Filing Details

Accession Number:
0001209191-15-061933
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-07-21 18:59:59
Reporting Period:
2015-07-21
Filing Date:
2015-07-21
Accepted Time:
2015-07-21 18:59:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1290149 Pronai Therapeutics Inc DNAI Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1397906 Albert Cha C/O Vivo Capital
575 High Street, Suite 201
Palo Alto CA 94301
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 2015-07-21 2,064,308 $0.00 2,064,308 No 4 C Indirect By Vivo Ventures Fund VII, L.P.
Common Stock Acquisiton 2015-07-21 44,991 $0.00 2,109,299 No 4 C Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Common Stock Acquisiton 2015-07-21 106,647 $5.22 2,215,946 No 4 J Indirect By Vivo Ventures Fund VII, L.P.
Common Stock Acquisiton 2015-07-21 2,324 $5.22 2,218,270 No 4 J Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Common Stock Acquisiton 2015-07-21 215,307 $17.00 2,433,577 No 4 P Indirect By Vivo Ventures Fund VII, L.P.
Common Stock Acquisiton 2015-07-21 4,693 $17.00 2,438,270 No 4 P Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Vivo Ventures Fund VII, L.P.
No 4 C Indirect By Vivo Ventures VII Affiliates Fund, L.P.
No 4 J Indirect By Vivo Ventures Fund VII, L.P.
No 4 J Indirect By Vivo Ventures VII Affiliates Fund, L.P.
No 4 P Indirect By Vivo Ventures Fund VII, L.P.
No 4 P Indirect By Vivo Ventures VII Affiliates Fund, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series D Preferred Stock Disposition 2015-07-21 2,064,308 $0.00 2,064,308 $0.00
Common Stock Series D Preferred Stock Disposition 2015-07-21 44,991 $0.00 44,991 $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
Footnotes
  1. Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 21, 2015 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-204921) under the Securities Act of 1933, as amended, and had no expiration date.
  2. The reporting person is one of the managing members of Vivo Ventures VII, LLC ("VV LLC"), which is the general partner of Vivo Ventures Fund VII, L.P. ("VVF"), the record holder of the securities, and may be deemed to share voting and dispositive power over the securities held by VVF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  3. The reporting person is one of the managing members of VV LLC, which is the general partner of Vivo Ventures VII Affiliates Fund, L.P. ("VVAF"), the record holder of the securities, and may be deemed to share voting and dispositive power over the securities held by VVAF. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  4. Represents shares of Common Stock issued by the issuer in payment of cumulative accrued dividends.