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) 06/18/2013 |
3. Issuer Name and Ticker or Trading Symbol
bluebird bio, Inc. [ BLUE ] |
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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-1 Convertible Preferred Stock | (1) | (1) | Common Stock | 325,255 | (1) | D(5) | |
Series A-2 Convertible Preferred Stock | (1) | (1) | Common Stock | 624,021 | (1) | D(5) | |
Series B Convertible Preferred Stock | (1) | (1) | Common Stock | 935,783 | (1) | D(5) | |
Series C Convertible Preferred Stock | (1) | (1) | Common Stock | 210,589 | (1) | D(5) | |
Series D Convertible Preferred Stock | (1) | (1) | Common Stock | 158,709 | (1) | D(5) | |
Series A-1 Warrants | (2) | 11/16/2015 | Series A-1 Convertible Preferred Stock(3) | 660,982 | $12.55 | D(5) | |
Series A-1 Warrants | (2) | 10/26/2016 | Series A-1 Convertible Preferred Stock(3) | 440,650 | $12.55 | D(5) | |
Series A-1 Warrants | (2) | 05/03/2017 | Series A-1 Convertible Preferred Stock(3) | 1,038,674 | $12.55 | D(5) | |
Series A-1 Warrants | (2) | 08/28/2018 | Series A-1 Convertible Preferred Stock(3) | 236,062 | $12.55 | D(5) | |
Series A-1 Warrants | (2) | 12/18/2018 | Series A-1 Convertible Preferred Stock(3) | 236,062 | $12.55 | D(5) | |
Series A-1 Warrants | (2) | 04/15/2019 | Series A-1 Convertible Preferred Stock(3) | 462,681 | $12.55 | D(5) | |
Series B Warrants | (2) | 04/15/2019 | Series B Convertible Preferred Stock(4) | 287,400 | $6.19 | D(5) |
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 convertible into bluebird bio, Inc. ("bluebird") Common Stock for the amounts shown and will automatically convert upon the closing of the initial public offering of bluebird without payment of further consideration. |
2. This warrant is immediately exercisable. |
3. Upon the closing of the initial public offering of bluebird, this warrant to purchase shares of Series A-1 Convertible Preferred Stock will automatically convert on an 18.967-for-one basis into a warrant to purchase shares of Common Stock. |
4. Upon the closing of the initial public offering of bluebird, this warrant to purchase shares of Series B Convertible Preferred Stock will automatically convert on an 18.967-for-one basis into a warrant to purchase shares of Common Stock. |
5. The shares are held directly by TVM V Life Science Ventures GmbH & Co. KG ("TVM V"). TVM V's general partner, TVM Capital GmbH ("TVM"), and its authorized officers, Axel Polack ("Polack"), Helmut Schuehsler ("Schuehsler"), Alexandra Goll ("Goll"), Hubert Birner ("Birner") and Stefan Fischer ("Fischer") may be deemed to share voting and dispositive power over the shares held by TVM V. Each of TVM, Polack, Schuehsler, Goll, Birner and Fischer disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any. |
/s/Stefan Fischer, Attorney-in-Fact for TVM V Life Science Ventures GmbH & Co. KG | 06/18/2013 | |
/s/Stefan Fischer, Attorney-in-Fact for TVM Capital GmbH | 06/18/2013 | |
/s/Stefan Fischer, Attorney-in-Fact for Axel Polack | 06/18/2013 | |
/s/Stefan Fischer, Attorney-in-Fact for Helmut Schuehsler | 06/18/2013 | |
/s/Stefan Fischer, Attorney-in-Fact for Alexandra Goll | 06/18/2013 | |
/s/Stefan Fischer, Attorney-in-Fact for Hubert Birner | 06/18/2013 | |
/s/Stefan Fischer | 06/18/2013 | |
** 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. |