3//SEC Filing
Andera Partners 3
Accession 0000899243-18-027747
CIK 0001603756other
Filed
Oct 29, 8:00 PM ET
Accepted
Oct 30, 9:32 PM ET
Size
12.6 KB
Accession
0000899243-18-027747
Insider Transaction Report
Form 3
Andera Partners
10% Owner
Holdings
- (indirect: See footnote)
Series B-1 Preferred Stock
→ Common Stock (806,080 underlying) - (indirect: See footnote)
Series C Preferred Stock
→ Common Stock (654,237 underlying) - (indirect: See footnote)
Series A Preferred Stock
→ Common Stock (799,228 underlying) - (indirect: See footnote)
Series B-2 Preferred Stock
→ Common Stock (431,250 underlying)
BioDiscovery 4 FCPR
10% Owner
Holdings
- (indirect: See footnote)
Series A Preferred Stock
→ Common Stock (799,228 underlying) - (indirect: See footnote)
Series C Preferred Stock
→ Common Stock (654,237 underlying) - (indirect: See footnote)
Series B-1 Preferred Stock
→ Common Stock (806,080 underlying) - (indirect: See footnote)
Series B-2 Preferred Stock
→ Common Stock (431,250 underlying)
Footnotes (6)
- [F1]Each share of Series A preferred stock is convertible, at any time, at the reporting person's election, into shares of the Issuer's common stock at the then-effective conversion rate for no additional consideration in accordance with the Issuer's Fourth Amended and Restated Certificate of Incorporation, as amended to date. In addition, effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of the Series A preferred stock will automatically convert into 2.31660 shares of the Issuer's common stock. The Series A preferred stock has no expiration date.
- [F2]Reflects a 1.2-for-1 forward stock split of the Issuer's common stock effected on October 18, 2018.
- [F3]This report is filed jointly by Andera Partners ("Andera") and BioDiscovery 4 FCPR ("BioDiscovery"). The shares are held of record by BioDiscovery. Andera is the manager of BioDiscovery and may be deemed to have sole voting and dispositive power over the shares held by BioDiscovery.
- [F4]Each share of Series B-1 preferred stock is convertible, at any time, at the reporting person's election, into shares of the Issuer's common stock at the then-effective conversion rate for no additional consideration in accordance with the Issuer's Fourth Amended and Restated Certificate of Incorporation, as amended to date. In addition, effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of the Series B-1 preferred stock will automatically convert into 1.2 shares of the Issuer's common stock. The Series B-1 preferred stock has no expiration date.
- [F5]Each share of Series B-2 preferred stock is convertible, at any time, at the reporting person's election, into shares of the Issuer's common stock at the then-effective conversion rate for no additional consideration in accordance with the Issuer's Fourth Amended and Restated Certificate of Incorporation, as amended to date. In addition, effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of the Series B-2 preferred stock will automatically convert into 1.2 shares of the Issuer's common stock. The Series B-2 preferred stock has no expiration date.
- [F6]Each share of Series C preferred stock is convertible, at any time, at the reporting person's election, into shares of the Issuer's common stock at the then-effective conversion rate for no additional consideration in accordance with the Issuer's Fourth Amended and Restated Certificate of Incorporation, as amended to date. In addition, effective upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of the Series C preferred stock will automatically convert into 1.2 shares of the Issuer's common stock. The Series C preferred stock has no expiration date.
Documents
Issuer
Axonics Modulation Technologies, Inc.
CIK 0001603756
Entity typeother
IncorporatedFrance
Related Parties
1- filerCIK 0001757283
Filing Metadata
- Form type
- 3
- Filed
- Oct 29, 8:00 PM ET
- Accepted
- Oct 30, 9:32 PM ET
- Size
- 12.6 KB