred Stock
2013-08-27−4,566,908→ 0 total(indirect: See Footnote 6)→ Common Stock, par value $0.001 per share (273,468 underlying) - Conversion
Common Stock, par value $0.001 per share
2013-08-27+48,362→ 1,222,211 total(indirect: See Footnote 6) - Conversion
Common Stock, par value $0.001 per share
2013-08-27+273,468→ 708,597 total(indirect: See Footnote 6) - Conversion
Series E Preferred Stock
2013-08-27−807,652→ 0 total(indirect: See Footnote 6)→ Common Stock, par value $0.001 per share (48,362 underlying) - Conversion
Common Stock, par value $0.001 per share
2013-08-27+465,252→ 1,173,849 total(indirect: See Footnote 6) - Conversion
Series D Preferred Stock
2013-08-27−7,769,715→ 0 total(indirect: See Footnote 6)→ Common Stock, par value $0.001 per share (465,252 underlying)
Footnotes (6)
- [F1]100% of the shares underlying the option will vest on the one-year anniversary of the date of grant.
- [F2]The shares of Series B Preferred Stock had no expiration date and automatically converted upon the consummation of the initial public offering of Regado Biosciences, Inc. (the "Company") at a conversion ratio of 1 share of Series B Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- [F3]The shares of Series C Preferred Stock had no expiration date and automatically converted upon the consummation of the Company's initial public offering at a conversion ratio of 1 share of Series C Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- [F4]The shares of Series D Preferred Stock had no expiration date and automatically converted upon the consummation of the Company's initial public offering at a conversion ratio of 1 share of Series D Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- [F5]The shares of Series E Preferred Stock had no expiration date and automatically converted upon the consummation of the Company's initial public offering at a conversion ratio of 1 share of Series E Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- [F6]The reportable securities are directly held by Quaker BioVentures, L.P. ("Quaker"). Quaker BioVentures Capital, L.P. ("Quaker Capital LP") is the general partner of the Quaker. Quaker BioVentures Capital, LLC ("Quaker Capital LLC") is the general partner of Quaker Capital LP and has voting and dispositive power over the shares held by Quaker. Voting and investment determinations made by Quaker Capital LLC with respect to the shares held by Quaker are made by an investment committee of Quaker Partners Management, L.P., which committee includes P. Sherrill Neff (the "Reporting Person"), a member of the board of the directors of the Company. The Reporting Person disclaims beneficial ownership of the securities held by Quaker, except to the extent of his pecuniary interest therein.
Documents
Issuer
Regado Biosciences Inc
CIK 0001311596
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001311596
Filing Metadata
- Form type
- 4
- Filed
- Aug 28, 8:00 PM ET
- Accepted
- Aug 29, 4:40 PM ET
- Size
- 35.9 KB