0001062993-23-012744.txt : 20230602
0001062993-23-012744.hdr.sgml : 20230602
20230602161106
ACCESSION NUMBER: 0001062993-23-012744
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230602
DATE AS OF CHANGE: 20230602
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EDELMAN JOSEPH
CENTRAL INDEX KEY: 0001164426
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 23988787
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 ADVISORS LLC
CENTRAL INDEX KEY: 0001224962
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 23988790
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 LS (A), LLC
CENTRAL INDEX KEY: 0001797811
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 23988788
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: PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
CENTRAL INDEX KEY: 0001249675
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39273
FILM NUMBER: 23988789
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
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 WAY
CITY: WATERTOWN
STATE: MA
ZIP: 02472
BUSINESS PHONE: 617-373-4600
MAIL ADDRESS:
STREET 1: 480 ARSENAL WAY
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
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0407
4
2023-05-31
0001327273
Lyra Therapeutics, Inc.
LYRA
0001224962
PERCEPTIVE ADVISORS LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
1
0
1
0
0001249675
PERCEPTIVE LIFE SCIENCES MASTER FUND LTD
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
0
0
1
0
0001797811
Perceptive LS (A), LLC
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
0
0
1
0
0001164426
EDELMAN JOSEPH
51 ASTOR PLACE, 10TH FLOOR
NEW YORK
NY
10003
1
0
1
0
0
Common Stock
2023-05-31
4
P
0
3610832
2.4925
A
11469117
I
See Footnotes
Common Stock
1288446
I
See Footnotes
Common Stock Purchase Warrant
2.673
2023-05-31
4
P
0
1805416
A
2023-11-30
2028-11-30
Common Stock
1805416
1805416
I
See Footnote
The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund").
The securities reported in this row are held by Perceptive LS (A), LLC ("Perceptive LS").
Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. 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.
These securities were acquired in units, with each unit consisting of one share of Common Stock and one Common Stock Purchase Warrant to purchase one share of Common Stock (the "Warrants"), at a combined purchase price of $2.4925 per unit. Each of the Warrants may not be exercised if the Reporting Persons and their affiliates would beneficially own more than 9.9% of the Issuer's outstanding shares of Common Stock following such exercise.
/s/ Joseph Edelman - for Perceptive Life Sciences Master Fund Ltd., By: Perceptive Advisors LLC, its investment manager, By: Joseph Edelman, its managing member
2023-06-02
/s/ Joseph Edelman - for Perceptive LS (A), LLC, By: Perceptive LS GP, LLC, its General Partner, By: Joseph Edelman, its sole member
2023-06-02
/s/ Joseph Edelman - for Perceptive Advisors LLC, By: Joseph Edelman, its managing member
2023-06-02
/s/ Joseph Edelman
2023-06-02