0001104659-20-080030.txt : 20200701 0001104659-20-080030.hdr.sgml : 20200701 20200701213615 ACCESSION NUMBER: 0001104659-20-080030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200701 DATE AS OF CHANGE: 20200701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Venture Partners X, L.P. CENTRAL INDEX KEY: 0001680200 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39343 FILM NUMBER: 201007007 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Management X, L.L.C. CENTRAL INDEX KEY: 0001680194 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39343 FILM NUMBER: 201007008 BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39343 FILM NUMBER: 201007009 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Katabi Maha CENTRAL INDEX KEY: 0001720685 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39343 FILM NUMBER: 201007010 MAIL ADDRESS: STREET 1: SOFINNOVA INVESTMENTS STREET 2: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: POWELL MICHAEL CENTRAL INDEX KEY: 0001202793 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39343 FILM NUMBER: 201007011 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD, 4-250 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Akouos, Inc. CENTRAL INDEX KEY: 0001722271 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 645 SUMMER STREET, SUITE 200 CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 857-245-5715 MAIL ADDRESS: STREET 1: 645 SUMMER STREET, SUITE 200 CITY: BOSTON STATE: MA ZIP: 02210 4 1 tm2023913-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-06-30 1 0001722271 Akouos, Inc. AKUS 0001680200 Sofinnova Venture Partners X, L.P. 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001680194 Sofinnova Management X, L.L.C. 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001245624 HEALY JAMES 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 0001720685 Katabi Maha C/O APELLIS PHARMACEUTICALS, INC. 6400 WESTWIND WAY, SUITE A CRESTWOOD MA 40014 0 0 1 0 0001202793 POWELL MICHAEL 3000 SAND HILL ROAD, 4-250 MENLO PARK CA 94025 0 0 1 0 Common Stock 2020-06-30 4 C 0 856262 A 856262 D Common Stock 2020-06-30 4 C 0 599988 A 1456250 D Common Stock 2020-06-30 4 P 0 58823 17.00 A 1515073 D Series A Preferred Stock 2020-06-30 4 C 0 18044028 D Common Stock 856262 0 D Series B Preferred Stock 2020-06-30 4 C 0 12643557 D Common Stock 599988 0 D Upon the closing of the initial public offering of the Issuer's Common Stock, the Series A Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series A Preferred Stock had no expiration date. The shares are held directly by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by SVP X. James I. Healy, Maha Katabi, and Michael F. Powell are the managing members of SM X and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by SVP X. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Upon the closing of the initial public offering of the Issuer's Common Stock, the Series B Preferred Stock automatically converted into Common Stock on a 21.073-for-1 basis without payment of further consideration. The shares of Series B Preferred Stock had no expiration date. /s/ Nathalie Auber, as attorney-in-fact for Sofinnova Venture Partners X, L.P 2020-06-30 /s/ Nathalie Auber, as attorney-in-fact for Sofinnova Management X, L.L.C. 2020-06-30 /s/ Nathalie Auber, as attorney-in-fact for James I. Healy 2020-06-30 /s/ Nathalie Auber, as attorney-in-fact for Maha Katabi 2020-06-30 /s/ Nathalie Auber, as attorney-in-fact for Michael F. Powell 2020-06-30