Filing Details
- Accession Number:
- 0001209191-15-036216
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2015-04-24 19:03:55
- Reporting Period:
- 2015-04-14
- Filing Date:
- 2015-04-24
- Accepted Time:
- 2015-04-24 19:03:55
- Original Submission Date:
- 2015-04-14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1348911 | Carbylan Therapeutics Inc. | CBYL | Pharmaceutical Preparations (2834) | 200915291 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1400245 | Vivo Ventures Vi Affiilates Fund, L.p. | 575 High Street, Suite 201 Palo Alto CA 94301 | No | No | Yes | No | |
1469473 | Vivo Ventures Fund Vi, L.p. | 575 High Street, Suite 201 Palo Alto CA 94301 | No | No | Yes | No | |
1469547 | Vivo Ventures Vi, Llc | C/O Vivo Capital Llc 575 High Street, Suite 201 Palo Alto CA 94301 | 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 | 2015-04-14 | 2,476,452 | $0.00 | 2,476,452 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 18,140 | $0.00 | 2,494,592 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 387,960 | $0.00 | 2,882,552 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 2,842 | $0.00 | 2,885,394 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 304,438 | $0.00 | 3,189,832 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 2,230 | $0.00 | 3,192,062 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 1,005,136 | $5.00 | 4,197,198 | No | 4 | P | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-04-14 | 7,364 | $5.00 | 4,204,562 | 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 | C | Indirect | See Footnotes |
No | 4 | C | Indirect | See Footnotes |
No | 4 | P | 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 Convertible Preferred Stock | Disposition | 2015-04-14 | 2,476,452 | $0.00 | 2,476,452 | $0.00 |
Common Stock | Series B Convertible Preferred Stock | Disposition | 2015-04-14 | 18,140 | $0.00 | 18,140 | $0.00 |
Common Stock | Convertible Promissory Note | Disposition | 2015-04-14 | 387,960 | $0.00 | 387,960 | $0.00 |
Common Stock | Convertible Promissory Note | Disposition | 2015-04-14 | 2,842 | $0.00 | 2,842 | $0.00 |
Common Stock | Convertible Promissory Note | Disposition | 2015-04-14 | 304,438 | $0.00 | 304,438 | $0.00 |
Common Stock | Convertible Promissory Note | Disposition | 2015-04-14 | 2,230 | $0.00 | 2,230 | $0.00 |
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 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- Upon the closing of the Issuer's initial public offering, each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a one for one basis without payment or furtherconsideration, and has no expiration date.
- The reported shares are held directly by Vivo Ventures Fund VI, L.P. ("VIF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIF. As such, Vivo LLC may be deemed to be thebeneficial owner of the shares held directly by VIF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha maybe deemed to be the beneficial owner of the shares held directly by VIF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIF,except to the extent of such individual's or entity's pecuniary interests in the securities.
- The reported shares are held directly by Vivo Ventures VI Affiliates Fund, L.P. ("VIAF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIAF. As such, Vivo LLC may be deemed to bethe beneficial owner of the shares held directly by VIAF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and AlbertCha may be deemed to be the beneficial owner of the shares held directly by VIAF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities heldby VIAF, except to the extent of such individual's or entity's pecuniary interests in the securities.
- The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 184 daysof accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of theIssuer's initial public offering, and has no expiration date.
- The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 41 daysof accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of theIssuer's initial public offering, and has no expiration date.
- The number of shares in Column 5 represents the aggregate number of shares directly beneficially owned by both VIF and VIAF. Vivo LLC, the Designated Reporting Person, is thegeneral partner of both VIF and VIAF.