FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/11/2012 |
3. Issuer Name and Ticker or Trading Symbol
KALOBIOS PHARMACEUTICALS INC [ NONE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 28,418 | D(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | (2) | (3) | Common Stock | 694,370 | (2) | D(4) | |
Series B-1 Preferred Stock | (2) | (3) | Common Stock | 1,273,917 | (2) | D(5) | |
Series B-2 Preferred Stock | (2) | (3) | Common Stock | 1,736,186 | (2) | D(6) | |
Series C Preferred Stock | (2) | (3) | Common Stock | 645,039 | (2) | D(7) | |
Series D Preferred Stock | (2) | (3) | Common Stock | 797,877 | (2) | D(8) | |
Series E Preferred Stock | (2) | (3) | Common Stock | 588,234 | (2) | D(9) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The shares are held as follows: 2,478 shares by Alloy Corporate 2000, L.P. ("Corporate"), 4,252 shares by Alloy Investors 2000, L.P. ("Investors"), 1,056 shares by Alloy Partners 2000, L.P. ("Partners"), and 20,632 shares by Alloy Ventures 2000, L.P. ("Ventures"). Alloy Ventures 2000, LLC ("Ventures LLC"), is the general partner of Corporate, Partners, Ventures and Investors. The managing members of Alloy Ventures 2000, LLC are Craig C. Taylor, John F. Shoch, Douglas E. Kelly, M.D., and Tony Di Bona. |
2. Each share of Preferred Stock is convertible at any time, at the election of the holder, into one fully paid and nonassessable share of Common Stock, subject to certain anti-dilution adjustments. |
3. No expiration. |
4. The shares are held as follows: 60,576 shares by Corporate, 103,925 shares by Investors, 25,832 shares by Partners, and 504,037 shares by Ventures. |
5. The shares are held as follows: 111,136 shares by Corporate, 190,667 shares by Investors, 47,394 shares by Partners, and 924,720 shares by Ventures. |
6. The shares are held as follows: 92,098 shares by Corporate, 158,004 shares by Investors, 39,277 shares by Partners, 766,308 shares by Ventures, and 680,499 shares by Alloy Annex I, L.P. ("Annex"). Alloy Annex I, LLC ("Annex LLC") is the general partner of Annex. The managing members of Alloy Annex I, LLC are Craig C. Taylor, John F. Shoch, Douglas E. Kelly, M.D., Tony Di Bona, and Daniel I. Rubin. |
7. The shares are held as follows: 28,136 shares by Corporate, 48,271 shares by Investors, 11,999 shares by Partners, 234,113 shares by Ventures, and 322,520 shares by Annex. |
8. The shares are held as follows: 40,580 shares by Corporate, 69,620 shares by Investors, 17,306 shares by Partners, 337,656 shares by Ventures, and 332,715 shares by Annex. |
9. The shares are held as follows: 25,658 shares by Corporate, 44,020 shares by Investors, 10,942 shares by Partners, 213,494 shares by Ventures, and 294,120 shares by Annex. |
Remarks: |
All Reporting Persons disclaim beneficial ownership of shares of KaloBios Pharmaceuticals, Inc. stock held by the other Reporting Persons herein, except to the extent of their respective pecuniary interest therein, if any. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934, or otherwise, any of the Reporting Persons are the beneficial owners of all of the equity securities covered by this statement. |
/s/ Tony Di Bona, Managing Member of Alloy Ventures 2000, LLC | 08/10/2012 | |
/s/ Tony Di Bona, Managing Member of Alloy Ventures 2000, LLC, the general partner of Alloy Corporate 2000, L.P. | 08/10/2012 | |
/s/ Tony Di Bona, Managing Member of Alloy Ventures 2000, LLC, the general partner of Alloy Ventures 2000, L.P. | 08/10/2012 | |
/s/ Tony Di Bona, Managing Member of Alloy Ventures 2000, LLC, the general partner of Alloy Investors 2000, L.P. | 08/10/2012 | |
/s/ Tony Di Bona, Managing Member of Alloy Ventures 2000, LLC, the general partner of Alloy Partners 2000, L.P. | 08/10/2012 | |
/s/ Tony Di Bona, Mannaging Member of Alloy Annex I, LLC | 08/10/2012 | |
/s/ Tony Di Bona, Mannaging Member of Alloy Annex I, LLC, the general partner of Alloy Annex I, L.P. | 08/10/2012 | |
** 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 5 (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 Number. |