Filing Details
- Accession Number:
- 0001209191-15-055897
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-24 17:09:30
- Reporting Period:
- 2015-06-22
- Filing Date:
- 2015-06-24
- Accepted Time:
- 2015-06-24 16:09:30
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1626199 | Nivalis Therapeutics Inc. | NVLS | Pharmaceutical Preparations (2834) | 208969493 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1595725 | Rock Springs Capital Management Lp | 650 South Exeter Street Baltimore MD 21202 | 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 | 2015-06-22 | 364,358 | $0.00 | 364,358 | No | 4 | C | Indirect | By Rock Springs Capital Master Fund LP |
Common Stock | Acquisiton | 2015-06-22 | 200,000 | $14.00 | 564,358 | No | 4 | P | Indirect | By Rock Springs Capital Master Fund LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Rock Springs Capital Master Fund LP |
No | 4 | P | Indirect | By Rock Springs Capital Master Fund LP |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series 2 Convertible Preferred Stock | Disposition | 2015-06-22 | 364,358 | $0.00 | 364,358 | $2.85 |
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 2 Preferred Stock automatically converted into shares of common stock upon the closing of the initial public offering.
- This report is filed jointly by Rock Springs Capital Master Fund LP (the "Master Fund") and Rock Springs Capital Management LP (the "Management Fund"), both of which share beneficial ownership of more than 10% of the capital stock of the issuer. The Management Fund, as investment adviser to the Master Fund, has the power to vote and dispose of securities held by each of them and may be deemed to have beneficial ownership of the shares owned by the Master Fund. Kris Jenner, Mark Bussard and Graham McPhail are each managing directors of the Management Fund and in their capacity as such, may be deemed to exercise shared voting and investment power over the shares held by the reporting persons. Each of Kris Jenner, Mark Bussard and Graham McPhail disclaims beneficial ownership of the securities of the issuer held by the Master Fund except to the extent of their pecuniary interest therein.