Filing Details
- Accession Number:
- 0001181431-14-016851
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-24 14:58:00
- Reporting Period:
- 2014-04-22
- Filing Date:
- 2014-04-24
- Accepted Time:
- 2014-04-24 14:58:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1432732 | Trivascular Technologies Inc. | TRIV | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1005561 | J Peter Barris | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1219855 | James M Barrett | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1235112 | J Patrick Kerins | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1237289 | D Scott Sandell | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1270521 | Kittu Krishna Kolluri | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1277631 | Forest Baskett | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1383389 | Nea 12 Gp, Llc | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1383390 | Nea Partners 12, Limited Partnership | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | No | Yes | No | |
| 1383391 | New Enterprise Associates 12, Limited Partnership | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | 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 | 2014-04-22 | 583,333 | $12.00 | 583,333 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-04-22 | 797,208 | $0.00 | 1,380,541 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-22 | 383,249 | $0.00 | 1,763,790 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-22 | 531,758 | $0.00 | 2,295,548 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-22 | 1,236,487 | $0.00 | 3,532,035 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-22 | 411,234 | $0.00 | 3,943,269 | No | 4 | C | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2014-04-22 | 797,208 | $0.00 | 797,208 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-04-22 | 383,249 | $0.00 | 383,249 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-04-22 | 531,758 | $0.00 | 531,758 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2014-04-22 | 1,236,487 | $0.00 | 1,236,487 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2014-04-22 | 411,234 | $0.00 | 411,234 | $0.00 |
| Series D Preferred Stock | Warrant to Purchase Series D Preferred Stock (right to buy) | Disposition | 2014-04-22 | 55,831 | $15.81 | 55,831 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock (right to buy) | Acquisiton | 2014-04-22 | 55,831 | $0.00 | 55,831 | $15.81 |
| 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 | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2012-02-02 | 2019-02-02 | No | 4 | C | Direct |
| 55,831 | 2012-02-02 | 2019-02-02 | No | 4 | C | Direct |
Footnotes
- The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.
- Each share of Series A Preferred Stock and each share of Series B Preferred Stock converted into 0.03845959625192770 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.
- Each share of Series C Preferred Stock converted into 0.03899558573514530 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.
- Each share of Series D Preferred Stock and each share of Series E Preferred Stock converted into 0.02464875523786050 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on an as converted basis. The shares have no expiration date.
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