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Filing Details

Accession Number:: 0001209191-20-040794
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-02 20:50:48
Reporting Period:: 2020-06-30

Accepted Time:: 2020-07-02 20:50:48
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1722271	Akouos Inc.	AKUS	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1219014	M Scott Rocklage	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No
1598549	J. Andrew Schwab	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No
1674324	5Am Ventures V, L.p.	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No
1753000	5Am Opportunities I, L.p.	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No
1790778	5Am Opportunities I (Gp), Llc	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No
1791889	5Am Partners V, Llc	501 2Nd Street, Suite 350 San Francisco CA 94107	No	No	Yes	No

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	2020-06-30	513,757	$0.00	513,757	No	4	C	Indirect	footnote
Common Stock	Acquisiton	2020-06-30	1,997,946	$0.00	2,511,703	No	4	C	Indirect	footnote
Common Stock	Acquisiton	2020-06-30	999,980	$0.00	3,511,683	No	4	C	Indirect	footnote
Common Stock	Acquisiton	2020-06-30	799,984	$0.00	799,984	No	4	C	Indirect	footnote
Common Stock	Acquisiton	2020-06-30	294,117	$17.00	1,094,101	No	4	P	Indirect	footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	footnote
No	4	C	Indirect	footnote
No	4	C	Indirect	footnote
No	4	C	Indirect	footnote
No	4	P	Indirect	footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series Seed Preferred Stock	Disposition	2020-06-30	10,826,417	$0.00	513,757	$0.00
Common Stock	Series A Preferred Stock	Disposition	2020-06-30	42,102,730	$0.00	1,997,946	$0.00
Common Stock	Series B Preferred Stock	Disposition	2020-06-30	21,072,595	$0.00	999,980	$0.00
Common Stock	Series B Preferred Stock	Disposition	2020-06-30	16,858,076	$0.00	799,984	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Shares are held directly by 5AM Ventures V, L.P. ("Ventures V").
5AM Partners V, LLC is the general partner of Ventures V and may be deemed to have sole investment and voting power over the shares held by Ventures V. Each of Andrew Schwab, Dr. Kush Parmar and Dr. Scott Rocklage is a Managing Member of 5AM Partners V, LLC, and may be deemed to have shared voting and dispositive power over the shares held by Ventures V. Therefore, each of Andrew Schwab, Dr. Kush Parmar, Dr. Scott Rocklage, and 5AM Partners V, LLC may be deemed to beneficially own the shares held by Ventures V, and each disclaims beneficial ownership over the shares held by Ventures V except to the extent of his or its pecuniary interest therein.
On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
5AM Opportunities I (GP), LLC is the general partner of 5AM Opportunities I, L.P. ("Opportunities I") and may be deemed to have sole investment and voting power over the shares held by Opportunities I. Each of Andrew Schwab and Dr. Kush Parmar is a Managing Member of 5AM Opportunities I (GP), LLC, and may be deemed to have shared voting and dispositive power over the shares held by Opportunities I. Therefore, each of Andrew Schwab, Dr. Kush Parmar and 5AM Opportunities I (GP), LLC may be deemed to beneficially own the shares held by Opportunities I, and each disclaims beneficial ownership over the shares held by Opportunities I except to the extent of his or its pecuniary interest therein.
Shares are held directly by Opportunities I.