- Statement of Changes in Beneficial Ownership (4)
15 3월 2011 - 3:00AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Growth Equity Opportunities Fund, LLC
|
2. Issuer Name
and
Ticker or Trading Symbol
ARYx Therapeutics, Inc.
[
ARYX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
1954 GREENSPRING DRIVE, SUITE 600
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2011
|
(Street)
TIMONIUM, MD 21093
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
3/10/2011
|
|
S
|
|
4469274
|
D
|
$.073
(1)
|
0
|
D
(2)
(3)
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.06 to $0.108, inclusive. The Reporting Person undertakes to provide to ARYx Pharmaceuticals, Inc., any security holder of ARYx Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
|
(
2)
|
The shares are directly held by Growth Equity Opportunities Fund, LLC ("GEO") and indirectly held by New Enterprise Associates 12, Limited Partnership ("NEA 12"), the sole member of GEO, NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA 12, NEA Partners 12, NEA GP 12 and the individual managers of NEA 12 GP together, the "Indirect Reporting Persons").
|
(
3)
|
The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, C. Richard Kramlich, Krishna "Kittu" Kolluri, Charles W. Newhall III, Mark W. Perry and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO in which the Indirect Reporting Persons have no actual pecuniary interest.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Growth Equity Opportunities Fund, LLC
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
New Enterprise Associates 12, Limited Partnership
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
NEA 12 GP, LLC
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
NEWHALL CHARLES W III
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
KRAMLICH C RICHARD
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
BARRIS PETER J
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
PERRY MARK W
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
BARRETT M JAMES
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
NEA Partners 12, Limited Partnership
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
SANDELL SCOTT D
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM, MD 21093
|
|
X
|
|
|
Signatures
|
/s/ Shawn Conway, attorney-in-fact
|
|
3/14/2011
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
ARYx Therapeutics (CE) (USOTC:ARYX)
과거 데이터 주식 차트
부터 10월(10) 2024 으로 11월(11) 2024
ARYx Therapeutics (CE) (USOTC:ARYX)
과거 데이터 주식 차트
부터 11월(11) 2023 으로 11월(11) 2024