4//SEC Filing
Revance Therapeutics, Inc. 4
Accession 0001209191-14-009009
CIK 0001479290operating
Filed
Feb 10, 7:00 PM ET
Accepted
Feb 11, 1:31 PM ET
Size
20.7 KB
Accession
0001209191-14-009009
Insider Transaction Report
Form 4
WOOTEN RONALD J
Director10% Owner
Transactions
- Conversion
Common Stock
2014-02-11+2,039,382→ 2,039,382 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.) - Conversion
Series E-4 Convertible Preferred Stock
2014-02-11−1,539,343→ 0 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.)→ Common Stock (1,539,343 underlying) - Conversion
Convertible Promissory Notes
2014-02-11−658,551→ 0 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.)→ Common Stock (658,551 underlying) - Conversion
Common Stock
2014-02-11+658,551→ 2,697,933 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.) - Conversion
Series E-5 Convertible Preferred Stock
2014-02-11−500,039→ 0 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.)→ Common Stock (500,039 underlying) - Exercise of In-Money
Common Stock
2014-02-11+398,717→ 3,096,650 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.) - Exercise of In-Money
Warrant to Purchase Common Stock
2014-02-11−398,717→ 0 total(indirect: by NovaQuest Pharma Opportunities Fund III, L.P.)→ Common Stock (398,717 underlying)
Footnotes (7)
- [F1]Issued upon conversion of Series E-4 and E-5 Preferred Stock upon closing of the Issuer's initial public offering.
- [F2]Each share of the Issuer's Series E-1, Series E-2, Series E-3, Series E-4 and Series E-5 Preferred Stock automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and has no expiration date.
- [F3]These securities are held by NovaQuest Pharma Opportunities Fund III, L.P. ("NovaQuest"). NQ HCIF General Partner, L.P., the general partner of NovaQuest ("NovaQuest GP"), has the power to vote and dispose of securities directly owned by NovaQuest, and NQ HCIF GP, Ltd., the general partner of NovaQuest GP ("NovaQuest GP Ltd."), has the power to direct the NovaQuest GP as to such voting and disposition. NovaQuest GP Ltd.'s investment committee, on which the Reporting Person, Ronald Wooten, serves, makes voting and investment decisions regarding securities held by NovaQuest. Mr. Wooten also serves on the board of directors of NovaQuest GP Ltd. Accordingly, Mr. Wooten may be deemed to have shared voting and dispositive power over the securities held by NovaQuest. Mr. Wooten disclaims beneficial ownership of the securities held by NovaQuest except to the extent of his pecuniary interest therein.
- [F4]Convertible Promissory Notes in the aggregate principal amount of $9,500,000.00 were issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The principal amount of $9,500,000.00 plus interest accrued through October 7, 2014, at the rate of 12% per annum converted automatically upon the closing of the Issuer's initial public offering into shares of Common Stock at a conversion price that equals to 100% of the per share price of the Common Stock sold in the Issuer's initial public offering.
- [F5]Issued upon closing of the Issuer's initial public offering pursuant to automatic net exercise of warrants to purchase common stock at an exercise price of $0.15 per share.
- [F6]Automatically net exercised into shares of the Issuer's Common Stock at an exercise price of $0.15 per share.
- [F7]Includes certain warrants to purchase capital stock of the Issuer issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The warrant shares were automatically net exercised into Common Stock of the Issuer upon the closing of the Issuer's initial public offering at a per share exercise price of $0.15 per share on a post-split basis.
Documents
Issuer
Revance Therapeutics, Inc.
CIK 0001479290
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001479290
Filing Metadata
- Form type
- 4
- Filed
- Feb 10, 7:00 PM ET
- Accepted
- Feb 11, 1:31 PM ET
- Size
- 20.7 KB