Filing Details
- Accession Number:
- 0001062993-23-012744
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-02 16:11:06
- Reporting Period:
- 2023-05-31
- Accepted Time:
- 2023-06-02 16:11:06
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1327273 | Lyra Therapeutics Inc. | LYRA | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1164426 | Joseph Edelman | 51 Astor Place, 10Th Floor New York NY 10003 | Yes | No | Yes | No | |
1224962 | Perceptive Advisors Llc | 51 Astor Place, 10Th Floor New York NY 10003 | Yes | No | Yes | No | |
1249675 | Ltd Fund Master Sciences Life Perceptive | 51 Astor Place, 10Th Floor New York NY 10003 | No | No | Yes | No | |
1797811 | Perceptive Ls (A), Llc | 51 Astor Place, 10Th Floor New York NY 10003 | 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 | 2023-05-31 | 3,610,832 | $2.49 | 11,469,117 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Purchase Warrant | Acquisiton | 2023-05-31 | 1,805,416 | $0.00 | 1,805,416 | $2.67 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,805,416 | 2023-11-30 | 2028-11-30 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,288,446 | Indirect | See Footnotes |
Footnotes
- The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund").
- The securities reported in this row are held by Perceptive LS (A), LLC ("Perceptive LS").
- Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS. Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
- These securities were acquired in units, with each unit consisting of one share of Common Stock and one Common Stock Purchase Warrant to purchase one share of Common Stock (the "Warrants"), at a combined purchase price of $2.4925 per unit. Each of the Warrants may not be exercised if the Reporting Persons and their affiliates would beneficially own more than 9.9% of the Issuer's outstanding shares of Common Stock following such exercise.