Schedule 13D
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. )*
(Name of Issuer)
(Title of Class of Securities)
(CUSIP Number)
ANSBERT
GADICKE
MPM ASSET MANAGEMENT
THE JOHN HANCOCK TOWER
200
CLARENDON STREET, 54TH FLOOR
BOSTON, MASSACHUSETTS 02116
TELEPHONE: (617) 425-9200
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1 |
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NAMES OF REPORTING PERSONS
MPM BioVentures III-QP, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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3,480,490(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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3,480,490(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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3,480,490(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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21.7%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule is filed by MPM BioVentures III-QP, L.P. (BV III QP),
MPM BioVentures III, L.P. (BV III), MPM BioVentures III Parallel Fund, L.P. (BV III PF),
MPM BioVentures III GmbH & Co. Beteiligungs KG (BV III KG), MPM Asset Management Investors 2003 BVIII LLC (AM LLC),
MPM Bio IV NVS Strategic Fund, L.P. (MPM NVS), MPM BioVentures III GP, L.P. (BV III GP), MPM BioVentures III LLC (BV III LLC),
MPM BioVentures IV GP LLC (BV IV GP) and MPM BioVentures IV LLC (BV IV LLC and collectively with BV III QP, BV III, BV III PF,
BV III KG, AM LLC, MPM NVS, BV III GP, BV III LLC and BV IV GP, the MPM Entities) and Luke Evnin, Ansbert Gadicke, Nicholas Galakatos,
Michael Steinmetz, Kurt Wheeler, Nicholas Simon III, Dennis Henner, Ashley L. Dombkowski, William Greene, Vaughn M. Kailian,
James Paul Scopa, Steven St. Peter and John Vander Vort (collectively, the Listed Persons). BV III GP and BV III LLC are the direct
and indirect general partners of BV III QP, BV III, BV III PF and BV III KG. Luke Evnin, Ansbert Gadicke, Nicholas Galakatos,
Michael Steinmetz, Kurt Wheeler, Nicholas Simon III and Dennis Henner are Series A members of BV III LLC and managers of AM LLC.
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. Luke Evnin, Ansbert Gadicke, Ashley L. Dombkowski,
William Greene, Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander Vort are members of BV IV LLC.
The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2)
Consists of common stock, par value $0.0001 per share (Common
Stock) of Radius Health, Inc. (the Issuer) issuable
upon conversion of 122,290 shares of Series A-1 Convertible Preferred
Stock, 181,364 shares of Series A-2 Convertible Preferred Stock and
44,395 shares of Series A-3 Convertible Preferred Stock (collectively
with the Issuers Series A-4 Convertible Preferred Stock, Series A-5 Convertible Preferred Stock and
Series A-6 Convertible Preferred Stock, the Preferred Stock). The Preferred Stock is convertible
at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers
Current Report on Form 8-K, filed with the Securities and Exchange Commission (the SEC) on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Securities
Exchange Act of 1934,
as amended (the Exchange Act), which requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 3,480,490 shares of Common Stock issuable upon conversion of
the Preferred Stock held by BV III QP), it would result in an applicable percentage of 86.2%.
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1 |
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NAMES OF REPORTING PERSONS
MPM BioVentures III, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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234,010(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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234,010(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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234,010(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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1.5%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 8,222 shares of Series A-1 Convertible Preferred Stock, 12,194 shares of Series A-2 Convertible Preferred Stock and 2,985 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 234,010 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III), it would result in an applicable percentage of 29.6%.
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1 |
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NAMES OF REPORTING PERSONS
MPM Asset Management Investors 2003 BVIII LLC |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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67,380(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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67,380(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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67,380(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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0.4%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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00 |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 2,368 shares of Series A-1 Convertible Preferred Stock, 3,511 shares of Series A-2 Convertible Preferred Stock and 859 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock, and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because
shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting
Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was
calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the
outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held by the
Reporting Person (i.e., 67,380 shares of Common Stock issuable upon conversion of the Preferred Stock held by AM LLC), it would result in an applicable percentage of 10.8%.
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1 |
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NAMES OF REPORTING PERSONS
MPM BioVentures III Parallel Fund, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Delaware
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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105,100(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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105,100(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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105,100(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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0.7%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 3,693 shares of Series A-1 Convertible Preferred Stock, 5,477 shares of Series A-2 Convertible Preferred Stock and 1,340 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate
of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17,
2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted
basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital
stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the
Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of
derivative securities held by the Reporting Person (i.e., 105,100 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III PF), it would result in an applicable percentage of 15.9%.
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1 |
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NAMES OF REPORTING PERSONS
MPM BioVentures III GmbH & Co. Beteiligungs KG |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Germany
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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294,140(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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294,140(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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294,140(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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1.8%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 10,335 shares of Series A-1 Convertible Preferred Stock, 15,327 shares of Series A-2 Convertible Preferred Stock and 3,752 shares of Series A-3 Convertible Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K, filed with the
SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities
held by the Reporting Person (i.e., 294,140 shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III KG), it would result in an applicable percentage of 34.6%.
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1 |
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NAMES OF REPORTING PERSONS
MPM Bio IV NVS Strategic Fund, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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4 |
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SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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WC |
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5 |
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
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|
o |
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6 |
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CITIZENSHIP OR PLACE OF ORGANIZATION |
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Bermuda
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7 |
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SOLE VOTING POWER |
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NUMBER OF |
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2,382,430(2) |
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SHARES |
8 |
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SHARED VOTING POWER |
BENEFICIALLY |
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OWNED BY |
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0 |
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EACH |
9 |
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SOLE DISPOSITIVE POWER |
REPORTING |
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PERSON |
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2,382,430(2) |
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WITH |
10 |
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SHARED DISPOSITIVE POWER |
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0 |
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|
11 |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
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2,382,430(2) |
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12 |
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
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|
o
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13 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
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14.8%(3) |
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14 |
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
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PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K, filed with the
SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative securities held
by the Reporting Person (i.e., 2,382,430 shares of Common Stock issuable
upon conversion of the Preferred Stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
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1 |
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NAMES OF REPORTING PERSONS
MPM BioVentures III GP, L.P. |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) þ(1) |
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3 |
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SEC USE ONLY |
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|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,113,740(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,113,740(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,113,740(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.7%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of 144,540 shares of Series A-1 Convertible Preferred Stock, 214,362 shares of Series A-2 Convertible Preferred Stock and 52,472 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF and BV III KG. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF and
BV III KG. The Preferred Stock
is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of
Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K, filed
with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of derivative
securities held by the Reporting Person (i.e., 4,113,740 shares of Common Stock issuable
upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF and BV III KG), it
would result in an applicable percentage of 88.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
MPM BioVentures III LLC |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,113,740(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,113,740(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,113,740(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
25.7%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
OO |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of an aggregate of 144,540 shares of Series A-1 Convertible Preferred Stock, 214,362 shares of Series A-2 Convertible Preferred Stock and 52,472 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF and BV III KG. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP,
BV III, BV III PF and BV III KG. The Preferred Stock
is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis,, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of
derivative securities held by the Reporting Person (i.e., 4,113,740 shares of Common Stock issuable
upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF and BV III KG), it would result in an applicable percentage of 88.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
MPM BioVentures IV GP, L.P. |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
PN |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS. BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio
of 10 shares of Common Stock for every one
share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon conversion of
derivative securities held by the Reporting Person (i.e., 2,382,430 shares of Common Stock issuable
upon conversion of the Preferred Stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
MPM BioVentures IV LLC |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
WC |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
Delaware
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
OO |
(1) This Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS. BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Preferred Stock is convertible at any time, in whole or in part, at the election of the holder at a conversion ratio of 10
shares of Common Stock for every one
share of Preferred Stock.
(3) This percentage is calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger (as defined below) as disclosed in the Issuers Current Report on
Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable upon
conversion of derivative securities held by the Reporting Person (i.e., 2,382,430 shares of Common Stock issuable
upon conversion of preferred stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Luke Evnin |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
6,563,550(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
6,563,550(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
6,563,550(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
40.9%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by
the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock
of the Issuer issuable upon conversion of an aggregate of 200,909 shares of Series A-1
Convertible Preferred Stock, 402,115 shares of Series A-2 Convertible Preferred Stock and
53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF,
BV III KG, AM LLC and MPM NVS. BV III GP and BV III LLC are the direct and indirect general
partners of BV III QP, BV III, BV III PF and BV III KG. BV IV GP and BV IV
LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a Series
A member of BV III LLC, a manager of AM LLC and a member of BV IV LLC. The Preferred Stock is
convertible at any time, in whole or in part, at the election of the holder at a conversion ratio
of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with
Common Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock. If
the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under
the Exchange Act, which requires that only the outstanding shares of Common Stock and shares
issuable upon conversion of derivative securities held by the Reporting Person (i.e., 6,563,550
shares of Common Stock issuable upon conversion of preferred stock held by the MPM Entities), it would result in an applicable percentage of 92.2%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Ansbert Gadicke |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
6,563,550(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
6,563,550(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
6,563,550(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
40.9%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed
by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of
the Issuer issuable upon conversion of an aggregate of 200,909 shares of Series A-1 Convertible
Preferred Stock, 402,115 shares of Series A-2 Convertible Preferred Stock and 53,331 shares of
Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG, AM LLC
and MPM NVS. BV III GP and BV III LLC are the direct and indirect general partners of BV III QP,
BV III, BV III PF and BV III KG. BV IV GP and BV IV
LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a Series
A member of BV III LLC, a manager of AM LLC and a member of BV IV LLC. The Preferred Stock is
convertible at any time, in whole or in part, at the election of the holder at a conversion ratio
of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of
Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon conversion
of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion of the Merger
(as defined below) as disclosed in the Issuers Current Report on Form 8-K, filed with the
SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the
Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable
upon conversion of derivative securities held by the Reporting Person (i.e, 6,563,550 shares of
Common Stock issuable upon conversion of
preferred stock held by the MPM Entities), it would result in an applicable percentage of 92.2%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Nicholas Galakatos |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,181,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,181,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,181,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
26.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This
Schedule is filed by the MPM Entities and the Listed Persons. The MPM Entities and the
Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common
Stock of the Issuer issuable upon conversion of an aggregate of 146,908 shares of Series
A-1 Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock
and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII
PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect general partners
of BV III QP, BV III, BV III PF and BV III KG. The Reporting Person is a Series A member of BV
III LLC and a manager of AM LLC. The Preferred Stock is convertible at any
time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of
Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the
Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable
upon conversion of derivative securities held by the Reporting Person (i.e., 4,181,120 shares of
Common Stock issuable upon conversion of the Preferred Stock held byBV III QP, BV III, BVIII PF, BV III KG and AM LLC), it would result
in an applicable percentage of 88.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Michael Steinmetz |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,181,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,181,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,181,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
26.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed
by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock
of the Issuer issuable upon conversion of an aggregate of 146,908 shares of Series A-1 Convertible
Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock and 53,331 shares of
Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC.
BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III,
BV III PF and BV III KG. The Reporting Person is a Series A member of BV III LLC and a manager
of AM LLC. The Preferred Stock is convertible at any
time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares of
Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with
Common Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the
Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable
upon conversion of derivative securities held by the Reporting Person (i.e., 4,181,120 shares of
Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF,
BV III KG and AM LLC), it would result
in an applicable percentage of 88.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Kurt Wheeler |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,181,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,181,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,181,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
26.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the
MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons
expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of
the Issuer issuable upon conversion of an aggregate of 146,908 shares of Series A-1
Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock
and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III,
BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect general
partners of BV III QP, BV III, BV III PF and BV III KG. The Reporting Person is a Series
A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible
at any time, in whole or in part, at the election of the holder at a conversion
ratio of 10 shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based
upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594
shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable
upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following
completion of the Merger (as defined below) as disclosed in the Issuers Current Report on
Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock
vote together with Common Stock on an as-converted basis, such percentage reflects
the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under
the Exchange Act, which requires that only the outstanding shares of Common Stock and shares
issuable upon conversion of derivative securities held by the Reporting Person (i.e., 4,181,120
shares of Common Stock issuable upon conversion of the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), it would
result in an applicable percentage of 88.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Nicholas Simon III |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,181,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,181,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,181,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
26.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the
MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the Issuer
issuable upon conversion of an aggregate of 146,908 shares of Series A-1 Convertible
Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred Stock and 53,331 shares
of Series A-3 Convertible Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG
and AM LLC. BV III GP and BV III LLC are the direct and indirect general partners of BV III
QP, BV III, BV III PF and BV III KG. The Reporting Person is a Series A member
of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible at
any time, in whole or in part, at the election of the holder at a conversion ratio of 10
shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based upon
16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of
Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following
completion of the Merger (as defined below) as disclosed in the Issuers Current
Report on Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock
vote together with Common Stock on an as-converted basis, such percentage reflects
the Reporting Persons voting percentage of the Issuers outstanding capital stock.
If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated
under the Exchange Act, which requires that only the outstanding shares of Common Stock and
shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 4,181,120 shares of Common Stock issuable upon conversion of the Preferred
Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), it would
result in an applicable percentage of 88.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Dennis Henner |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
4,181,120(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
4,181,120(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
4,181,120(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
26.0%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the MPM
Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of an aggregate of 146,908 shares of Series A-1
Convertible Preferred Stock, 217,873 shares of Series A-2 Convertible Preferred
Stock and 53,331 shares of Series A-3 Convertible Preferred Stock held by BV III QP, BV III,
BVIII PF, BV III KG and AM LLC. BV III GP and BV III LLC are the direct and indirect
general partners of BV III QP, BV III, BV III PF and BV III KG. The Reporting Person is a
Series A member of BV III LLC and a manager of AM LLC. The Preferred Stock is convertible
at any time, in whole or in part, at the election of the holder at a conversion ratio of 10
shares of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based
upon 16,046,894 shares of outstanding Common Stock, which includes: (i) 555,594 shares of
Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following
completion of the Merger (as defined below) as disclosed in the Issuers Current Report
on Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock
vote together with Common Stock on an as-converted basis, such percentage reflects
the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under
the Exchange Act, which requires that only the outstanding shares of Common Stock and
shares issuable upon conversion of derivative securities held by the Reporting Person
(i.e., 4,181,120 shares of Common Stock issuable upon conversion of
the Preferred Stock held by BV III QP, BV III, BVIII PF, BV III KG and AM LLC), it would
result in an applicable percentage of 88.3%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
Ashley L. Dombkowski |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the MPM
Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred
Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS).
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The
Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any
time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594
shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable
upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following
completion of the Merger (as defined below) as disclosed in the Issuers Current Report
on Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock
vote together with Common Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock.
If the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated
under the Exchange Act, which requires that only the outstanding shares of Common Stock and
shares issuable upon conversion of derivative securities held by the Reporting Person (i.e.,
2,382,430 shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
William Greene |
|
|
|
|
|
|
2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the MPM
Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred Stock
and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS. BV IV
GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting
Person is a member of BV IV LLC. The Preferred Stock is convertible at any time, in
whole or in part, at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based
upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common Stock on an as-converted basis, such percentage reflects
the Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under
the Exchange Act, which requires that only the outstanding shares of Common Stock and shares
issuable upon conversion of derivative securities held by the Reporting Person (i.e., 2,382,430
shares of Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
|
|
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|
|
1 |
|
NAMES OF REPORTING PERSONS
Vaughn Kailian |
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
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(a) o |
|
(b) þ(1) |
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3 |
|
SEC USE ONLY |
|
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|
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4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
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OO |
|
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|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
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|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
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|
United States
|
|
|
|
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|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the
MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred
Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS.
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The
Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any
time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is
calculated based upon
16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares of
Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following
completion of the Merger (as defined below) as disclosed in the Issuers Current Report
on Form 8-K, filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote
together with Common Stock on an as-converted basis, such percentage reflects
the Reporting Persons voting percentage of the Issuers outstanding capital stock. If
the percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated
under the Exchange Act, which requires that only the outstanding shares of Common Stock and
shares issuable upon conversion of derivative securities held by the Reporting Person (i.e.,
2,382,430 shares of Common Stock issuable upon conversion of the Preferred Stock held by
MPM NVS), it would result in an applicable percentage of 81.1%.
|
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|
|
1 |
|
NAMES OF REPORTING PERSONS
James Paul Scopa |
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
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(a) o |
|
(b) þ(1) |
|
|
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3 |
|
SEC USE ONLY |
|
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|
|
|
|
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4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
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|
OO |
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5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
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6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
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|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the MPM
Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly
disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred
Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS.
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. The
Reporting Person is a member of BV IV LLC. The Preferred Stock is convertible at any
time, in whole or in part, at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated based
upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with
Common Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock. If the
percentage calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the
Exchange Act, which requires that only the outstanding shares of Common Stock and shares issuable
upon conversion of derivative securities held by the Reporting Person (i.e., 2,382,430 shares of
Common Stock issuable upon conversion of the Preferred Stock held by MPM NVS), it would result in an applicable percentage of 81.1%.
|
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|
|
1 |
|
NAMES OF REPORTING PERSONS
Steven St. Peter |
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
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(a) o |
|
(b) þ(1) |
|
|
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3 |
|
SEC USE ONLY |
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|
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4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
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5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
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|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is filed by the
MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim
status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock
of the Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred
Stock and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS. BV IV GP
and BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person
is a member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part,
at the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is calculated
based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i) 555,594 shares
of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock issuable upon
conversion of outstanding Preferred Stock, outstanding as of May 17, 2011 following completion
of the Merger (as defined below) as disclosed in the Issuers Current Report on Form 8-K,
filed
with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with Common
Stock on an as-converted basis, such percentage reflects the
Reporting Persons voting percentage of the Issuers outstanding capital stock.
If the percentage
calculation was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act,
which requires that only the outstanding shares of Common Stock and shares issuable upon conversion
of derivative securities held by the Reporting Person (i.e., 2,382,430 shares of Common Stock
issuable upon conversion of the Preferred Stock held by MPM NVS), it would result in an
applicable percentage of 81.1%.
|
|
|
|
|
|
1 |
|
NAMES OF REPORTING PERSONS
John Vander Vort |
|
|
|
|
|
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2 |
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
|
|
(a) o |
|
(b) þ(1) |
|
|
|
3 |
|
SEC USE ONLY |
|
|
|
|
|
|
|
4 |
|
SOURCE OF FUNDS (SEE INSTRUCTIONS) |
|
|
|
OO |
|
|
|
5 |
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) |
|
|
|
o |
|
|
|
6 |
|
CITIZENSHIP OR PLACE OF ORGANIZATION |
|
|
|
United States
|
|
|
|
|
|
7 |
|
SOLE VOTING POWER |
|
|
|
NUMBER OF |
|
0 |
|
|
|
|
SHARES |
8 |
|
SHARED VOTING POWER |
BENEFICIALLY |
|
|
OWNED BY |
|
2,382,430(2) |
|
|
|
|
EACH |
9 |
|
SOLE DISPOSITIVE POWER |
REPORTING |
|
|
PERSON |
|
0 |
|
|
|
|
WITH |
10 |
|
SHARED DISPOSITIVE POWER |
|
|
|
|
|
2,382,430(2) |
|
|
|
11 |
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
|
|
|
2,382,430(2) |
|
|
|
12 |
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
|
|
|
o
|
|
|
|
13 |
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) |
|
|
|
14.8%(3) |
|
|
|
14 |
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) |
|
|
|
IN |
(1) This Schedule is
filed by the MPM Entities and the Listed Persons. The MPM Entities and the Listed Persons expressly disclaim status as a group for purposes of this Schedule 13D.
(2) Consists of Common Stock of the
Issuer issuable upon conversion of 54,001 shares of Series A-1 Convertible Preferred Stock
and 184,242 shares of Series A-2 Convertible Preferred Stock held by MPM NVS. BV IV GP and
BV IV LLC are the direct and indirect general partners of MPM NVS. The Reporting Person is a
member of BV IV LLC. The Preferred Stock is convertible at any time, in whole or in part, at
the election of the holder at a conversion ratio of 10 shares
of Common Stock for every one share of Preferred Stock.
(3) This percentage is
calculated based upon 16,046,894 shares of outstanding Common Stock, which consists of: (i)
555,594 shares of Common Stock and (ii) an aggregate of 15,491,300 shares of Common Stock
issuable upon conversion of outstanding Preferred Stock, outstanding as of May 17, 2011
following completion of the Merger (as defined below) as disclosed in the Issuers
Current Report on Form 8-K,
filed with the SEC on May 23, 2011. Because shares of Preferred Stock vote together with
Common Stock on an as-converted basis, such percentage reflects the Reporting Persons
voting percentage of the Issuers outstanding capital stock. If the percentage calculation
was calculated in accordance with Rule 13d-3(d)(1) promulgated under the Exchange Act, which
requires that only the outstanding shares of Common Stock and shares issuable upon conversion
of derivative securities held by the Reporting Person
(i.e., 2,382,430 shares of Common Stock issuable upon conversion of the Preferred Stock held by
MPM NVS), it would result in an applicable percentage of 81.1%.
Explanatory Note:
The following constitutes the Schedule 13D filed by the MPM Entities and the Listed Persons,
each as defined below, and is being filed to report the acquisition of shares of Preferred Stock
(as defined below), of the Issuer (as defined below) on May 17, 2011 as described in Item 3 below,
pursuant to the Agreement and Plan of Merger (the Merger Agreement) by and among Radius Health,
Inc. (Old Radius), MPM Acquisition Corp., a Delaware corporation (MPMAC), and RHI Merger Corp.,
a Delaware corporation and wholly-owned subsidiary of MPMAC (Merger Sub), dated as of April 25,
2011. Pursuant to the Merger Agreement, on May 17, 2011, Merger Sub merged with and into Old Radius
and Old Radius became a wholly-owned subsidiary of MPMAC (the Merger). In the Merger, each share
of Old Radius capital stock was converted into the right to receive shares of capital stock of
MPMAC. Following the completion of the Merger, Merger Sub merged with and into MPMAC and MPMAC
changed its name to Radius Health, Inc. In connection with the Merger, the shares of MPMAC
previously owned by MPM Asset Management LLC, were redeemed at the effective time of the Merger.
This Schedule 13D also amends the Schedule 13D filed by Ansbert Gadicke on June 16, 2008 and the
Schedule 13D filed by Luke Evnin on June 16, 2008.
Item 1. Security and Issuer
(a) This Schedule 13D relates to the common stock, par value $0.0001 per share (the Common
Stock) of Radius Health, Inc., a Delaware corporation (the Issuer).
(b) The principal executive office of the Issuer is located at 201 Broadway, 6th Floor,
Cambridge, Massachusetts 02139.
Item 2. Identity and Background
(a) The persons and entities filing this Schedule 13D are MPM BioVentures III-QP, L.P. (BV III
QP), MPM BioVentures III, L.P. (BV III), MPM BioVentures III Parallel Fund, L.P. (BV III PF),
MPM BioVentures III GmbH & Co. Beteiligungs KG (BV III KG), MPM Asset Management Investors 2003
BVIII LLC (AM LLC), MPM Bio IV NVS Strategic Fund, L.P. (MPM NVS), MPM BioVentures III GP, L.P.
(BV III GP), MPM BioVentures III LLC (BV III LLC), MPM BioVentures IV GP LLC (MPM IV GP) and
MPM BioVentures IV LLC (MPM IV LLC and, collectively with BV III QP, BV III, BV III PF, BV III
KG, AM LLC, MPM NVS, BV III GP and MPM IV GP, the MPM Entities) and Luke Evnin, Ansbert Gadicke,
Nicholas Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III, Dennis Henner, Ashley L.
Dombkowski, William Greene, Vaughn M. Kailian, James Paul Scopa, Steven St. Peter and John Vander
Vort (collectively, the Listed Persons and together with the MPM Entities, the Filing Persons).
(b) The address of the principal place of business for each of the MPM Entities and Ansbert
Gadicke, Luke Evnin, Nicholas Galakatos, Michael Steinmetz, Kurt Wheeler, Nicholas Simon III,
Dennis Henner, Steven St. Peter, Vaughn Kailian and John Vander Vort is The John Hancock Tower, 200
Clarendon Street, 54th Floor, Boston, MA 02116 and the address of the principal place of
business for William Greene, James Paul Scopa and Ashley Dombkowski is 601 Gateway Blvd., Suite
350, S. San Francisco, CA 94080.
(c) The principal business of each of the MPM Entities is the venture capital investment business.
Each of the Listed Persons is a general partner of various venture capital investment funds.
(d) During the last five years, none of the Filing Persons, to the knowledge of the MPM Entities,
has been convicted in any criminal proceeding (excluding traffic violations or similar
misdemeanors).
(e) During the last five years, none of the Filing Persons, to the knowledge of the MPM Entities,
has been a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities subject to, federal or
state securities laws or finding any violation with respect to such laws.
(f) Each of the Listed Persons is a United States citizen and each of the MPM Entities is a
Delaware limited partnership or limited liability company, except BV III KG, which was organized in
Germany and MPM NVS, which was organized in Bermuda.
In accordance with the provisions of General Instruction C to Schedule 13D, information concerning
the managers and each other person controlling the general partners of the MPM Entities required by
Item 2 of Schedule 13D is listed on Schedule 1 hereto and is incorporated by reference herein.
Item 3. Source and Amount of Funds or Other Consideration
The MPM Entities previously purchased an aggregate of 200,909 shares of Old Radius Series A-1
Convertible Preferred Stock, 402,115 shares of Old Radius Series A-2 Convertible Preferred Stock
and 53,331 shares of Old Radius Series A-3 Convertible Preferred Stock for an aggregate purchase
price of $48,202,626 from Old Radius at various times prior to the effectiveness of the Merger (the
Previously Purchased Securities). The source of the funds for the Previously Purchased Securities
was capital contributions from the MPM Entities respective investors.
Pursuant to the Merger Agreement, on May 17, 2011, Merger Sub merged with and into Radius with the
surviving corporation becoming a wholly-owned subsidiary of MPMAC. Subsequently, the surviving
corporation merged with and into MPMAC and MPMAC changed its name to Radius Health, Inc. All
shares of capital stock of Old Radius which were issued and outstanding immediately prior to the
effective time of the Merger were automatically converted into an aggregate of (i) 555,594
shares of Common Stock, (ii) 413,254 shares of the Issuers Series A-1 Convertible Preferred Stock
(the Series A-1), (iii) 983,208 shares of the Issuers Series A-2 Convertible Preferred Stock
(the Series A-2), (iv) 142,227 shares of the Issuers Series A-3 Convertible Preferred Stock (the
Series A-3), (v) 3,998 shares of the Issuers Series A-4 Convertible Preferred Stock (the Series
A-4), and (vi) 6,443 shares of the Issuers Series A-5 Convertible Preferred Stock (the Series
A-5). The Series A-1, the Series A-2, the Series A-3, the Series A-4, the Series A-5 and the
Issuers Series A-6 Convertible Preferred Stock are collectively referred to herein as the
Preferred Stock).
The MPM Entities received the following shares of Preferred Stock upon the closing of the
Merger:
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|
|
Series A-1 |
|
|
Series A-2 |
|
|
Series A-3 |
|
MPM BioVentures III, L.P. |
|
|
8,222 |
|
|
|
12,194 |
|
|
|
2,985 |
|
MPM BioVentures III-QP, L.P. |
|
|
122,290 |
|
|
|
181,364 |
|
|
|
44,395 |
|
MPM BioVentures III GmbH & Co.
Beteiligungs KG |
|
|
10,335 |
|
|
|
15,327 |
|
|
|
3,752 |
|
MPM BioVentures III Parallel Fund, L.P. |
|
|
3,693 |
|
|
|
5,477 |
|
|
|
1,340 |
|
MPM Asset Management Investors 2003
BVIII LLC |
|
|
2,368 |
|
|
|
3,511 |
|
|
|
859 |
|
MPM Bio IV NVS Strategic Fund, L.P. |
|
|
54,001 |
|
|
|
184,242 |
|
|
|
|
|
Item 4. Purpose of Transaction
The Merger Agreement provided for the acquisition by MPMAC of all of the outstanding capital stock
of Old Radius through a merger of Merger Sub with and into Old Radius, as a result of which the
surviving corporation became a wholly-owned subsidiary of MPMAC. The surviving corporation was
subsequently merged with and into MPMAC and changed its name to Radius Health, Inc. The shares of
the Issuers capital stock acquired by the MPM Entities in the Merger were acquired solely for
investment purposes.
Pursuant to the Series A-1 Convertible Preferred Stock Purchase Agreement by and among Old Radius
and certain investors listed on Schedule I thereto, including BV III QP, BV III, BVIII PF, BV
III KG, AM LLC and MPM NVS, dated as of April 25, 2011, and as amended on May 11, 2011(the
Purchase Agreement), the MPM Entities committed to purchasing an aggregate of an additional
183,352 shares of Series A-1 from the Issuer in a series of private placements at a purchase price
per share of $81.42 upon notice from the Issuer (the Future Funding Obligations). In the event
that an investor does not timely and completely fulfill its Future Funding Obligation, all shares
of Preferred Stock held by the investor will be automatically converted to Common Stock at the rate
of one share of Common Stock for every ten shares of Preferred Stock and the Common Stock resulting
from such conversion would then be subject to a repurchase right at par value in favor of the
Issuer.
Subject to the foregoing, none of the Filing Persons have a present plan or proposal that relates
to or would result in any of the
actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. However, each of the Filing
Persons reserves the right to
propose or participate in future transactions which may result in one or more of such actions,
including but not limited to, an
extraordinary corporate transaction, such as a merger, reorganization or liquidation, sale of a
material amount of assets of the Issuer or
its subsidiaries, or other transactions which might have the effect of causing Common Stock to
become eligible for termination of
registration under Section 12(g) of the Act. The Filing Persons also retain the right to change
their investment intent at any time, to
acquire additional shares of Common Stock or other securities of the Issuer from time to time, or
to sell or otherwise dispose of all or
part of the Common Stock beneficially owned by them (or any shares of common stock into which such
securities are converted) in
any manner permitted by law. The Filing Persons may engage from time to time in ordinary course
transactions with financial
institutions with respect to the securities described herein.
The description contained in this Item 4 of the transactions contemplated by the Merger Agreement
and the Purchase Agreement are qualified in its entirety by reference to the full text of the
Merger Agreement and the Purchase Agreement, which are filed as exhibits to this Schedule 13D and
incorporated herein by reference.
Item 5. Interest in Securities of the Issuer
The following information with respect to the beneficial ownership of the Common Stock by the
persons filing this Schedule 13D is provided as of the date of this filing:
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Shares of |
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Common Stock |
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on an As- |
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|
|
Sole |
|
|
Shared |
|
|
|
|
|
|
|
|
|
Converted Basis |
|
|
Sole Voting |
|
|
Shared Voting |
|
|
Dispositive |
|
|
Dispositive |
|
|
Beneficial |
|
|
Percentage of |
|
Filing Person |
|
(1) |
|
|
Power (1) |
|
|
Power (1) |
|
|
Power (1) |
|
|
Power (1) |
|
|
Ownership |
|
|
Class (2) |
|
BV III QP(3) |
|
|
3,480,490 |
|
|
|
3,480,490 |
|
|
|
0 |
|
|
|
3,480,490 |
|
|
|
0 |
|
|
|
3,480,490 |
|
|
|
21.7 |
% |
BV III(4) |
|
|
234,010 |
|
|
|
234,010 |
|
|
|
0 |
|
|
|
234,010 |
|
|
|
0 |
|
|
|
234,010 |
|
|
|
1.5 |
% |
BV III PF(5) |
|
|
105,100 |
|
|
|
105,100 |
|
|
|
0 |
|
|
|
105,100 |
|
|
|
0 |
|
|
|
105,100 |
|
|
|
0.7 |
% |
BV III KG(6) |
|
|
294,140 |
|
|
|
294,140 |
|
|
|
0 |
|
|
|
294,140 |
|
|
|
0 |
|
|
|
294,140 |
|
|
|
1.8 |
% |
AM LLC(7) |
|
|
67,380 |
|
|
|
67,380 |
|
|
|
0 |
|
|
|
67,380 |
|
|
|
0 |
|
|
|
67,380 |
|
|
|
0.4 |
% |
MPM NVS(8) |
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
BV III GP(9) |
|
|
4,113,740 |
|
|
|
0 |
|
|
|
4,113,740 |
|
|
|
0 |
|
|
|
4,113,740 |
|
|
|
4,113,740 |
|
|
|
25.6 |
% |
BV III LLC(9) |
|
|
4,113,740 |
|
|
|
0 |
|
|
|
4,113,740 |
|
|
|
0 |
|
|
|
4,113,740 |
|
|
|
4,113,740 |
|
|
|
25.6 |
% |
BV IV GP(10) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
BV IV LLC(10) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
Luke Evnin(11)(12) |
|
|
6,563,550 |
|
|
|
0 |
|
|
|
6,563,550 |
|
|
|
0 |
|
|
|
6,563,550 |
|
|
|
6,563,550 |
|
|
|
40.9 |
% |
Ansbert
Gadicke(11)(12) |
|
|
6,563,550 |
|
|
|
0 |
|
|
|
6,563,550 |
|
|
|
0 |
|
|
|
6,563,550 |
|
|
|
6,563,550 |
|
|
|
40.9 |
% |
Nicholas
Galakatos(11) |
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
4,181,120 |
|
|
|
26.0 |
% |
Michael
Steinmetz(11) |
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
4,181,120 |
|
|
|
26.0 |
% |
Kurt Wheeler(11) |
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
4,181,120 |
|
|
|
26.0 |
% |
Nicholas Simon
III(11) |
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
4,181,120 |
|
|
|
26.0 |
% |
Dennis Henner(11) |
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
0 |
|
|
|
4,181,120 |
|
|
|
4,181,120 |
|
|
|
26.0 |
% |
Ashley L.
Dombkowski(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
William Greene(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
Vaughn Kailian(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
James Paul Scopa(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
Steven St. Peter(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
John Vander Vort(12) |
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
0 |
|
|
|
2,382,430 |
|
|
|
2,382,430 |
|
|
|
14.8 |
% |
|
|
|
(1) |
|
Consists of shares of Common Stock underlying Series A-1, Series A-2 and Series A-3
which are convertible at any time, in whole or in part, at the election of the holder at a
conversion ratio of 10 shares of Common Stock for every one share of Preferred Stock. |
|
(2) |
|
These percentages were calculated based upon 16,046,894 shares of outstanding Common
Stock, which consists of: (i) 555,594 shares of Common Stock and (ii) an aggregate of
15,491,300 shares of Common Stock issuable upon conversion of outstanding Preferred Stock,
outstanding as of May 17, 2011 following completion of the Merger as disclosed in the
Issuers Current Report on Form 8-K, filed with the Securities and Exchange Commission
(the SEC) on May 23, 2011. See footnote (3) on each of the Reporting Persons
respective cover pages for additional information regarding the calculation of
percentages. |
|
(3) |
|
Consists of shares of Common Stock issuable upon conversion of 122,290 shares of Series
A-1, 181,364 shares of Series A-2 and 44,395 shares of Series A-3. |
|
(4) |
|
Consists of shares of Common Stock issuable upon conversion of 8,222 shares of Series
A-1, 12,194 shares of Series A-2 and 2,985 shares of Series A-3. |
|
(5) |
|
Consists of shares of Common Stock issuable upon conversion of 3,693 shares of Series
A-1, 5,477 shares of Series A-2 and 1,340 shares of Series A-3. |
|
|
|
(6) |
|
Consists of shares of Common Stock issuable upon conversion of 10,335 shares of Series
A-1, 15,327 shares of Series A-2 and 3,752 shares of Series A-3. |
|
(7) |
|
Consists of shares of Common Stock issuable upon conversion of 2,368 shares of Series
A-1, 3,511 shares of Series A-2 and 859 shares of Series A-3. |
|
(8) |
|
Consists of shares of Common Stock issuable upon conversion of 54,001 shares of Series
A-1 and 184,242 shares of Series A-2. |
|
(9) |
|
BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV
III, BV III PF and BV III KG. See footnotes (3) through (6) for the securities with
respect to which these Filing Persons share voting and dispositive power. |
|
(10) |
|
BV IV GP and BV IV LLC are the direct and indirect general partners of MPM NVS. See
footnote (8) for the securities with respect to which these Filing Persons share voting
and dispositive power. |
|
(11) |
|
These Filing Persons are Series A Members of BV III LLC and managers of AM LLC. See
footnotes (3) through (7) for the securities with respect to which these Filing Persons
share voting and dispositive power. |
|
(12) |
|
These Filing Persons are members of BV IV LLC. See footnote (8) for the securities with
respect to which these Filing Persons share voting and dispositive power. |
As a condition to the closing of the Merger, and pursuant to a Redemption Agreement dated April 25,
2011, on May 17, 2011, the Issuer redeemed, effective concurrently with the effective time of the
Merger, all of the 5,000,000 shares of issued and outstanding Common Stock of the Issuer, which was
held by MPM Asset Management LLC, a Delaware limited liability company (MPM Asset Management),
for $0.01 per share. As of the date hereof, MPM Capital LLC (MPM Capital) owns and manages MPM
Asset Management. MPM Capitals general partner is Medical Portfolio Management, LLC (MPM LLC).
MPM LLC is controlled by Luke Evnin and Ansbert Gadicke, two of the Listed Persons. Messrs. Evnin
and Gadicke shared voting and investment control of the securities previously owned by MPM LLC and,
therefore, may have been deemed to be beneficial owners thereof.
The description contained in this Item 5 of the terms of the Redemption Agreement is qualified in
its entirety by reference to the full text of the Redemption Agreement, which is filed as an
exhibit to this Schedule 13D and incorporated herein by reference.
The information provided and incorporated by reference in Item 3 and Item 6 is hereby
incorporated by reference in this Item 5.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the
Issuer
Stockholders Agreement
Board of Directors
Pursuant to the Amended and Restated Stockholders Agreement (the Stockholders Agreement), dated
as of May 17, 2011, by and among the Issuer and those holders of the Issuers capital stock listed
on Schedule I thereto, (i) for so long as any Series A-1 is outstanding, the holders of a majority
of the shares of Series A-1 outstanding, voting as a separate class, shall have the right to elect
two (2) members of the Board of Directors of the Issuer (the Board) and (ii) MPM Capital, voting
as a separate class, shall have the right to elect one (1) member of the Board by majority vote of
the shares of Series A-1 held by MPM Capital; provided that such member of the Board of Directors
shall be an individual with particular expertise in the development of pharmaceutical products;
and, provided, further, that in order to be eligible to vote or consent with respect to the
election of such member of the Board, MPM Capital together with members of the MPM Group (as
defined in the Stockholders Agreement) must hold greater than twenty percent (20%) of the shares
of Series A-1 purchased under the Purchase Agreement by MPM Capital and the members of the MPM
Group. As part of the Stockholders Agreement, certain of the stockholders, including the MPM
entities, agreed to vote in favor of all nominations pursuant to the foregoing.
Ansbert Gadicke, one of the Listed Persons, was elected to the Board by the majority of the shares
of Series A-1 outstanding and Elizabeth Stoner, a managing director of one of the MPM Entities
affiliates, was elected to the Board by the majority of the shares of Series A-1 outstanding that
are held by MPM Capital, each effective as of May 17, 2011. Also in connection with the Merger,
the Issuer entered into an Indemnification Agreement with each member of its board of directors,
including Ansbert Gadicke and Elizabeth Stoner.
Registration Rights
Pursuant to the terms of the Stockholders Agreement, on or before the 60th calendar day
following the closing of the Merger, the Issuer shall file a resale shelf registration statement
(the Registration Statement) pursuant to Rule 415 of the Securities Act of 1933, as amended (the
Securities Act), covering the offering and resale of all of the Registrable Shares (meaning all
of the Common Stock issued or issuable upon the conversion or exchange of the Preferred Stock).
The Issuer shall use its reasonable best efforts to have the Registration Statement declared
effective by the 90th calendar day following the closing of the Merger unless the Issuer
receives
comments on the Registration Statement from the SEC, in which case the Issuer shall use
its reasonable best efforts to have the Registration Statement declared effective by the
180th calendar day following the closing of the Merger. In the event that the Issuer is
notified by the SEC that the Registration Statement will not be reviewed or is no longer subject to
further review and comments, the
Issuer shall use its reasonable best efforts to have the Registration Statement declared effective
by the 5th trading day following such notification. The Issuer shall use its reasonable
best efforts to keep the Registration Statement continuously effective until all Registrable Shares
have been sold or may be sold without volume limitations under Rule 144 promulgated under the
Securities Act. In the event that any of these provisions are not complied with, as described in
greater detail in the Stockholders Agreement, on each such Event Date (as defined in the
Stockholders Agreement) and on each monthly anniversary of each such Event Date until such event
is cured, the Issuer shall pay to each holder an amount in cash equal to 1% of the aggregate
purchase price paid by such holder pursuant to the Purchase Agreement for any Registrable
Securities (meaning the Preferred Stock) then held by such holder. The maximum aggregate
liquidated damages payable to a holder under the Stockholders Agreement is 16% of the aggregate
purchase price paid by such holder pursuant to the Purchase Agreement. Interest accrues at the
rate of 10% per annum on any unpaid liquidated damages.
Demand Registration Rights
At such time as the Registration Statement is no longer effective, subject to specified exceptions,
any party to the Stockholders Agreement has the right to demand that the Issuer file an unlimited
number of registration statements on Form S-3 covering the offering and sale of all or at least
$1,000,000 worth of its Registrable Securities.
Piggyback Registration Rights
All parties to the Stockholders Agreement have piggyback registration rights. Under these
provisions, if the Issuer registers any
securities for public sale, other than pursuant to a registration statement on Form S-4, Form S-8
or Form S-1 (only in connection with an initial public offering), these stockholders will have the
right to include their shares in the registration statement, subject to customary exceptions. The
underwriters of any underwritten offering will have the right to limit the number of shares having
registration rights to be included in the registration statement.
Expenses of Registration
The Issuer will pay all registration expenses, other than underwriting discounts and commissions,
related to any demand or piggyback
registration.
Indemnification
The Stockholders Agreement contains customary cross-indemnification provisions, pursuant to which
the Issuer is obligated to indemnify the selling stockholders in the event of material
misstatements or omissions in the registration statement attributable to the
Issuer, and the selling stockholders are obligated to indemnify the Issuer for material
misstatements or omissions attributable to them.
Lock-up Arrangements
Pursuant to the Stockholders Agreement, for a period of 180 days from May 17, 2011, the MPM
Entities and all other parties subject to the Stockholders Agreement have agreed, subject to
certain exceptions, not to sell, assign, transfer, make a short sale of, loan, grant any option for
the purchase of, or exercise registration rights with respect to any shares of Common Stock or
other securities convertible into or exercisable for Common Stock, other than to a member of such
Stockholders Group (as defined in the Stockholders Agreement). Notwithstanding the foregoing, on
the 30th, 60th, 90th and 180th day after May 17, 2011,
these restrictions shall cease to apply to 5%, 15%, 30% and 50%, respectively, of shares of Common
Stock issued or issuable upon conversion of the Series A-1 held or issuable to such stockholder at
such time.
Right of First Refusal
Under the terms of the Stockholders Agreement, the Issuer is obligated to offer the holders of the
Series A-1, the Series A-2 and the Series A-3 a right of first refusal with respect future equity
issuances, subject to customary exceptions.
Certificate of Designations of the Series A-1 Convertible Preferred Stock, the Series A-2
Convertible Preferred Stock, the Series A-3 Convertible Preferred Stock, the Series A-4 Convertible
Preferred Stock, the Series A-5 Convertible Preferred Stock and the Series A-6 Convertible
Preferred Stock (the Certificate of Designations)
Voting and Dividends
The Preferred Stock entitles each holder thereof to one vote for each share of Common Stock into
which such share of Preferred Stock is convertible, voting together with the Common Stock as a
single class except with respect to certain amendments to the Certificate of Designations,
authorization or issuance of any new class or series of senior or parity capital stock (subject to
certain exceptions), any liquidation, dissolution or winding up of the Issuer and as outlined
above under Board of Directors. Dividends accrue on the Series A-1, Series A-2 and Series A-3 at
the rate of 8% per annum, compounding annually and payable only when, as and if declared by the
Board, in cash or additional shares of Common Stock, at the Issuers option, or upon liquidation,
dissolution or winding up of the Issuer or an Event of Sale (as defined in the Certificate of
Designations). Upon conversion of any of the A-1 Preferred, A-2 Preferred and A-3 Preferred into
Common Stock additional shares of Common Stock will be issued in respect of the accrued dividends
on such shares.
Ranking
Series A-1. With respect to dividend rights (other than with respect to the quarterly payment
of accruing dividends on the Series A-5) and rights in the event of the liquidation, dissolution or
winding up of the Issuer or an Event of Sale. The Series A-1 ranks senior to the Series A-2,
Series A-3, Series A-4, Series A-5 and Series A-6 and the Common Stock. In the event of the
liquidation, dissolution or winding up of the Issuer, the Series A-1 holders shall be entitled to
receive an amount per share equal to $81.42, plus any accrued and unpaid dividends on such shares
of Series A-1.
Series A-2. With respect to dividend rights (other than with respect to the quarterly payment
of accruing dividends on the Series A-5) and rights in the event of the liquidation, dissolution or
winding up of the Issuer or an Event of Sale. The Series A-2 ranks senior to the Series A-3,
Series A-4, Series A-5 and Series A-6 and the Common Stock. In the event of the liquidation,
dissolution or winding up of the Issuer, the Series A-2 holders shall be entitled to receive an
amount per share equal to $81.42, plus any accrued and unpaid dividends on such shares of Series
A-2.
Series A-3. With respect to dividend rights (other than with respect to the quarterly payment
of accruing dividends on the Series A-5) and rights in the event of the liquidation, dissolution or
winding up of the Issuer or an Event of Sale. The Series A-3 ranks senior to the Series A-4,
Series A-5 and Series A-6 and the Common Stock. In the event of the liquidation, dissolution or
winding up of the Issuer, the Series A-3 holders shall be entitled to receive an amount per share
equal to $81.42, plus any accrued and unpaid dividends on such shares of Series A-3.
Conversion
The Preferred Stock is subject to automatic conversion, at the then applicable conversion ratio,
into Common Stock upon (i) an election to convert made by holders of at least 70% of the
outstanding shares of Series A-1, Series A-2 and Series A-3, voting together as a single class or
(ii) the listing of the Common Stock on a national securities exchange.
The Preferred Stock may also be voluntarily converted at any time, at the option of the holder, at
the then applicable conversion ratio, into Common Stock.
Anti-dilution Protection
All shares of Series A-1, Series A-2 and Series A-3 shall have weighted-average anti-dilution
protection (based on the initial conversion purchase price of $8.142 per share) and anti-dilution
protection upon the occurrence of any subdivision or combination of the Common Stock, stock
dividend and other distribution, reorganization, reclassification or similar event affecting the
Common Stock, subject to certain exceptions.
The foregoing description contained in this Item 6 of the terms of the Stockholders Agreement and
the Certificate of Designations are intended as a summary only and are qualified in their entirety
by reference to the full text of the Stockholders Agreement and the Certificate of Designations,
which are filed as exhibits to this Schedule 13D and incorporated herein by reference.
The information provided and incorporated by reference in Items 3, 4 and 5 is hereby incorporated
by reference herein. Other than as described in this Schedule 13D, to the best of the MPM
Entities and Listed Persons knowledge, there are no other contracts, arrangements, understandings
or relationships (legal or otherwise) among the persons named in Item 2 and between such persons
and any person with respect to any securities of the Issuer.
Item 7. Material to Be Filed as Exhibits
A. |
|
Agreement and Plan of Merger by and among the Issuer, Radius Health, Inc. and RHI Merger Corp,
dated as of April 25, 2011 (incorporated by reference to Exhibit 10.1 of the Issuers Current
Report on Form 8-K (SEC File No. 000-53173), filed with the SEC on April 29, 2011). |
|
B. |
|
Series A-1 Convertible Preferred Stock Purchase Agreement by and among Radius Health, Inc. and
certain investors listed on Schedule I thereto, dated as of April 25, 2011 (incorporated by
reference to Exhibit 10.26 of the Issuers Current Report on Form 8-K (SEC File No. 000-53173),
filed with the SEC on May 23, 2011). |
C. |
|
Amendment No. 1 to Series A-1 Convertible Preferred Stock Purchase Agreement by and among Radius
Health, Inc. and certain investors listed on Schedule I thereto, dated as of M ay 11, 2011. |
|
D. |
|
Redemption Agreement by and between the Issuer and MPM Asset Management LLC, dated April 25,
2011 (incorporated by reference to Exhibit 10.2 of the Issuers Current Report on Form 8-K (SEC
File No. 000-53173, filed with the SEC on April 29, 2011). |
|
E. |
|
Amended and Restated Stockholders Agreement, dated as of May 17, 2011 by and among the Issuer
and those holders of the Issuers capital stock listed on Schedule I thereto (incorporated by
reference to Exhibit 4.1 of the Issuers Current Report on Form 8-K (SEC File No. 000-53173), filed
with the SEC on May 23, 2011). |
|
F. |
|
Indemnification Agreement by and between the Issuer and Ansbert Gadicke, dated May 17, 2011
(incorporated by reference to Exhibit 10.52 of the Issuers Current Report on Form 8-K (SEC File
No. 000-53173), filed with the SEC on May 23, 2011). |
|
G. |
|
Certificate of Designations of the Series A-1 Convertible Preferred Stock, the Series A-2
Convertible Preferred Stock, the Series A-3 Convertible Preferred Stock, the Series A-4 Convertible
Preferred Stock, the Series A-5 Convertible Preferred Stock and the Series A-6 Convertible
Preferred Stock (incorporated by reference to Exhibit 3.1 of the Issuers Current Report on Form
8-K (SEC File No. 000-53173), filed with the SEC on May 23, 2011). |
|
H. |
|
Agreement regarding filing of joint Schedule 13D. |
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
Dated: May 27, 2011
|
|
|
|
|
|
|
|
MPM BIOVENTURES III, L.P. |
|
MPM BIOVENTURES III-QP, L.P. |
|
|
|
|
|
|
|
By:
|
|
MPM BioVentures III GP, L.P.,
|
|
By:
|
|
MPM BioVentures III GP, L.P., |
|
|
its General Partner
|
|
|
|
its General Partner |
|
|
|
|
|
|
|
By:
|
|
MPM BioVentures III LLC,
|
|
By:
|
|
MPM BioVentures III LLC, |
|
|
its General Partner
|
|
|
|
its General Partner |
|
|
|
|
|
|
|
By:
|
|
/s/ Luke Evnin
|
|
By:
|
|
/s/ Luke Evnin |
|
|
|
|
|
|
|
|
|
Name: Luke Evnin
|
|
|
|
Name: Luke Evnin |
|
|
Title: Series A Member
|
|
|
|
Title: Series A Member |
|
|
|
|
|
|
|
MPM BIOVENTURES III PARALLEL FUND, L.P. |
|
MPM BIOVENTURES III GMBH & CO. BETEILIGUNGS KG |
|
|
|
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By:
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MPM BioVentures III GP, L.P.,
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By:
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MPM BioVentures III GP, L.P., |
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its General Partner
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in its capacity as the Managing Limited Partner |
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By:
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MPM BioVentures III LLC,
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By:
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MPM BioVentures III LLC, |
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its General Partner
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its General Partner |
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By:
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/s/ Luke Evnin
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin
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Name: Luke Evnin |
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Title: Series A Member
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Title: Series A Member |
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MPM ASSET MANAGEMENT INVESTORS 2003 BVIII LLC |
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MPM BIOVENTURES III GP, L.P. |
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By: |
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/s/ Luke Evnin
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By:
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MPM BioVentures III LLC, |
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Name: Luke Evnin
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its General Partner |
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Title: Manager
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin |
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Title: Series A Member |
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MPM BIOVENTURES III LLC |
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin |
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Title: Series A Member |
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MPM Bio IV NVS Strategic Fund, L.P. |
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MPM BIOVENTURES IV GP LLC |
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By:
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MPM BIOVENTURES IV GP LLC, its General Partner
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By:
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MPM BIOVENTURES IV LLC, its Managing Member |
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MPM BIOVENTURES IV LLC, its Managing Member |
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By:
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/s/ Luke Evnin
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin
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Name: Luke Evnin |
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Title: Member
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Title: Member |
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MPM BIOVENTURES IV LLC |
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By:
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/s/ Luke Evnin |
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Name: Luke Evnin |
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Title: Member |
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/s/ Luke Evnin
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/s/ Ansbert Gadicke |
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Luke Evnin
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Ansbert Gadicke |
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/s/ Nicholas Galakatos
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/s/ Michael Steinmetz |
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Nicholas Galakatos
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Michael Steinmetz |
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/s/ Kurt Wheeler
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/s/ Nicholas Simon III |
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Kurt Wheeler
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Nicholas Simon III |
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/s/ Dennis Henner
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/s/ Ashley L. Dombkowski |
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Dennis Henner
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Ashley L. Dombkowski |
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/s/ William Greene
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/s/ Vaughn Kailian |
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William Greene
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Vaughn Kailian |
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/s/ James Paul Scopa
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/s/ Steven St. Peter |
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James Paul Scopa
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Steven St. Peter |
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/s/ John Vander Vort |
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John Vander Vort |
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The original statement shall be signed by each person on whose behalf the statement is filed or
his authorized representative. If the statement is signed on behalf of a person by his authorized
representative (other than an executive officer or general partner of the filing person), evidence
of the representatives authority to sign on behalf of such person shall be filed with the
statement: provided, however, that a power of attorney for this purpose which is already on file
with the Commission may be incorporated by reference. The name and any title of each person who
signs the statement shall be typed or printed beneath his signature.
Attention: Intentional misstatements or omissions of fact
constitute Federal criminal violations (See 18 U.S.C. 1001)
SCHEDULE I
General Partners/Members:
Luke Evnin
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG, manager of MPM Asset Management Investors 2003
BVIII LLC and a member of the managing member of the general partner of MPM Bio IV NVS Strategic
Fund
Citizenship: USA
Ansbert Gadicke
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG manager of MPM Asset Management Investors 2003 BVIII
LLC and a member of the managing member of the general partner of MPM Bio IV NVS Strategic Fund
Citizenship: USA
Nicholas Galakatos
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Michael Steinmetz
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Kurt Wheeler
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Nicholas Simon III
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Dennis Henner
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 544h Floor
Boston, Massachusetts 02116
Principal Occupation: Series A member of the general partner of the general partner of MPM
BioVentures III-QP, L.P., MPM BioVentures III, L.P., MPM BioVentures III Parallel Fund, L.P. and
MPM BioVentures III GmbH & Co. Beteiligungs KG and manager of MPM Asset Management Investors 2003
BVIII LLC
Citizenship: USA
Steven St. Peter
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
William Greene
c/o MPM Asset Management
601 Gateway Blvd. Suite 350
S. San Francisco, CA 94080
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
James Paul Scopa
c/o MPM Asset Management
601 Gateway Blvd. Suite 350
S. San Francisco, CA 94080
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
Ashley Dombkowski
c/o MPM Asset Management
601 Gateway Blvd. Suite 350
S. San Francisco, CA 94080
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
Vaughn M. Kailian
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
John Vander Vort
c/o MPM Asset Management
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
Principal Occupation: Member of the managing member of the general partner of MPM Bio IV NVS
Strategic Fund
Citizenship: USA
EXHIBIT INDEX
A. |
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Agreement and Plan of Merger by and among the Issuer, Radius Health, Inc. and RHI Merger
Corp, dated as of April 25, 2011 (incorporated by reference to Exhibit 10.1 of the Issuers Current
Report on Form 8-K (SEC File No. 000-53173), filed with the SEC on April 29, 2011). |
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B. |
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Series A-1 Convertible Preferred Stock Purchase Agreement by and among Radius Health, Inc. and
certain investors listed on Schedule I thereto, dated as of April 25, 2011 (incorporated by
reference to Exhibit 10.26 of the Issuers Current Report on Form 8-K (SEC File No. 000-53173),
filed with the SEC on May 23, 2011). |
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C. |
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Amendment No. 1 to Series A-1 Convertible Preferred Stock Purchase Agreement by and among Radius
Health, Inc. and certain investors listed on Schedule I thereto, dated as of May 11, 2011. |
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Redemption Agreement by and between the Issuer and MPM Asset Management LLC, dated April 25,
2011(incorporated by reference to Exhibit 10.2 of the Issuers Current Report on Form 8-K (SEC File
No. 000-53173), filed with the SEC on April 29, 2011). |
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E. |
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Amended and Restated Stockholders Agreement, dated as of May 17, 2011 by and among the Issuer
and those holders of the Issuers capital stock listed on Schedule I thereto (incorporated by
reference to Exhibit 4.1 of the Issuers Current Report on Form 8-K (SEC File No. 000-53173), filed
with the SEC on May 23, 2011). |
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F. |
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Indemnification Agreement by and between the Issuer and Ansbert Gadicke, dated May 17, 2011
(incorporated by reference to Exhibit 10.52 of the Issuers Current Report on Form 8-K (SEC File
No. 000-53173), filed with the SEC on May 23, 2011). |
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G. |
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Certificate of Designations of the Series A-1 Convertible Preferred Stock, the Series A-2
Convertible Preferred Stock, the Series A-3 Convertible Preferred Stock, the Series A-4 Convertible
Preferred Stock, the Series A-5 Convertible Preferred Stock and the Series A-6 Convertible
Preferred Stock (incorporated by reference to Exhibit 3.1 of the Issuers Current Report on Form
8-K (SEC File No. 000-53173), filed with the SEC on May 23, 2011). |
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H. |
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Agreement regarding filing of joint Schedule 13D. |