4//SEC Filing
Battery Ventures IX, L.P. 4
Accession 0001179110-19-005296
CIK 0000771856other
Filed
Apr 29, 8:00 PM ET
Accepted
Apr 30, 4:30 PM ET
Size
23.6 KB
Accession
0001179110-19-005296
Insider Transaction Report
Form 4
Battery Partners IX, LLC
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Agrawal Neeraj
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
TOBIN SCOTT R
Director
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Battery Ventures IX, L.P.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Battery Investment Partners IX, LLC
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
BROWN MICHAEL MAURICE
10% Owner
Transactions
- Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying) - Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds)
Battery Management Corp.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Feldman Jesse
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Lee Roger H
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
TABORS R DAVID
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2019-01-08$4.80/sh+58,333$279,998→ 2,011,882 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2019-01-18+58,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2013-01-28Exp: 2019-01-27→ Common Stock (58,333 underlying)
Footnotes (4)
- [F1]The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
- [F2]Consists of 1,991,965 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 19,917 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX.
- [F3]Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019.
- [F4]Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split.
Documents
Issuer
CHAMPIONS ONCOLOGY, INC.
CIK 0000771856
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001485934
Filing Metadata
- Form type
- 4
- Filed
- Apr 29, 8:00 PM ET
- Accepted
- Apr 30, 4:30 PM ET
- Size
- 23.6 KB