0000899243-19-022288.txt : 20190822 0000899243-19-022288.hdr.sgml : 20190822 20190822162028 ACCESSION NUMBER: 0000899243-19-022288 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190812 FILED AS OF DATE: 20190822 DATE AS OF CHANGE: 20190822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hack Andrew A. F. CENTRAL INDEX KEY: 0001657434 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34207 FILM NUMBER: 191046312 MAIL ADDRESS: STREET 1: 300 THIRD STREET, FIRST FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02142 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DYNAVAX TECHNOLOGIES CORP CENTRAL INDEX KEY: 0001029142 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 330728374 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2929 SEVENTH STREET STREET 2: SUITE 100 CITY: BERKELEY STATE: CA ZIP: 94710 BUSINESS PHONE: 5108485100 MAIL ADDRESS: STREET 1: 2929 SEVENTH STREET STREET 2: SUITE 100 CITY: BERKELEY STATE: CA ZIP: 94710 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2019-08-12 0 0001029142 DYNAVAX TECHNOLOGIES CORP DVAX 0001657434 Hack Andrew A. F. C/O BAIN CAPITAL LIFE SCIENCES INVESTORS 200 CLARENDON STREET BOSTON MA 02116 1 0 0 0 Common Stock 7525000 I See Footnotes Series B Convertible Preferred Stock 0.00 2019-08-12 Common Stock 4140000 I See Footnotes Warrants (Right to Buy) 4.50 2019-08-12 2022-02-12 Common Stock 2916250 I See Footnotes Each share of Series B Convertible Preferred Stock is convertible, at the option of the holder, into 1,000 shares of the Issuer's common stock and has no expiration date. The Series B Convertible Preferred Stock is not convertible if, as a result of such conversion, the holder, together with its affiliates, would beneficially own more than 9.99% of the total number of shares of the Issuer's common stock then issued and outstanding immediately after giving effect to the conversion. The warrants cannot be exercised if, as a result of such exercise, the holder, together with its affiliates, would beneficially own more than 9.99% of the total number of shares of the Issuer's common stock then issued and outstanding immediately after giving effect to the exercise. Bain Capital Life Sciences Fund, L.P. ("BC LS") holds 6,826,266 shares of the Issuer's common stock, 3,756 shares of the Issuer's Series B Convertible Preferred Stock and warrants to purchase 2,645,566 shares of the Issuer's common stock. BCIP Life Sciences Associates, LP ("BCIP LS" and, together with BC LS, the "Bain Life Sciences Entities") holds 698,734 shares of the Issuer's common stock, 384 shares of the Issuer's Series B Convertible Preferred Stock and warrants to purchase 270,684 shares of the Issuer's common stock. Bain Capital Life Sciences Investors, LLC ("BCI LS") (i) is the general partner of Bain Capital Life Sciences Partners, LP, which is the general partner of BC LS, and (ii) governs the investment strategy and decision-making process with respect to investments held by BCIP LS. Dr. Hack is a Managing Director of BCI LS. By virtue of the relationships described in this footnote, Dr. Hack may be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. Dr. Hack disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. /s/ Andrew A.F. Hack 2019-08-22