4/A//SEC Filing
Carbylan Therapeutics, Inc. 4/A
Accession 0001209191-15-036216
$KALVCIK 0001348911operating
Filed
Apr 23, 8:00 PM ET
Accepted
Apr 24, 7:03 PM ET
Size
37.4 KB
Accession
0001209191-15-036216
Insider Transaction Report
Form 4/AAmended
Vivo Ventures VI, LLC
10% Owner
Transactions
- Conversion
Common Stock
2015-04-14+18,140→ 2,494,592 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−304,438→ 0 total(indirect: See Footnote)→ Common Stock (304,438 underlying) - Conversion
Common Stock
2015-04-14+2,842→ 2,885,394 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+387,960→ 2,882,552 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−2,842→ 0 total(indirect: See Footnote)→ Common Stock (2,842 underlying) - Conversion
Series B Convertible Preferred Stock
2015-04-14−18,140→ 0 total(indirect: See Footnote)→ Common Stock (18,140 underlying) - Conversion
Common Stock
2015-04-14+2,230→ 3,192,062 total(indirect: See Footnotes) - Conversion
Series B Convertible Preferred Stock
2015-04-14−2,476,452→ 0 total(indirect: See Footnote)→ Common Stock (2,476,452 underlying) - Purchase
Common Stock
2015-04-14$5.00/sh+1,005,136$5,025,680→ 4,197,198 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−2,230→ 0 total(indirect: See Footnote)→ Common Stock (2,230 underlying) - Conversion
Common Stock
2015-04-14+2,476,452→ 2,476,452 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+304,438→ 3,189,832 total(indirect: See Footnotes) - Purchase
Common Stock
2015-04-14$5.00/sh+7,364$36,820→ 4,204,562 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−387,960→ 0 total(indirect: See Footnote)→ Common Stock (387,960 underlying)
Vivo Ventures Fund VI, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2015-04-14+304,438→ 3,189,832 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+2,842→ 2,885,394 total(indirect: See Footnotes) - Purchase
Common Stock
2015-04-14$5.00/sh+7,364$36,820→ 4,204,562 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−387,960→ 0 total(indirect: See Footnote)→ Common Stock (387,960 underlying) - Conversion
Common Stock
2015-04-14+2,476,452→ 2,476,452 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+2,230→ 3,192,062 total(indirect: See Footnotes) - Purchase
Common Stock
2015-04-14$5.00/sh+1,005,136$5,025,680→ 4,197,198 total(indirect: See Footnotes) - Conversion
Series B Convertible Preferred Stock
2015-04-14−18,140→ 0 total(indirect: See Footnote)→ Common Stock (18,140 underlying) - Conversion
Series B Convertible Preferred Stock
2015-04-14−2,476,452→ 0 total(indirect: See Footnote)→ Common Stock (2,476,452 underlying) - Conversion
Convertible Promissory Note
2015-04-14−2,842→ 0 total(indirect: See Footnote)→ Common Stock (2,842 underlying) - Conversion
Convertible Promissory Note
2015-04-14−2,230→ 0 total(indirect: See Footnote)→ Common Stock (2,230 underlying) - Conversion
Common Stock
2015-04-14+18,140→ 2,494,592 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+387,960→ 2,882,552 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−304,438→ 0 total(indirect: See Footnote)→ Common Stock (304,438 underlying)
Transactions
- Conversion
Common Stock
2015-04-14+2,842→ 2,885,394 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−387,960→ 0 total(indirect: See Footnote)→ Common Stock (387,960 underlying) - Purchase
Common Stock
2015-04-14$5.00/sh+1,005,136$5,025,680→ 4,197,198 total(indirect: See Footnotes) - Purchase
Common Stock
2015-04-14$5.00/sh+7,364$36,820→ 4,204,562 total(indirect: See Footnotes) - Conversion
Convertible Promissory Note
2015-04-14−2,842→ 0 total(indirect: See Footnote)→ Common Stock (2,842 underlying) - Conversion
Convertible Promissory Note
2015-04-14−304,438→ 0 total(indirect: See Footnote)→ Common Stock (304,438 underlying) - Conversion
Series B Convertible Preferred Stock
2015-04-14−18,140→ 0 total(indirect: See Footnote)→ Common Stock (18,140 underlying) - Conversion
Convertible Promissory Note
2015-04-14−2,230→ 0 total(indirect: See Footnote)→ Common Stock (2,230 underlying) - Conversion
Common Stock
2015-04-14+387,960→ 2,882,552 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+18,140→ 2,494,592 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+2,230→ 3,192,062 total(indirect: See Footnotes) - Conversion
Series B Convertible Preferred Stock
2015-04-14−2,476,452→ 0 total(indirect: See Footnote)→ Common Stock (2,476,452 underlying) - Conversion
Common Stock
2015-04-14+2,476,452→ 2,476,452 total(indirect: See Footnotes) - Conversion
Common Stock
2015-04-14+304,438→ 3,189,832 total(indirect: See Footnotes)
Footnotes (6)
- [F1]Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a one for one basis without payment or further consideration, and has no expiration date.
- [F2]The reported shares are held directly by Vivo Ventures Fund VI, L.P. ("VIF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIF, except to the extent of such individual's or entity's pecuniary interests in the securities.
- [F3]The reported shares are held directly by Vivo Ventures VI Affiliates Fund, L.P. ("VIAF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIAF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIAF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIAF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIAF, except to the extent of such individual's or entity's pecuniary interests in the securities.
- [F4]The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 184 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
- [F5]The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 41 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
- [F6]The number of shares in Column 5 represents the aggregate number of shares directly beneficially owned by both VIF and VIAF. Vivo LLC, the Designated Reporting Person, is the general partner of both VIF and VIAF.
Documents
Issuer
Carbylan Therapeutics, Inc.
CIK 0001348911
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001348911
Filing Metadata
- Form type
- 4/A
- Filed
- Apr 23, 8:00 PM ET
- Accepted
- Apr 24, 7:03 PM ET
- Size
- 37.4 KB