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) 04/15/2014 |
3. Issuer Name and Ticker or Trading Symbol
TriVascular Technologies, Inc. [ TRIV ] |
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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) |
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 | (1) | (1) | Common Stock | 797,208 | (1) | I | See Note 2(2) |
Series B Preferred Stock | (1) | (1) | Common Stock | 383,249 | (1) | I | See Note 2(2) |
Series C Preferred Stock | (3) | (3) | Common Stock | 531,758 | (3) | I | See Note 2(2) |
Series D Preferred Stock | (4) | (4) | Common Stock | 1,236,487 | (4) | I | See Note 2(2) |
Series E Preferred Stock | (4) | (4) | Common Stock | 411,234 | (4) | I | See Note 2(2) |
Series D Preferred Warrants | (5) | 02/02/2019 | Common Stock | 55,831(4) | $15.8061 | I | See Note 2(2) |
Explanation of Responses: |
1. Each share of Series A Preferred Stock and each share of Series B Preferred Stock is convertible into 0.03845959625192770 of a share of Common Stock without payment of further consideration and will automatically convert into 0.03845959625192770 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on a post-conversion basis. The shares have no expiration date. |
2. The Reporting Person is a manager of NEA 12 GP, LLC, which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest. |
3. Each share of Series C Preferred Stock is convertible into 0.03899558573514530 of a share of Common Stock without payment of further consideration and will automatically convert into 0.03899558573514530 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on a post-conversion basis. The shares have no expiration date. |
4. Each share of Series D Preferred Stock and each share of Series E Preferred Stock is convertible into 0.0246487552378605 of a share of Common Stock without payment of further consideration and will automatically convert into 0.02464875523786050 of a share of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The number of securities reported in Table II is shown on a post-conversion basis. The shares have no expiration date. |
5. Immediately. |
/s/ Sasha Keough, attorney-in-fact | 04/15/2014 | |
** 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. |