Home/Filings/4/0001209191-13-007020

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STEINMETZ MICHAEL 4

Accession 0001209191-13-007020

CIK 0001293310other

View on SEC.gov Company Profile

Filed

Feb 6, 7:00 PM ET

Accepted

Feb 7, 2:33 PM ET

Size

26.0 KB

Accession

0001209191-13-007020

Insider Transaction Report

Form 4

Period: 2013-02-05

KALOBIOS PHARMACEUTICALS INCKBIO

EVNIN LUKE

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)

SIMON NICHOLAS J III

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)

GADICKE ANSBERT

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)

GALAKATOS NICHOLAS

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)

STEINMETZ MICHAEL

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)

WHEELER KURT

10% Owner

Transactions

Conversion
Common Stock
2013-02-05+1,949,879→ 1,949,879 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+369,522→ 2,319,401 total(indirect: See Footnote)
Conversion
Common Stock
2013-02-05+313,527→ 2,632,928 total(indirect: See Footnote)
Conversion
Series B-2 Preferred Stock
2013-02-05−1,949,879→ 0 total(indirect: See Footnote)
→ Common Stock (1,949,879 underlying)
Conversion
Series C Preferred Stock
2013-02-05−337,622→ 0 total(indirect: See Footnote)
→ Common Stock (369,522 underlying)
Conversion
Series D Preferred Stock
2013-02-05−275,539→ 0 total(indirect: See Footnote)
→ Common Stock (313,527 underlying)

Footnotes (11)

[F1]The shares are held as follows: 1,430,310 by MPM BioVentures III-QP, L.P. ("BV III QP"), 96,176 by MPM BioVentures III, L.P. ("BV III"), 25,335 by MPM Asset Management Investors 2005 BVIII LLC ("AM 2005"), 43,206 by MPM BioVentures III Parallel Fund, L.P. ("BV Parallel"), 120,867 by MPM BioVentures III GmbH & Co. Beteiligungs KG ("BV KG") and 233,985 by MPM BioVentures Strategic Fund, L.P. ("BV SF"). MPM BioVentures III GP, L.P. ("MPM III GP") and MPM BioVentures III LLC ("MPM III LLC") are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. Luke Evnin, Ansbert Gadicke, Nicholas Galakatos, Dennis Henner, Nicholas Simon III, Michael Steinmetz and Kurt Wheeler are the Series A members of MPM III LLC and the managers of AM 2005. Each reporting person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
[F10]The shares of Series C Preferred Stock were held as follows: 247,660 by BV III QP, 16,652 by BV III, 4,386 by AM 2005, 7,481 by BV Parallel, 20,928 by BV KG and 40,515 by BV SF.
[F11]The shares of Series D Preferred Stock were held as follows: 202,120 by BV III QP, 13,590 by BV III, 3,580 by AM 2005, 6,105 by BV Parallel, 17,080 by BV KG and 33,064 by BV SF.
[F2]On January 15, 2013, the Issuer effected a 1-for-3.56147 reverse split of its issued and outstanding capital stock. Immediately prior to the closing of the Issuer's initial public offering, each share of Series B-2 Preferred Stock automatically converted into one share of Common Stock, each share of Series C Preferred Stock automatically converted into 1.09449 shares of Common Stock and each share of Series D Preferred Stock automatically converted into 1.13787 shares of Common Stock.
[F3]The shares are held as follows: 271,061 by BV III QP, 18,225 by BV III, 4,800 by AM 2005, 8,188 by BV Parallel, 22,905 by BV KG and 44,343 by BV SF. Each reporting person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
[F4]The shares are held as follows: 1,701,371 by BV III QP, 114,401 by BV III, 30,135 by AM 2005, 51,394 by BV Parallel, 143,772 by BV KG and 278,328 by BV SF. Each reporting person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
[F5]The shares are held as follows: 229,986 by BV III QP, 15,464 by BV III, 4,074 by AM 2005, 6,946 by BV Parallel, 19,435 by BV KG and 37,622 by BV SF. Each reporting person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
[F6]The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. Each reporting person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
[F7]Immediately.
[F8]Not applicable.
[F9]The shares of Series B-2 Preferred Stock were held as follows: 1,430,310 by BV III QP, 96,176 by BV III, 25,335 by AM 2005, 43,206 by BV Parallel, 120,867 by BV KG and 233,985 by BV SF.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

KALOBIOS PHARMACEUTICALS INC

CIK 0001293310

→

Entity typeother

Related Parties

filerCIK 0001166285

Filing Metadata

Form type: 4
Filed: Feb 6, 7:00 PM ET
Accepted: Feb 7, 2:33 PM ET
Size: 26.0 KB

View on SEC.gov