Statement of Changes in Beneficial Ownership (4)
15 5월 2013 - 6:33AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Burow Kristina
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2. Issuer Name
and
Ticker or Trading Symbol
Receptos, Inc.
[
RCPT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
8725 WEST HIGGINS ROAD, SUITE 290
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/14/2013
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(Street)
CHICAGO, IL 60631
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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13333
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D
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Common Stock
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5/14/2013
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C
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129755
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A
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(1)
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129755
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I
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See footnotes
(2)
(4)
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Common Stock
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5/14/2013
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C
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1022283
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A
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(1)
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1136568
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I
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See footnotes
(3)
(4)
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Common Stock
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5/14/2013
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C
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680323
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A
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(1)
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1816891
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I
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See footnotes
(3)
(4)
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Common Stock
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5/14/2013
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P
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284485
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A
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$14.00
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2101376
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I
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See footnotes
(3)
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Series A Preferred Stock
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(1)
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5/14/2013
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C
(1)
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973165
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(1)
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(1)
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Common Stock
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129755
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$0
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0
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I
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See footnotes
(2)
(4)
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Series A Preferred Stock
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(1)
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5/14/2013
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C
(1)
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7667124
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(1)
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(1)
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Common Stock
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1022283
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$0
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0
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I
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See footnotes
(3)
(4)
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Series B Preferred Stock
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(1)
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5/14/2013
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C
(1)
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5102426
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(1)
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(1)
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Common Stock
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680323
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$0
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0
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I
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See footnotes
(3)
(4)
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Explanation of Responses:
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(
1)
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The Series A preferred stock and Series B preferred stock converted upon the closing of the Issuer's initial public offering at a conversion ratio of 1 share of common stock for every 7.5 shares of Series A preferred Stock and Series B preferred Stock, for no additional consideration.
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(
2)
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Beneficial ownership consists of an aggregate of 129,755 shares of common stock issued upon conversion of shares of Series A preferred stock held by ARCH Venture Fund VI, L.P. ("ARCH Fund VI"). The sole general partner of ARCH Fund VI is ARCH Venture Partners VI, L.P. ("ARCH Partners VI"), which may be deemed to beneficially own the shares held by ARCH Fund VI. The sole general partner of ARCH Partners VI is ARCH Venture Partners VI, LLC ("ARCH VI LLC"), which may be deemed to beneficially own the shares held by ARCH Fund VI. ARCH Partners VI and ARCH VI LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
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(
3)
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Beneficial ownership consists of: (i) 398,770 shares of common stock held by ARCH Venture Fund VII, L.P. ("ARCH Fund VII") and (ii) 1,702,606 shares of common stock issued upon conversion of shares of Series A preferred stock and Series B preferred stock held by ARCH Fund VII. The sole general partner of ARCH Fund VII is ARCH Venture Partners VII, L.P. ("ARCH Partners VII"), which may be deemed to be the beneficial owner of the shares held by ARCH Fund VII. The sole general partner of ARCH Partners VII is ARCH Venture Partners VII, LLC ("ARCH VII LLC"), which may be deemed to be the beneficial owner of the shares held by ARCH Fund VII. ARCH Partners VII and ARCH VII LLC disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
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(
4)
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The managing directors of ARCH VI LLC and ARCH VII LLC are Keith Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VI and ARCH Fund VII. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Kristina Burow owns an indirect interest in ARCH Partners VI and ARCH Partners VII but does not have voting or investment control over the shares held by ARCH Fund VI or ARCH Fund VII and disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Burow Kristina
8725 WEST HIGGINS ROAD, SUITE 290
CHICAGO, IL 60631
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X
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Signatures
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/s/ Kristina Burow
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5/14/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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RECEPTOS, INC. (NASDAQ:RCPT)
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부터 7월(7) 2024 으로 8월(8) 2024
RECEPTOS, INC. (NASDAQ:RCPT)
과거 데이터 주식 차트
부터 8월(8) 2023 으로 8월(8) 2024