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) 06/26/2013 |
3. Issuer Name and Ticker or Trading Symbol
ARATANA THERAPEUTICS, INC. [ PETX ] |
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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 Convertible Preferred Stock | (1) | (1) | Common Stock | 4,000,000 | $1.662(1) | D | |
Series B Convertible Preferred Stock | (1) | (1) | Common Stock | 1,333,333 | $4.986(1) | D | |
Series C Convertible Preferred Stock | (1) | (1) | Common Stock | 375,000 | $6.648(1) | D |
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. Series A, B and C Convertible Preferred Stock has no expiration date and, subject to certain events, is automatically convertible on a 1-for-0.601685 basis into shares of Common Stock. |
Remarks: |
Avalon Ventures IX, LP holds of record and thereby beneficially owns and has sole direct power to vote and dispose of 5,708,333 shares of Convertible Preferred Stock. Avalon Ventures IX GP, LLC, in its capacity as the general partner of Avalon Ventures IX, LP, may be deemed to be the beneficial owner of the shares of the Issuer owned by Avalon Ventures IX, LP, as in its capacity as the general partner, it has the power to dispose, direct the disposition of, and vote the shares of the Issuer owned by Avalon Ventures IX, LP. Each of Avalon Ventures IX, LP and Avalon Ventures IX GP, LLC and their respective affiliates disclaim beneficial ownership of all shares of the Issuer in which they do not have a pecuniary interest. |
Avalon Ventures IX, LP /s/ Douglas Downs, Authorized Person | 06/26/2013 | |
Avalon Ventures IX GP, LLC /s/ Douglas Downs, Authorized Person | 06/26/2013 | |
** 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. |