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Filing Details

Accession Number:: 0001209191-15-061940
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-07-21 19:06:07
Reporting Period:: 2015-07-21

Filing Date:: 2015-07-21
Accepted Time:: 2015-07-21 19:06:07
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	Director	Officer	Large Shareholder	Other
1509160	Vivo Ventures Fund Vii, L.p.	C/O Vivo Capital 575 High Street, Suite 201 Palo Alto CA 94301	No	No	No	Yes
1538309	Vivo Ventures Vii Affiliates Fund, L.p.	C/O Vivo Capital 575 High Street, Suite 201 Palo Alto CA 94301	No	No	No	Yes
1565020	Vivo Ventures Vii, Llc	C/O Vivo Capital 575 High Street, Suite 201 Palo Alto CA 94301	No	No	No	Yes

Reported Non-Derivative Transactions

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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

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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

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.
Vivo Ventures VII, LLC ("VV LLC") is the general partner of Vivo Ventures Fund VII, L.P. ("VVF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its 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. In addition, each of Albert Cha, a director of the issuer, Frank Kung and Edward Engleman is a managing member of VV LLC and may be deemed to share voting and dispositive power over the securities held by VVF. Each of such individuals 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.
VV LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P. ("VVAF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its 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. In addition, each of Albert Cha, a director of the issuer, Frank Kung and Edward Engleman is a managing member of VV LLC and may be deemed to share voting and dispositive power over the securities held by VVAF. Each of such individuals 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.
Represents shares of Common Stock issued by the issuer in payment of cumulative accrued dividends.