Home/Filings/4/0001181431-11-009580

4//SEC Filing

NEWCOGEN EQUITY INVESTORS LLC 4

Accession 0001181431-11-009580

CIK 0001407038other

View on SEC.gov Company Profile

Filed

Feb 10, 7:00 PM ET

Accepted

Feb 11, 5:34 PM ET

Size

125.7 KB

Accession

0001181431-11-009580

Insider Transaction Report

Form 4

Period: 2011-02-09

BG Medicine, Inc.BGMD

ST NewcoGen LLC

10% Owner

Transactions

Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock

AFEYAN NOUBAR

Director10% Owner

Transactions

Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock

NewcoGen Group, Inc.

10% Owner

Transactions

Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)

NEWCOGEN GROUP LLC

10% Owner

Transactions

Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)

KANIA EDWIN M JR

10% Owner

Transactions

Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)

Flagship Pioneering, LLC

10% Owner

Transactions

Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)

NewcoGen Elan LLC

10% Owner

Transactions

Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)

NEWCOGEN EQUITY INVESTORS LLC

10% Owner

Transactions

Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock

NewcoGen PE LLC

10% Owner

Transactions

Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock

NewcoGen Long Reign Holding LLC

10% Owner

Transactions

Purchase
Common Stock
2011-02-09$7.00/sh+35,715$250,005→ 526,560 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+42,140$294,980→ 265,886 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 276,600 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,312$79,184→ 70,698 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+125,725→ 125,725 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09+2,079,975→ 2,079,975 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Conversion
Common Stock
2011-02-09+4,232→ 4,232 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
Purchase
Warrants to Purchase Common Stock
2010-09-27$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-09-27→ Common Stock (46,142 underlying)
Purchase
Warrants to Purchase Common Stock
2010-11-04$0.02/sh+46,142$923→ 46,142 total(indirect: See footnotes)
Exercise: $0.02Exp: 2020-11-04→ Common Stock (46,142 underlying)
Conversion
Common Stock
2011-02-09+241,407→ 241,407 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+80,424→ 80,424 total(indirect: By OneLiberty Ventures 2000 L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+112,077$784,539→ 2,141,942 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+42,858$300,006→ 2,184,800 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+714,286$5,000,002→ 714,286 total(indirect: By Flagship Ventures Fund 2007, L.P.)
Conversion
Series A Preferred Stock
2011-02-09−1,323,360→ 0 total(indirect: By LLC)
→ Common Stock (371,027 underlying)
Conversion
Series A Preferred Stock
2011-02-09−798,046→ 0 total(indirect: By LLC)
→ Common Stock (223,746 underlying)
Conversion
Series A Preferred Stock
2011-02-09−192,118→ 0 total(indirect: By LLC)
→ Common Stock (53,864 underlying)
Conversion
Series A Preferred Stock
2011-02-09−799,747→ 0 total(indirect: By LLC)
→ Common Stock (224,224 underlying)
Conversion
Series A Preferred Stock
2011-02-09−191,692→ 0 total(indirect: By LLC)
→ Common Stock (53,741 underlying)
Conversion
Series A Preferred Stock
2011-02-09−366,933→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (102,877 underlying)
Conversion
Series A Preferred Stock
2011-02-09−6,070,468→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (1,701,967 underlying)
Conversion
Series A Preferred Stock
2011-02-09−15,097→ 0 total(indirect: By OneLiberty Advisors Fund 2000 L.P.)
→ Common Stock (4,232 underlying)
Conversion
Series A Preferred Stock
2011-02-09−286,854→ 0 total(indirect: By OneLiberty Ventures 2000 L.P.)
→ Common Stock (80,424 underlying)
Conversion
Series D Preferred Stock
2011-02-09−66,462→ 0 total(indirect: By LLC)
→ Common Stock (39,876 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,432→ 0 total(indirect: By LLC)
→ Common Stock (5,658 underlying)
Conversion
Series D Preferred Stock
2011-02-09−28,641→ 0 total(indirect: By LLC)
→ Common Stock (17,183 underlying)
Conversion
Series D Preferred Stock
2011-02-09−9,405→ 0 total(indirect: By LLC)
→ Common Stock (5,645 underlying)
Conversion
Series D Preferred Stock
2011-02-09−38,083→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
→ Common Stock (22,848 underlying)
Conversion
Series D Preferred Stock
2011-02-09−630,026→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
→ Common Stock (378,008 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (112,077 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (79,942 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (42,140 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,344 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (45,940 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By LLC)
Exercise: $7.00→ Common Stock (11,312 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By AGTC Advisors Fund, L.P.)
Exercise: $7.00→ Common Stock (3 underlying)
Conversion
Convertible Promissory Notes
2011-02-09→ 0 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Exercise: $7.00→ Common Stock (43 underlying)
Purchase
Convertible Promissory Notes
2010-09-27→ 0 total(indirect: See footnotes)
→ Common Stock
Purchase
Convertible Promissory Notes
2010-11-04→ 0 total(indirect: See footnotes)
→ Common Stock
Conversion
Common Stock
2011-02-09+410,903→ 410,903 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+79,942$559,594→ 490,845 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+223,746→ 223,746 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,522→ 59,522 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+11,344$79,408→ 70,866 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,294 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+45,940$321,580→ 287,347 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+10,714$74,998→ 298,061 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09+59,386→ 59,386 total(indirect: By LLC)
Purchase
Common Stock
2011-02-09$7.00/sh+21,428$149,996→ 92,126 total(indirect: By LLC)
Conversion
Common Stock
2011-02-09$7.00/sh+3$21→ 125,728 total(indirect: By AGTC Advisors Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+14,285$99,995→ 140,013 total(indirect: By AGTC Advisors Fund, L.P.)
Conversion
Common Stock
2011-02-09$7.00/sh+43$301→ 2,080,018 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)
Purchase
Common Stock
2011-02-09$7.00/sh+271,429$1,900,003→ 2,351,447 total(indirect: By Applied Genomic Technology Capital Fund, L.P.)

Footnotes (17)

[F1]NewcoGen Group, Inc. ("NG") is the manager of each of NewcoGen Group LLC ("NGG"), NewcoGen Equity Investors LLC ("NEI"), NewcoGen-Elan LLC ("NGE"), NewcoGen-Long Reign Holding LLC ("NGLRH"), NewcoGen-PE LLC ("NGP") and ST NewcoGen LLC ("STN", and together with NGG, NEI, NGE, NGLRH and NGP, the "NewcoGen Funds"). NG is also the general partner of AGTC Partners, L.P., which is the general partner of AGTC Advisors Fund, L.P. ("AGTCA") and Applied Genomic Technology Capital Fund L.P. ("AGTCF", and together with AGTCA, the "AGTC Funds"). NG is a wholly-owned subsidiary of Flagship Ventures Management, Inc. ("Flagship"). Noubar Afeyan and Edwin M. Kania, Jr. are directors of Flagship and may be deemed to beneficially own the securities held by the NewcoGen Funds and the AGTC Funds. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein.
[F10]This transaction, which occurred prior to the Issuer's initial public offering of Common Stock, is being reported as required by Rule 16a-2(a) under the Securities Exchange Act of 1934, as amended.
[F11]Reflects the 1-for-1.6667 reverse stock split effected on November 29, 2010 in connection with the Issuer's initial public offering, pursuant to which (i) the number of shares of Common Stock underlying the warrants was divided by 1.6667 and (ii) the exercise price of the warrants was multipled by 1.6667.
[F12]The warrants became exercisable upon the closing of the Issuer's initial public offering.
[F13]Consists of the following shares of the Issuer's Common Stock underlying the warrants held by the following entities: 17,080 shares by NewcoGen Group LLC, 12,182 shares by NewcoGen Equity Investors LLC, 6,422 shares by NewcoGen-Elan LLC, 1,728 shares by NewcoGen-Long Reign Holding LLC, 7,001 shares by NewcoGen-PE LLC, 1,723 shares by ST NewcoGen LLC, 6 shares by Applied Genomic Technology Capital Fund, L.P. and 0 shares by AGTC Advisors Fund, L.P.
[F14]Consists of the following shares of the Issuer's Common Stock underlying the warrants held by the following entities: 17,080 shares by NewcoGen Group LLC, 12,182 shares by NewcoGen Equity Investors LLC, 6,422 shares by NewcoGen-Elan LLC, 1,728 shares by NewcoGen-Long Reign Holding LLC, 7,001 shares by NewcoGen-PE LLC, 1,723 shares by ST NewcoGen LLC, 6 shares by Applied Genomic Technology Capital Fund, L.P. and 0 shares by AGTC Advisors Fund, L.P.
[F15]Consists of the aggregate principal amount of the Convertible Notes dated September 27, 2010 in the following principal amounts held by the following entities: $100 by Applied Genomic Technology Capital Fund, L.P., $10 by AGTC Advisors Fund, L.P., $246,724 by NewcoGen Group LLC, $175,984 by NewcoGen Equity Investors LLC, $24,976 by NewcoGen-Long Reign Holding LLC, $101,133 by NewcoGen-PE LLC, $92,769 by NewcoGen-Elan LLC and $24,904 by ST NewcoGen LLC.
[F16]Consists of the aggregate principal amount of the Convertible Notes dated November 4, 2010 in the following principal amounts held by the following entities: $100 by Applied Genomic Technology Capital Fund, L.P., $10 by AGTC Advisors Fund, L.P., $246,724 by NewcoGen Group LLC, $175,984 by NewcoGen Equity Investors LLC, $24,976 by NewcoGen-Long Reign Holding LLC, $101,133 by NewcoGen-PE LLC, $92,769 by NewcoGen-Elan LLC and $24,904 by ST NewcoGen LLC.
[F17]The outstanding principal and accrued and unpaid interest on the Convertible Notes automatically converted into Common Stock upon the closing of the Issuer's initial public offering at $7.00 per share pursuant to the terms of the Convertible Notes.
[F2]The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series A Preferred Stock converted to Common Stock on an approximately 1-for-0.2804 basis and the Series D Preferred Stock converted to Common Stock on an approximately 1-for-0.6 basis.
[F3]Reflects the shares issued as a result of the automatic conversion of the outstanding principal and accrued and unpaid interest on the Convertible Notes (defined herein) through February 9, 2011, the closing date of the Issuer's initial public offering, into Common Stock upon the closing of the Issuer's initial public offering pursuant to the terms of the Convertible Notes.
[F4]Reflects shares purchased in the Issuer's initial public offering.
[F5]Noubar Afeyan and Edwin M. Kania, Jr. are managing members of OneLiberty Partners 2000, LLC, which is the general partner of OneLiberty Advisors Fund 2000 L.P. ("OLA") and OneLiberty Ventures 2000 L.P. ("OLV"), and may be deemed to beneficially own the securities held by OLA and OLV. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein.
[F6]Noubar Afeyan and Edwin M. Kania, Jr. are managers of Flagship Ventures 2007 General Partner, LLC, which is the general partner of Flagship Ventures Fund 2007, L.P., and may be deemed to beneficially own the securities held by Flagship Ventures Fund 2007, L.P. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein.
[F7]The Series A Preferred Stock and the Series D Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date.
[F8]Reflects the aggregate principal amount of convertible promissory notes (the "Convertible Notes") dated March 30, 2010, September 27, 2010 and November 4, 2010.
[F9]Not applicable.

Documents

1 file

4
rrd300558.xmlPrimary
FORM 4 - FLAGSHIP (A)

Issuer

BG Medicine, Inc.

CIK 0001407038

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Entity typeother

Related Parties

filerCIK 0001097546

Filing Metadata

Form type: 4
Filed: Feb 10, 7:00 PM ET
Accepted: Feb 11, 5:34 PM ET
Size: 125.7 KB

View on SEC.gov