4//SEC Filing
CHAMPIONS ONCOLOGY, INC. 4
Accession 0001209191-15-026236
$CSBRCIK 0000771856operating
Filed
Mar 12, 8:00 PM ET
Accepted
Mar 13, 7:47 PM ET
Size
26.1 KB
Accession
0001209191-15-026236
Insider Transaction Report
Form 4
Battery Ventures IX, L.P.
10% Owner
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
Battery Investment Partners IX, LLC
10% Owner
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds)
Battery Partners IX, LLC
10% Owner
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
LAWLER KENNETH P
10% Owner
Transactions
- Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
TABORS R DAVID
10% Owner
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
FRISBIE RICHARD D
10% Owner
Transactions
- Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying) - Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds)
CROTTY THOMAS J
10% Owner
Transactions
- Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying) - Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds)
TOBIN SCOTT R
Director
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
Lee Roger H
10% Owner
Transactions
- Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying) - Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds)
Agrawal Neeraj
10% Owner
Transactions
- Purchase
Common Stock
2015-03-11$0.40/sh+6,250,000$2,500,000→ 22,281,040 total(indirect: By Funds) - Other
Common Stock
2015-03-11+1,161,549→ 23,442,589 total(indirect: By Funds) - Award
Warrant to purchase shares of Common Stock
2015-03-11+3,437,500→ 3,437,500 total(indirect: By Funds)Exercise: $0.48From: 2015-03-11Exp: 2020-03-11→ Common Stock (3,437,500 underlying)
Footnotes (6)
- [F1]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.
- [F2]Consists of 22,060,458 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 220,582 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. Thomas J. Crotty, Richard D. Frisbie, Kenneth P. Lawler, R. David Tabors, Scott R. Tobin, Roger H. Lee, Neeraj Agrawal, Michael M. Brown and Jesse Feldman (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.
- [F3]As more particularly described in the Schedule 13D/A filed as a result of the transaction, the 1,161,549 shares of Common Stock were issued for no consideration pursuant to contractual anti-dilution undertakings of the Issuer in its Securities Purchase Agreement dated March 24, 2011 between the Issuer, BVIX, BIPIX and certain other investors.
- [F4]Consists of 23,210,508 shares of the Issuer's Common Stock held BVIX and 232,081 shares of the Issuer's Common Stock held by BIPIX. BPIX is the sole general partner of BVIX and the sole manager of BIPIX. BMC is the investment adviser of BPIX. The Managing Members are the managing members of BPIX. The Officers are the officers of BMC. 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.
- [F5]The warrant was acquired in connection with the purchase of Common Stock pursuant to the Securities Purchase Agreement dated March 11, 2015 between the Issuer, BVIX, BIPIX and certain other investors for no additional consideration.
- [F6]Consists of a warrant to purchase 3,403,469 shares of the Issuer's Common Stock held by BVIX and a warrant to purchase 34,031 shares of the Issuer's Common Stock held by BIPIX. BPIX is the sole general partner of BVIX and the sole manager of BIPIX. BMC is the investment adviser of BPIX. The Managing Members are the managing members of BPIX. The Officers are the officers of BMC. The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the underlying shares held by BVIX and BIPIX.
Documents
Issuer
CHAMPIONS ONCOLOGY, INC.
CIK 0000771856
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000771856
Filing Metadata
- Form type
- 4
- Filed
- Mar 12, 8:00 PM ET
- Accepted
- Mar 13, 7:47 PM ET
- Size
- 26.1 KB