0000899243-16-013610.txt : 20160217 0000899243-16-013610.hdr.sgml : 20160217 20160217184720 ACCESSION NUMBER: 0000899243-16-013610 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160217 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PROTEOSTASIS THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001445283 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617-225-0096 MAIL ADDRESS: STREET 1: 200 TECHNOLOGY SQUARE CITY: CAMBRIDGE STATE: MA ZIP: 02139 FORMER COMPANY: FORMER CONFORMED NAME: PROTEOSTASIS THERAPEUTICS INC DATE OF NAME CHANGE: 20080916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37695 FILM NUMBER: 161435550 BUSINESS ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 BUSINESS PHONE: 01141613241111 MAIL ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novartis Bioventures Ltd CENTRAL INDEX KEY: 0001297709 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37695 FILM NUMBER: 161435551 BUSINESS ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 BUSINESS PHONE: 41-61-324-6210 MAIL ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-17 1 0001445283 PROTEOSTASIS THERAPEUTICS, INC. PTI 0001297709 Novartis Bioventures Ltd 131 FRONT STREET HAMILTON D0 HM12 BERMUDA 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35 BASEL V8 4056 SWITZERLAND 0 0 1 0 Common Stock 2016-02-17 4 C 0 1498791 A 1498791 D Common Stock 2016-02-17 4 P 0 375000 8.00 A 1873791 D Series A Convertible Redeemable Preferred Stock 2016-02-17 4 C 0 10000000 0.00 D Common Stock 1318932 0 D Series B Convertible Redeemable Preferred Stock 2016-02-17 4 C 0 1944315 0.00 D Common Stock 179859 0 D This transaction represents the total number of shares of Common Stock of the Issuer (the "Issuer Common Stock") received upon the conversion of the Issuer's Series A Convertible Redeemable Preferred Stock (the "Series A Shares"), the payment of accrued dividends on the Series A Shares and the conversion of the Issuer's Series B Convertible Redeemable Preferred Stock (the "Series B Shares", collectively, the "Preferred Shares"). These securities are held directly by Novartis Bioventures Ltd. ("Novartis Bioventures"). Novartis Bioventures is a corporation organized under the laws of Bermuda and is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG is a corporation organized under the laws of Switzerland and is the publicly owned parent of Novartis Bioventures Ltd. These securities were purchased in connection with the initial public offering of the Issuer. The Preferred Shares automatically converted into Issuer Common Stock on a 10.8102-to-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Preferred Shares were convertible at any time at the election of the Reporting Person and had no expiration date. These securities include shares of Issuer Common Stock received as payment for accrued dividends on the Series A Shares. NOVARTIS BIOVENTURES LTD., /s/ Simon Zivi, Chairman 2016-02-17 NOVARTIS BIOVENTURES LTD., /s/ Laurieann Chaikowsky, Authorized Signatory 2016-02-17 NOVARTIS AG, /s/ Simon Zivi, Authorized Signatory 2016-02-17 NOVARTIS AG, /s/ Laurieann Chaikowsky, Authorized Signatory 2016-02-17