Advent Life Sciences LLP 4

Accession 0000899243-18-028107

CIK 0001603756other

Filed

Nov 1, 8:00 PM ET

Accepted

Nov 2, 7:45 PM ET

Size

22.7 KB

Accession

0000899243-18-028107

Form 4

Period: 2018-11-02

10% Owner

Transactions

Conversion
Common Stock
2018-11-02+43,822→ 43,822 total(indirect: By Advent Life Sciences LLP)
Conversion
Common Stock
2018-11-02+1,231,178→ 1,275,000 total(indirect: By Advent Life Sciences Fund II LP)
Conversion
Common Stock
2018-11-02+14,412→ 1,289,412 total(indirect: By Advent Life Sciences LLP)
Conversion
Common Stock
2018-11-02+404,937→ 1,694,349 total(indirect: By Advent Life Sciences Fund II LP)
Conversion
Series B-2 Preferred Stock
2018-11-02−36,518→ 0 total(indirect: By Advent Life Sciences LLP)
→ Common Stock (43,822 underlying)
Conversion
Series B-2 Preferred Stock
2018-11-02−1,025,981→ 0 total(indirect: By Advent Life Sciences Fund II LP)
→ Common Stock (1,231,178 underlying)
Conversion
Series C Preferred Stock
2018-11-02−337,447→ 0 total(indirect: By Advent Life Sciences Fund II LP)
→ Common Stock (404,937 underlying)
Conversion
Series C Preferred Stock
2018-11-02−12,010→ 0 total(indirect: By Advent Life Sciences LLP)
→ Common Stock (14,412 underlying)

10% Owner

Transactions

Conversion
Series C Preferred Stock
2018-11-02−12,010→ 0 total(indirect: By Advent Life Sciences LLP)
→ Common Stock (14,412 underlying)
Conversion
Common Stock
2018-11-02+43,822→ 43,822 total(indirect: By Advent Life Sciences LLP)
Conversion
Series C Preferred Stock
2018-11-02−337,447→ 0 total(indirect: By Advent Life Sciences Fund II LP)
→ Common Stock (404,937 underlying)
Conversion
Common Stock
2018-11-02+1,231,178→ 1,275,000 total(indirect: By Advent Life Sciences Fund II LP)
Conversion
Common Stock
2018-11-02+14,412→ 1,289,412 total(indirect: By Advent Life Sciences LLP)
Conversion
Series B-2 Preferred Stock
2018-11-02−1,025,981→ 0 total(indirect: By Advent Life Sciences Fund II LP)
→ Common Stock (1,231,178 underlying)
Conversion
Common Stock
2018-11-02+404,937→ 1,694,349 total(indirect: By Advent Life Sciences Fund II LP)
Conversion
Series B-2 Preferred Stock
2018-11-02−36,518→ 0 total(indirect: By Advent Life Sciences LLP)
→ Common Stock (43,822 underlying)

Footnotes (5)

[F1]Reflects a 1.2-for-1 forward stock split of the Issuer's common stock effected on October 18, 2018.
[F2]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 Series B-2 preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The B-2 preferred stock had no expiration date.
[F3]Securities are held by Advent Life Sciences LLP.
[F4]Securities are held by Advent Life Sciences Fund II LP. Advent Life Sciences LLP is the general partner of Advent Life Sciences Fund II LP.
[F5]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 Series C preferred stock automatically converted into 1.2 shares of the Issuer's common stock. The C preferred stock had no expiration date.

Documents

1 file

Axonics Modulation Technologies, Inc.

CIK 0001603756

Entity typeother