Filing Details
- Accession Number:
- 0001104659-20-114637
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-13 21:57:57
- Reporting Period:
- 2020-10-13
- Accepted Time:
- 2020-10-13 21:57:57
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1708527 | Aziyo Biologics Inc. | AZYO | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1184421 | Kevin Rakin | 452 5Th Avenue, 21St Floor New York NY 10018 | Yes | No | Yes | No | |
1598026 | Highcape Partners Qp, L.p. | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1598046 | Highcape Partners, L.p. | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1790214 | Matt Zuga | 452 5Th Avenue, 21St Floor New York NY 10018 | Yes | No | Yes | No | |
1819932 | Highcape Partners Gp, L.p. | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1819933 | Highcape Partners Gp, Llc | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1819988 | Highcape Co-Investment Vehicle I, Llc | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1820044 | Highcape Co-Investment Vehicle Ii, Llc | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1826279 | Highcape Capital, L.p. | 452 5Th Avenue, 21St Floor New York NY 10018 | No | No | Yes | No | |
1827500 | Highcape Capital, Llc | 452 5Th Avenue, 21St Floor New York NY 10018 | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Acquisiton | 2020-10-13 | 4,062,451 | $0.00 | 4,062,451 | No | 4 | C | Indirect | Footnote |
Class A Common Stock | Acquisiton | 2020-10-13 | 7,655 | $5.44 | 4,070,106 | No | 4 | X | Indirect | Footnote |
Class A Common Stock | Disposition | 2020-10-13 | 2,451 | $5.44 | 4,067,655 | No | 4 | F | Indirect | Footnote |
Class A Common Stock | Acquisiton | 2020-10-13 | 441,176 | $17.00 | 4,508,831 | No | 4 | P | Indirect | Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | Footnote |
No | 4 | X | Indirect | Footnote |
No | 4 | F | Indirect | Footnote |
No | 4 | P | Indirect | Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock | Series A Convertible Preferred Stock | Disposition | 2020-10-13 | 31,133,977 | $0.00 | 4,062,451 | $0.00 |
Class A Common Stock | Warrant | Disposition | 2020-10-13 | 7,655 | $0.00 | 7,655 | $5.44 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | 2017-03-27 | 2027-03-01 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 31,845 | Indirect | Held by the Kevin L. Rakin Irrevocable Trust |
Footnotes
- Consists of (i) 43,255 shares of Class A common stock held by HighCape Partners, L.P.; (ii) 3,211,838 shares of Class A common stock held by HighCape Partners QP, L.P.; (iii) 499,145 shares of Class A common stock held by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Class A common stock held by HighCape Co-Investment Vehicle II, LLC and (v) 48,931 shares of Class A common stock held by HighCape Capital, L.P.
- Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.
- In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.
- HighCape Partners QP, L.P. is the record holder of these securities.
- Consists of (i) 49,118 shares of Class A common stock held by HighCape Partners, L.P.; (ii) 3,652,355 shares of Class A common stock held by HighCape Partners QP, L.P.; (iii) 499,145 shares of Class A common stock held by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Class A common stock held by HighCape Co-Investment Vehicle II, LLC and (v) 48,931 shares of Class A common stock held by HighCape Capital, L.P.
- Each share of Series A preferred stock was automatically converted into 0.071659417 shares of Class A common stock upon the closing of the Issuer's initial public offering. In addition, immediately prior to the consummation of the Issuer's underwritten initial public offering of its Class A common stock, each holder of Series A preferred stockholders received, for each share of Series A preferred stock then held, 0.820876470 shares of Class A common stock (the quotient of $13.9549 divided by $17.00, the price per share of Class A common stock in such offering).