Filing Details
- Accession Number:
- 0001193805-15-000295
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-19 19:13:22
- Reporting Period:
- 2015-02-18
- Filing Date:
- 2015-02-19
- Accepted Time:
- 2015-02-19 19:13:22
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1501134 | Invitae Corp | NVTA | Services-Medical Laboratories (8071) | 271701898 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1009258 | Deerfield Management Co | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1010823 | L.p. Mgmt Deerfield | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1352546 | E James Flynn | 780 Third Avenue, 37Th Floor New York NY 10017 | No | No | Yes | Yes | |
1354395 | Deerfield Special Situations Fund, L.p. | 780 3Rd Avenue 37Th Floor New York NY 10017 | No | No | Yes | Yes |
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 | 2015-02-18 | 166,666 | $0.00 | 166,666 | No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Acquisiton | 2015-02-18 | 87,500 | $16.00 | 254,166 | No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
Common Stock | Acquisiton | 2015-02-18 | 39,112 | $16.00 | 39,112 | No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
Common Stock | Acquisiton | 2015-02-18 | 48,388 | $16.00 | 48,388 | No | 4 | P | Indirect | Through Deerfield International Master Fund, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | P | Indirect | Through Deerfield Special Situations Fund, L.P. |
No | 4 | P | Indirect | Through Deerfield Partners, L.P. |
No | 4 | P | Indirect | Through Deerfield International Master Fund, L.P. |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series F Preferred Stock | Disposition | 2015-02-18 | 1,000,000 | $0.00 | 166,666 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Footnotes
- The Series F Preferred Stock was convertible at any time into one-sixth (1/6) of one share of the Issuer's common stock (on an adjusted basis, after giving effect to the 1-for-6 reverse stock split effected by the Issuer on February 9, 2015). The Series F Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock.
- This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt L.P. is the general partner of Deerfield Special Situations Fund, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
- In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.