Yen Tuff 4

Accession 0001209191-21-009059

CIK 0001652724other

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 8:01 PM ET

Size

24.6 KB

Accession

0001209191-21-009059

Form 4

Period: 2021-02-09

Director

Transactions

Conversion
Common Stock
2021-02-09+737,489→ 1,153,558 total(indirect: See footnote)
Conversion
Common Stock
2021-02-09$13.60/sh+61,588$837,597→ 1,013,473 total(indirect: See footnote)
Conversion
Convertible Promissory Note
2021-02-09→ 0 total(indirect: See footnote)
Exercise: $13.60Exp: 2022-12-11→ Common Stock (61,588 underlying)
Conversion
Series B Preferred Stock
2021-02-09−737,489→ 0 total(indirect: See footnote)
→ Common Stock (737,489 underlying)
Conversion
Convertible Promissory Note
2021-02-09→ 0 total(indirect: See footnote)
Exercise: $13.60Exp: 2022-12-11→ Common Stock (74,637 underlying)
Conversion
Series C Preferred Stock
2021-02-09−951,885→ 0 total(indirect: See footnote)
→ Common Stock (951,885 underlying)
Conversion
Common Stock
2021-02-09+416,069→ 416,069 total(indirect: See footnote)
Conversion
Common Stock
2021-02-09$13.60/sh+74,637$1,015,063→ 1,228,195 total(indirect: See footnote)
Conversion
Common Stock
2021-02-09+951,885→ 951,885 total(indirect: See footnote)
Conversion
Series A Preferred Stock
2021-02-09−416,069→ 0 total(indirect: See footnote)
→ Common Stock (416,069 underlying)

Footnotes (4)

[F1]Each share of Series A Preferred, Series B Preferred Stock and Series C Preferred Stock (the "Preferred Stock") automatically converted on a one-for-one basis into Common Stock at the closing of the Issuer's initial public offering, for no additional consideration. The shares of Preferred Stock had no expiration date.
[F2]The securities are held directly by Seraph Diassess, LLC. Seraph Group LLC is the manager of Seraph Diassess, LLC and exercises investment and voting control over the shares held by Seraph Diassess, LLC. All investment decisions are made by Mr. Yen in his capacity as the President of Seraph Diassess, LLC. Mr. Yen disclaims beneficial ownership of the shares held by Seraph Diassess, LLC except to the extent of his pecuniary interest therein, if any.
[F3]The securities are held directly by Seraph Investments II, LLC. Seraph Group LLC is the manager of Seraph Investments II, LLC and exercises investment and voting control over the shares held by Seraph Investments II, LLC. All investment decisions are made by Mr. Yen in his capacity as the Manager of Seraph Investments II, LLC. Mr. Yen disclaims beneficial ownership of the shares held by Seraph Investments II, LLC except to the extent of his pecuniary interest therein, if any.
[F4]The convertible promissory note automatically converted into shares of the Issuer's Common Stock at the closing of the IPO.

Documents

1 file

Lucira Health, Inc.

CIK 0001652724

Entity typeother