Filing Details
- Accession Number:
- 0000947871-13-000751
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-20 19:23:32
- Reporting Period:
- 2013-11-20
- Filing Date:
- 2013-11-20
- Accepted Time:
- 2013-11-20 19:23:32
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1416792 | Relypsa Inc | RLYP | Pharmaceutical Preparations (2834) | 260893742 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1055949 | D Samuel Isaly | 601 Lexington Avenue, 54Th Floor New York NY 10022 | No | No | Yes | No | |
1055951 | Orbimed Advisors Llc | 601 Lexington Avenue, 54Th Floor New York NY 10022 | No | No | Yes | No | |
1502240 | Orbimed Capital Gp Iv Llc | 601 Lexington Avenue, 54Th Floor New York NY 10022 | 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 | Acquisiton | 2013-11-20 | 1,904,940 | $0.00 | 1,904,940 | No | 4 | C | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 1,905,702 | $0.00 | 3,810,642 | No | 4 | C | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 3,007,297 | $0.00 | 6,817,939 | No | 4 | C | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 693,991 | $0.00 | 7,511,930 | No | 4 | C | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 1,417,578 | $0.17 | 8,929,508 | No | 4 | M | Indirect | See footnotes |
Common Stock | Disposition | 2013-11-20 | 22,166 | $11.00 | 8,907,342 | No | 4 | F | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 327,133 | $0.17 | 9,234,475 | No | 4 | M | Indirect | See footnotes |
Common Stock | Disposition | 2013-11-20 | 5,116 | $11.00 | 9,229,359 | No | 4 | F | Indirect | See footnotes |
Common Stock | Acquisiton | 2013-11-20 | 712,192 | $11.00 | 9,941,551 | No | 4 | P | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See footnotes |
No | 4 | C | Indirect | See footnotes |
No | 4 | C | Indirect | See footnotes |
No | 4 | C | Indirect | See footnotes |
No | 4 | M | Indirect | See footnotes |
No | 4 | F | Indirect | See footnotes |
No | 4 | M | Indirect | See footnotes |
No | 4 | F | Indirect | See footnotes |
No | 4 | P | Indirect | See footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B-1 Preferred Stock | Disposition | 2013-11-20 | 1,295,845 | $0.00 | 1,904,940 | $0.00 |
Common Stock | Series B-2 Preferred Stock | Disposition | 2013-11-20 | 1,905,702 | $0.00 | 1,905,702 | $0.00 |
Common Stock | Series C-1 Preferred Stock | Disposition | 2013-11-20 | 3,007,297 | $0.00 | 3,007,297 | $0.00 |
Common Stock | Series C-2 Preferred Stock | Disposition | 2013-11-20 | 693,991 | $0.00 | 693,991 | $0.00 |
Series C-1 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 1,417,578 | $0.00 | 1,417,578 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 1,417,578 | $0.00 | 1,417,578 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 1,417,578 | $0.00 | 1,417,578 | $0.17 |
Series C-2 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 327,133 | $0.00 | 327,133 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 327,133 | $0.00 | 327,133 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 327,133 | $0.00 | 327,133 | $0.17 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | 2013-11-20 | No | 4 | J | Indirect | |
1,417,578 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect | |
0 | 2013-11-20 | No | 4 | J | Indirect | |
327,133 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect |
Footnotes
- Reflects a 1-for-17.2 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
- Each share of Series B-1 Preferred Stock automatically converted into the Issuer's common stock ("Common Stock") immediately prior to the closing of the Issuer's initial public offering, at a conversion ratio of 1.47 shares of Common Stock for every 1 share of Series B-1 Preferred Stock.
- Shares are directly beneficially owned by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the sole general partner of OPI IV. OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP IV. Samuel D. Isaly ("Isaly") is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, GP IV, Advisors and Isaly may be deemed to have voting and investment power over the securities beneficially owned by OPI IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Persons have designated a representative, currently Jonathan T. Silverstein, a member of Advisors, to serve on the Issuer's board of directors.
- This report on Form 4 is jointly filed by GP IV, Advisors and Isaly. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of them are beneficial owners for the purpose of Section 16 of the Exchange Act, or for any other purpose.
- Each share of Series B-2 Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- Each share of Series C-1 Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- Each share of Series C-2 Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- Shares disposed of in connection with net share settlement of outstanding warrants, which resulted in the cancellation of underlying shares to the Issuer, and which did not involve any sale of shares.
- The shares did not have an expiration date.
- Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-1 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
- Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-2 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.