0000899243-21-032571.txt : 20210811 0000899243-21-032571.hdr.sgml : 20210811 20210811182656 ACCESSION NUMBER: 0000899243-21-032571 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210809 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hack Andrew A. F. CENTRAL INDEX KEY: 0001657434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34207 FILM NUMBER: 211164953 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: 2100 POWELL STREET STREET 2: SUITE 900 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5108485100 MAIL ADDRESS: STREET 1: 2100 POWELL STREET STREET 2: SUITE 900 CITY: EMERYVILLE STATE: CA ZIP: 94608 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-08-09 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 2021-08-09 4 C 0 2249000 0.00 A 10774000 I See footnotes Common Stock 2021-08-09 4 S 0 2250000 10.80 D 8524000 I See footnotes Series B Convertible Preferred Stock 0.00 2021-08-09 4 C 0 2249 0.00 D 2019-08-12 Common Stock 2249000 1891 I See footnotes Represents securities held directly by Bain Capital Life Sciences Fund, L.P. ("BCLS") and BCIP Life Sciences Associates, LP ("BCIPLS" and, together with BCLS, the "Bain Capital Life Sciences Entities"). Bain Capital Life Sciences Investors, LLC ("BCLSI") is the ultimate general partner of BCLS and governs the investment strategy and decision-making process with respect to investments held by BCIPLS. Dr. Hack is a Managing Director of BCLSI. 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 Capital Life Sciences Entities. Dr. Hack disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. 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. On August 9, 2021, the Bain Capital Life Sciences Entities converted an aggregate of 2,249 shares of Series B Convertible Preferred Stock into an aggregate of 2,249,000 shares of the Issuer's common stock. /s/ Andrew Hack 2021-08-11