0000899243-20-011687.txt : 20200430
0000899243-20-011687.hdr.sgml : 20200430
20200430195852
ACCESSION NUMBER: 0000899243-20-011687
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200430
FILED AS OF DATE: 20200430
DATE AS OF CHANGE: 20200430
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PERCEPTIVE ADVISORS LLC
CENTRAL INDEX KEY: 0001224962
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 20837872
BUSINESS ADDRESS:
STREET 1: 51 ASTOR PLACE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
BUSINESS PHONE: 646-205-5300
MAIL ADDRESS:
STREET 1: 51 ASTOR PLACE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
CENTRAL INDEX KEY: 0001249675
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 20837873
BUSINESS ADDRESS:
STREET 1: C/O PERCEPTIVE ADVISORS LLC
STREET 2: 51 ASTOR PLACE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
BUSINESS PHONE: 646-205-5340
MAIL ADDRESS:
STREET 1: C/O PERCEPTIVE ADVISORS LLC
STREET 2: 51 ASTOR PLACE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Perceptive LS (A), LLC
CENTRAL INDEX KEY: 0001797811
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 20837874
BUSINESS ADDRESS:
STREET 1: 51 ASTOR PLACE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
BUSINESS PHONE: 646-205-5300
MAIL ADDRESS:
STREET 1: 51 ASTOR PLACE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EDELMAN JOSEPH
CENTRAL INDEX KEY: 0001164426
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 20837875
MAIL ADDRESS:
STREET 1: C/O PERCEPTIVE ADVISORS LLC
STREET 2: 51 ASTOR PLACE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10003
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Lyra Therapeutics, Inc.
CENTRAL INDEX KEY: 0001327273
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 480 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
BUSINESS PHONE: 617-373-4600
MAIL ADDRESS:
STREET 1: 480 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
FORMER COMPANY:
FORMER CONFORMED NAME: 480 Biomedical, Inc.
DATE OF NAME CHANGE: 20120927
FORMER COMPANY:
FORMER CONFORMED NAME: Arsenal Vascular, Inc.
DATE OF NAME CHANGE: 20110826
FORMER COMPANY:
FORMER CONFORMED NAME: Arsenal Medical, Inc.
DATE OF NAME CHANGE: 20090414
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2020-04-30
0
0001327273
Lyra Therapeutics, Inc.
LYRA
0001224962
PERCEPTIVE ADVISORS LLC
C/O PERCEPTIVE ADVISORS, LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
1
0
1
0
0001249675
PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
C/O PERCEPTIVE ADVISORS LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
0
0
1
0
0001797811
Perceptive LS (A), LLC
C/O PERCEPTIVE ADVISORS, LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
0
0
1
0
0001164426
EDELMAN JOSEPH
C/O PERCEPTIVE ADVISORS LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
1
0
1
0
Series B Convertible Preferred Stock
Common Stock
773327
I
See footnotes
Series C Convertible Preferred Stock
Common Stock
1132016
I
See footnotes
Series C Convertible Preferred Stock
Common Stock
470739
I
See footnotes
Common Warrants
8.63
2020-01-17
2030-01-10
Common Stock
141221
I
See footnotes
Common Warrants
8.63
2020-01-17
2030-01-10
Common Stock
339604
I
See footnotes
The preferred stock is convertible at any time, at the holder's election and has no expiration date. Each share of preferred stock shall be automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering.
Consists of 26,666,666 shares of Series B Convertible Preferred Stock held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund").
Consists of 39,035,325 shares of Series C Convertible Preferred Stock held by Perceptive LS (A), LLC ("Perceptive LS").
Consists of 16,232,511 shares of Series C Convertible Preferred Stock held by the Master Fund.
The securities reported in this row are held by the Master Fund.
The securities reported in this row are held by Perceptive LS.
Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to Perceptive Life. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS. Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
Perceptive Life Sciences Master Fund, Ltd.
2020-04-30
Perceptive LS (A), LLC
2020-04-30
Perceptive Advisors, LLC
2020-04-30
Joseph Edelman
2020-04-30