4//SEC Filing
Battery Ventures IX, L.P. 4
Accession 0001179110-20-003543
CIK 0000771856other
Filed
Mar 11, 8:00 PM ET
Accepted
Mar 12, 2:03 PM ET
Size
27.2 KB
Accession
0001179110-20-003543
Insider Transaction Report
Form 4
Battery Investment Partners IX, LLC
10% Owner
Transactions
- Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds)
Battery Partners IX, LLC
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
Battery Management Corp.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
Agrawal Neeraj
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying)
BROWN MICHAEL MAURICE
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
Battery Ventures IX, L.P.
10% Owner
Transactions
- Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds)
Feldman Jesse
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
Lee Roger H
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying)
TOBIN SCOTT R
Director
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
TABORS R DAVID
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-03-11$4.80/sh+123,333$591,998→ 2,135,215 total(indirect: By Funds) - Exercise of In-Money
Common Stock
2020-03-11$5.76/sh+286,458$1,649,998→ 2,421,673 total(indirect: By Funds) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−123,333→ 0 total(indirect: By Funds)Exercise: $4.80From: 2015-03-13Exp: 2020-03-13→ Common Stock (123,333 underlying) - Exercise of In-Money
Warrant to purchase shares of Common Stock
2020-03-11−286,458→ 0 total(indirect: By Funds)Exercise: $5.76From: 2015-03-13Exp: 2020-03-13→ Common Stock (286,458 underlying)
Footnotes (4)
- [F1]Consists of 2,114,077 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 21,138 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
- [F2]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.
- [F3]Consists of 2,397,699 shares of the Issuer's Common Stock held by BVIX and 23,974 shares of the Issuer's Common Stock held by BIPIX.
- [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
- Mar 11, 8:00 PM ET
- Accepted
- Mar 12, 2:03 PM ET
- Size
- 27.2 KB