Filing Details
- Accession Number:
- 0001144204-15-006849
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-06 20:06:21
- Reporting Period:
- 2015-02-04
- Filing Date:
- 2015-02-06
- Accepted Time:
- 2015-02-06 20:06:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1609351 | Spark Therapeutics Inc. | ONCE | Biological Products, (No Disgnostic Substances) (2836) | 462654405 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1590102 | Anand Mehra | C/O Sofinnova Ventures 3000 Sand Hill Road, 4-250 Menlo Park CA 94025 | Yes | No | No | 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 | 2015-02-04 | 1,893,576 | $0.00 | 1,893,576 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2015-02-04 | 225,000 | $23.00 | 2,118,576 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | Acquisiton | 2015-02-04 | 30,222 | $0.00 | 30,222 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2015-02-04 | 1,893,576 | $0.00 | 1,893,576 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,893,576 | No | 4 | A | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- Shares of Series B Preferred Stock, while outstanding, accrued stock dividends payable in additional shares of Series B Preferred Stock at a rate of 8% per annum from November 23, 2014. These accrued stock dividends became payable in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended (the "IPO"). The outstanding shares of Series B Preferred Stock, including the 30,222 shares issued as accrued stock dividends, converted into Spark Therapeutics, Inc. common stock upon the closing of the issuer's IPO, and have no expiration date.
- The securities are owned directly by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII"), the general partner of SVP VIII, and Anand Mehra, a director of the Issuer, James I. Healy, Srinivas Akkaraju, and Michael Powell, the managing members of SM VIII, may be deemed to have shared voting and dispositive power over the shares owned by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares owned by SVP VIII except to the extent of any pecuniary interest therein.