Filing Details
- Accession Number:
- 0001140361-13-034582
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-29 16:26:49
- Reporting Period:
- 2013-08-27
- Filing Date:
- 2013-08-29
- Accepted Time:
- 2013-08-29 16:26:49
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1311596 | Regado Biosciences Inc | RGDO | Pharmaceutical Preparations (2834) | 030422069 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1579186 | Partners Investment Rothschild De Edmond | 47 Rue Du Faubourg Saint Honore Paris I0 75008 | No | No | Yes | No | |
1579266 | Biodiscovery 3, Fcpr | 47 Rue Du Faubourg Saint Honore Paris I0 75401 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-08-27 | 1,021,930 | $0.00 | 1,021,930 | No | 4 | C | Direct | |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-08-27 | 169,633 | $0.00 | 1,191,563 | No | 4 | C | Direct | |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-08-27 | 1,215,708 | $4.00 | 2,407,271 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Series D Preferred Stock | Disposition | 2013-08-27 | 17,066,243 | $0.00 | 1,021,930 | $0.00 |
Common Stock, Par Value $0.001 Per Share | Series E Preferred Stock | Disposition | 2013-08-27 | 2,832,872 | $0.00 | 169,633 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- The reportable securities are directly held by BioDiscovery 3, FCPR ("BioDiscovery"). Edmond de Rothschild Investment Partners, S.A.S. ("Edmond de Rothschild"), as the management company for BioDiscovery indirectly beneficially owns the reportable securities. Raphael Wisniewski is a partner at Edmond de Rothschild and a member of the board of directors of the Issuer. Edmond de Rothschild and Mr. Wisniewski disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interest therein, and this report is not an admission that either Edmond de Rothschild or Mr. Wisniewski is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- The shares of Series D Preferred Stock had no expiration date and automatically converted upon the consummation of the initial public offering of Regado Biosciences, Inc. (the "Company") at a conversion ratio of 1 share of Series D Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- The shares of Series E Preferred Stock had no expiration date and automatically converted upon the consummation of the Company's initial public offering at a conversion ratio of 1 share of Series E Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.