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Filing Details

Accession Number:: 0001181431-13-060045
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-20 21:51:22
Reporting Period:: 2013-11-20

Filing Date:: 2013-11-20
Accepted Time:: 2013-11-20 21:51:22
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	Director	Officer	Large Shareholder	Other
1192212	O. Philippe Chambon	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	No	Yes
1231092	James Niedel	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	No	Yes
1340806	K Vijay Lathi	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	No	Yes
1375661	New Leaf Ventures I, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	Yes	No	No	Yes
1441563	Jeani Delagardelle	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	No	Yes
1455597	New Leaf Venture Management I, L.l.c.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	Yes	No	No	Yes
1455617	New Leaf Venture Management I, L.p.	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	Yes	No	No	Yes
1547100	Liam Ratcliffe	C/O New Leaf Ventures 7 Times Square, Suite 3502 New York NY 10036	No	No	No	Yes

Reported Non-Derivative Transactions

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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	497,093	$0.00	497,093	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	381,733	$0.00	878,826	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	378,773	$0.00	1,257,599	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	541,960	$0.00	1,799,559	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	125,067	$0.00	1,924,626	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	25,977	$9.18	1,950,603	No	4	M	Indirect	See Footnote
Common Stock	Disposition	2013-11-20	21,691	$11.00	1,928,912	No	4	F	Indirect	See Footnote
Common Stock	Acquisiton	2013-11-20	185,978	$11.00	2,114,890	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	M	Indirect	See Footnote
No	4	F	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Preferred Stock	Disposition	2013-11-20	497,093	$0.00	497,093	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2013-11-20	259,676	$0.00	381,733	$0.00
Common Stock	Series B-2 Preferred Stock	Disposition	2013-11-20	378,773	$0.00	378,773	$0.00
Common Stock	Series C-1 Preferred Stock	Disposition	2013-11-20	541,960	$0.00	541,960	$0.00
Common Stock	Series C-2 Preferred Stock	Disposition	2013-11-20	125,067	$0.00	125,067	$0.00
Series B-1 Preferred Stock	Warrant to Purchase Preferred Stock	Disposition	2013-11-20	17,671	$0.00	17,671	$13.50
Common Stock	Warrant to Purchase Common Stock	Acquisiton	2013-11-20	25,977	$0.00	25,977	$9.18
Common Stock	Warrant to Purchase Common Stock	Disposition	2013-11-20	25,977	$0.00	25,977	$9.18

Remaning Holdings	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		No	4	C	Indirect
0	2013-11-20	No	4	J	Indirect
25,977	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 A-1 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
Represents shares directly beneficially owned by New Leaf Ventures I, L.P. ("NLV-I"). New Leaf Venture Management I, L.P. ("NLVM-I LP") is the general partner of NLV-I and New Leaf Venture Management I, L.L.C. ("NLVM-I LLC") is the general partner of NLVM-I LP. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi, James Niedel and Liam Ratcliffe are individual managers of NLVM-I LLC (the "Individual Managers"). NLVM-I LP and NLVM-I LLC disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. As one of six individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his economic interest.
Each share of Series B-1 Preferred Stock was automatically converted on a 1.47003745318352-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
Each share of Series B-2 Preferred Stock was 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 was 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 was 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 are immediately convertible.
The shares do not have an expiration date.
Immediately prior to the closing of the Issuer's initial public offering, the warrant to purchase shares of Series B-1 Preferred Stock automatically converted on a 1.47003745318352-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.
This warrant is immediately exercisable.