GLYCOMIMETICS INC 4
4 · GLYCOMIMETICS INC · Filed Jan 15, 2014
Insider Transaction Report
Form 4
HENOS MICHAEL A
Director
Transactions
- Conversion
Series A-1 Preferred Stock
2014-01-15−39,413→ 0 total(indirect: By Spouse)→ Common Stock (11,936 underlying) - Conversion
Common Stock
2014-01-15+337,579→ 453,808 total(indirect: By Funds) - Conversion
Common Stock
2014-01-15+11,936→ 22,668 total(indirect: By Spouse) - Conversion
Series A-1 Preferred Stock
2014-01-15−1,114,690→ 0 total(indirect: By Funds)→ Common Stock (337,579 underlying)
Footnotes (7)
- [F1]This represents shares received upon conversion of shares of Series A-1 convertible preferred stock.
- [F2]Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series A-1 Preferred Stock automatically converted into approximately 0.3028 shares of the Issuer's common stock. The Series A-1 Preferred Stock had no expiration date.
- [F3]These shares are held by Claudia Henos, Mr. Henos's spouse.
- [F4]The total includes 449,091 shares held by Alliance Technology Ventures III, L.P. ("ATV III") and 4,717 shares held by ATV III Affiliates Fund, L.P. ("ATV Affiliates").
- [F5]Mr. Henos is a manager of ATV III Partners, LLC, the general partner of ATV III and ATV Affiliates and shares voting and investment power with respect to the securities held by ATV III and ATV Affiliates. Mr. Henos disclaims beneficial ownership of the securities, except to the extent of his pecuniary interest therein.
- [F6]These shares of Series A-1 Preferred Stock were held by Claudia Henos, Mr. Henos's spouse.
- [F7]1,103,540 shares of Series A-1 Preferred Stock were held by ATV III and 11,150 shares of Series A-1 Preferred Stock were held by ATV Affiliates.