FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Audentes Therapeutics, Inc. [ BOLD ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 07/25/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 07/25/2016 | C | 1,081,477 | A | (1) | 1,081,477 | I | By Versant Venture Capital IV, L.P.(2) | ||
Common Stock | 07/25/2016 | C | 480,856 | A | (3) | 1,562,333 | I | By Versant Venture Capital IV, L.P.(2) | ||
Common Stock | 07/25/2016 | C | 198,410 | A | (4) | 1,760,743 | I | By Versant Venture Capital IV, L.P.(2) | ||
Common Stock | 07/25/2016 | C | 6,811 | A | (1) | 6,811 | I | By Versant Side Fund IV, L.P.(5) | ||
Common Stock | 07/25/2016 | C | 3,029 | A | (3) | 9,840 | I | By Versant Side Fund IV, L.P.(5) | ||
Common Stock | 07/25/2016 | C | 1,249 | A | (4) | 11,089 | I | By Versant Side Fund IV, L.P.(5) | ||
Common Stock | 07/25/2016 | P | 34,781 | A | $15 | 1,795,524 | I | By Versant Venture Capital IV, L.P.(2) | ||
Common Stock | 07/25/2016 | P | 219 | A | $15 | 11,308 | I | By Versant Side Fund IV, L.P.(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (1) | 07/25/2016 | C | 1,081,477 | (1) | (1) | Common Stock | 1,081,477 | (1) | 0 | I | By Versant Venture Capital IV, L.P.(2) | |||
Series B Preferred Stock | (3) | 07/25/2016 | C | 480,856 | (3) | (3) | Common Stock | 480,856 | (3) | 0 | I | By Versant Venture Capital IV, L.P.(2) | |||
Series C Preferred Stock | (4) | 07/25/2016 | C | 198,410 | (4) | (4) | Common Stock | 198,410 | (4) | 0 | I | By Versant Venture Capital IV, L.P.(2) | |||
Series A Preferred Stock | (1) | 07/25/2016 | C | 6,811 | (1) | (1) | Common Stock | 6,811 | (1) | 0 | I | By Versant Side Fund IV, L.P.(5) | |||
Series B Preferred Stock | (3) | 07/25/2016 | C | 3,029 | (3) | (3) | Common Stock | 3,029 | (3) | 0 | I | By Versant Side Fund IV, L.P.(5) | |||
Series C Preferred Stock | (4) | 07/25/2016 | C | 1,249 | (4) | (4) | Common Stock | 1,249 | (4) | 0 | I | By Versant Side Fund IV, L.P.(5) |
Explanation of Responses: |
1. Each share of the issuer's Series A Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-208842) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. |
2. These securities are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the sole general partner of VVC IV. The reporting person, together with each of Brian Atwood, Bradley Bolzon, Samuel Colella, Ross Jaffe, William Link, Kirk Nielsen, Robin Praeger, Rebecca Robertson and Charles Warden, are directors or members of VV IV and may be deemed to share voting and dispositive power over the securities held by VVC IV and as a result may be deemed to have beneficial ownership over such securities. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
3. Each share of the issuer's Series B Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. |
4. Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. |
5. These securities are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the sole general partner of VSF IV. The reporting person, together with each of Brian Atwood, Bradley Bolzon, Samuel Colella, Ross Jaffe, William Link, Kirk Nielsen, Robin Praeger, Rebecca Robertson and Charles Warden, are directors or members of VV IV and may be deemed to share voting and dispositive power over the securities held by VSF IV and as a result may be deemed to have beneficial ownership over such securities. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Remarks: |
/s/ Thomas Soloway as attorney-in-fact for Thomas Woiwode, Ph.D. | 07/25/2016 | |
** 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 4 (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. |