Filing Details
- Accession Number:
- 0001104659-20-080030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-01 21:36:15
- Reporting Period:
- 2020-06-30
- Accepted Time:
- 2020-07-01 21:36:15
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1722271 | Akouos Inc. | AKUS | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1202793 | Michael Powell | 3000 Sand Hill Road, 4-250 Menlo Park CA 94025 | No | No | Yes | No | |
1245624 | James Healy | 3000 Sand Hill Road, 4-250 Menlo Park CA 94025 | No | No | Yes | No | |
1680194 | Sofinnova Management X, L.l.c. | 3000 Sand Hill Road, 4-250 Menlo Park CA 94025 | No | No | Yes | No | |
1680200 | Sofinnova Venture Partners X, L.p. | 3000 Sand Hill Road, 4-250 Menlo Park CA 94025 | No | No | Yes | No | |
1720685 | Maha Katabi | C/O Apellis Pharmaceuticals, Inc. 6400 Westwind Way, Suite A Crestwood MA 40014 | 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 | 2020-06-30 | 856,262 | $0.00 | 856,262 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2020-06-30 | 599,988 | $0.00 | 1,456,250 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2020-06-30 | 58,823 | $17.00 | 1,515,073 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2020-06-30 | 18,044,028 | $0.00 | 856,262 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2020-06-30 | 12,643,557 | $0.00 | 599,988 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date.
- The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein.
- Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date.