4//SEC Filing
LC Fund VI, L.P. 4
Accession 0001209191-18-048557
CIK 0001411690other
Filed
Aug 26, 8:00 PM ET
Accepted
Aug 27, 6:51 PM ET
Size
24.8 KB
Accession
0001209191-18-048557
Insider Transaction Report
Form 4
Rosy Shine Ltd
10% Owner
Transactions
- Conversion
Series D Convertible Preferred Stock
2018-08-23−6,443,565→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (150,550 underlying) - Conversion
Common Stock
2018-08-23+784,728→ 1,772,915 total(indirect: By LC Healthcare Fund I, L.P.) - Conversion
Common Stock
2018-08-23+150,550→ 350,203 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Common Stock
2018-08-23+199,653→ 199,653 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Common Stock
2018-08-23+637,984→ 988,187 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Common Stock
2018-08-23+1,134,000→ 2,906,915 total(indirect: By Rosy Shine Limited) - Conversion
Series C Convertible Preferred Stock
2018-08-23−8,545,184→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (199,653 underlying) - Conversion
Series D-1 Convertible Preferred Stock
2018-08-23−27,305,708→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (637,984 underlying)
LC Fund VI, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2018-08-23+784,728→ 1,772,915 total(indirect: By LC Healthcare Fund I, L.P.) - Conversion
Common Stock
2018-08-23+1,134,000→ 2,906,915 total(indirect: By Rosy Shine Limited) - Conversion
Common Stock
2018-08-23+150,550→ 350,203 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Series C Convertible Preferred Stock
2018-08-23−8,545,184→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (199,653 underlying) - Conversion
Series D Convertible Preferred Stock
2018-08-23−6,443,565→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (150,550 underlying) - Conversion
Common Stock
2018-08-23+199,653→ 199,653 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Common Stock
2018-08-23+637,984→ 988,187 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Series D-1 Convertible Preferred Stock
2018-08-23−27,305,708→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (637,984 underlying)
LC Parallel Fund VI, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2018-08-23+1,134,000→ 2,906,915 total(indirect: By Rosy Shine Limited) - Conversion
Common Stock
2018-08-23+150,550→ 350,203 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Series C Convertible Preferred Stock
2018-08-23−8,545,184→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (199,653 underlying) - Conversion
Series D-1 Convertible Preferred Stock
2018-08-23−27,305,708→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (637,984 underlying) - Conversion
Common Stock
2018-08-23+199,653→ 199,653 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Series D Convertible Preferred Stock
2018-08-23−6,443,565→ 0 total(indirect: By entities affiliated with LC Fund VI, L.P.)→ Common Stock (150,550 underlying) - Conversion
Common Stock
2018-08-23+637,984→ 988,187 total(indirect: By entities affiliated with LC Fund VI, L.P.) - Conversion
Common Stock
2018-08-23+784,728→ 1,772,915 total(indirect: By LC Healthcare Fund I, L.P.)
Footnotes (7)
- [F1]Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.
- [F2]The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.
- [F3]The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.
- [F4]The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital.
- [F5]Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
- [F6]Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
- [F7]Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares.
Documents
Issuer
BioNano Genomics, Inc
CIK 0001411690
Entity typeother
IncorporatedCayman Islands
Related Parties
1- filerCIK 0001598248
Filing Metadata
- Form type
- 4
- Filed
- Aug 26, 8:00 PM ET
- Accepted
- Aug 27, 6:51 PM ET
- Size
- 24.8 KB