Filing Details
- Accession Number:
- 0001181431-11-057264
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-22 13:23:11
- Reporting Period:
- 2011-11-21
- Filing Date:
- 2011-11-22
- Accepted Time:
- 2011-11-22 13:23:11
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1466301 | Clovis Oncology Inc. | CLVS | Pharmaceutical Preparations (2834) | 900475355 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1219871 | M David Mott | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | 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 | 2011-11-21 | 1,726,248 | $0.00 | 1,726,248 | No | 4 | C | Indirect | See Note 2 |
Common Stock | Acquisiton | 2011-11-21 | 377,124 | $0.00 | 2,103,372 | No | 4 | C | Indirect | See Note 2 |
Common Stock | Acquisiton | 2011-11-21 | 1,316,299 | $13.00 | 3,419,671 | No | 4 | P | Indirect | See Note 2 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Note 2 |
No | 4 | C | Indirect | See Note 2 |
No | 4 | P | Indirect | See Note 2 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A-1 Preferred Stock | Disposition | 2011-11-21 | 1,186,897 | $0.00 | 409,274 | $0.00 |
Common Stock | Series A-2 Preferred Stock | Disposition | 2011-11-21 | 1,206,897 | $0.00 | 416,171 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2011-11-21 | 2,612,330 | $0.00 | 900,803 | $0.00 |
Common Stock | 5% Convertible Note due 2012 | Disposition | 2011-11-21 | 377,124 | $0.00 | 377,124 | $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 | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- Each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common Stock, on a 2.9 for 1 basis (inadvertently reported as a 1 for 1 basis on Form 3, filed November 15, 2011), immediately prior to the closing of the Issuer's initial public offering on November 21, 2011 and had no expiration date.
- The Reporting Person is a director of NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13, L.P., ("NEA Partners 13"), the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
- The outstanding principal and accrued and unpaid interest on the Convertible Notes automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering at the Issuer's initial public offering price per share.
- The Reporting Person is a director of NEA 13 LTD, the sole general partner of NEA Partners 13, the sole general partner of NEA 13, which is the holder of the Convertible Notes. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Convertible Notes in which the Reporting Person has no pecuniary interest.