0001179110-13-015259.txt : 20131003 0001179110-13-015259.hdr.sgml : 20131003 20131003175141 ACCESSION NUMBER: 0001179110-13-015259 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131003 DATE AS OF CHANGE: 20131003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ophthotech Corp. CENTRAL INDEX KEY: 0001410939 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5 VAUGHN DRIVE STREET 2: SUITE 106 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 609-945-6050 MAIL ADDRESS: STREET 1: 5 VAUGHN DRIVE STREET 2: SUITE 106 CITY: PRINCETON STATE: NJ ZIP: 08540 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HBM Healthcare Investments (Cayman) Ltd. CENTRAL INDEX KEY: 0001232258 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36080 FILM NUMBER: 131134884 BUSINESS ADDRESS: STREET 1: 2454 WEST BAY ROAD, 3RD FLOOR CITY: GRAND CAYMAN STATE: E9 ZIP: 00000 BUSINESS PHONE: 1 345 946 8002 MAIL ADDRESS: STREET 1: P.O BOX 30852 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1204 FORMER NAME: FORMER CONFORMED NAME: HBM BIOVENTURES CAYMAN LTD DATE OF NAME CHANGE: 20030512 4 1 edgar.xml FORM 4 - X0306 4 2013-09-30 0 0001410939 Ophthotech Corp. OPHT 0001232258 HBM Healthcare Investments (Cayman) Ltd. GOVERNORS SQUARE, SUITE #4-212-2 23 LIME TREE BAY AVE., WEST BAY GRAND CAYMAN E9 00000 CAYMAN ISLANDS 0 0 1 0 Common Stock 2013-09-30 4 C 0 2806937 A 2806937 D Common Stock 2013-09-30 4 C 0 398208 A 3205145 D Common Stock 2013-09-30 4 C 0 206756 A 3411902 D Common Stock 2013-09-30 4 P 0 228000 22.00 A 3639902 D Series A Preferred Stock 2013-09-30 4 C 0 2806937 D Common Stock 2806937 0 D Series B Preferred Stock 2013-09-30 4 C 0 398208 D Common Stock 398208 0 D Series C Preferred Stock 2013-09-30 4 C 0 206756 D Common Stock 206756 0 D Series A Preferred Stock Warrant 2013-09-30 4 C 0 13670 0 D 2017-06-18 Common Stock 13670 0 D Common Stock Warrant 0.059 2013-09-30 4 C 0 13670 A 2017-06-18 Common Stock 13670 13670 D Each share of Series A Preferred Stock automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the Issuer's firm commitment underwritten public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended (the "IPO") and had no expiration date. Each share of Series B Preferred Stock automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the Issuer's IPO and had no expiration date. Each share of Series C Preferred Stock automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the Issuer's IPO and had no expiration date. Includes 370,591 shares of Common Stock issued upon the closing of the Issuer's IPO for stock dividends that accrued on the Series A Preferred Stock prior to conversion. Includes 45,101 shares of Common Stock issued upon the closing of the Issuer's IPO for stock dividends that accrued on the Series B Preferred Stock prior to conversion. Includes 1,782 shares of Common Stock issued upon the closing of the Issuer's IPO for stock dividends that accrued on the Series C Preferred Stock prior to conversion. The Series A Preferred Stock Warrant converted to a Common Stock Warrant in connection with the closing of the Issuer's IPO. The number of shares of the Common Stock Warrant includes an adjustment to account for additional shares of Common Stock issued as accrued stock dividends in connection with the closing of the issuer's IPO. Immediately exercisable. Pursuant to the issuer's fourth amended and restated certificate of incorporation as amended, all shares of the Issuer's preferred stock were aggregated across series for purposes of conversion to Common Stock resulting in an additional whole share being issued as a result of the aggregation of fractional shares across series. /s/ Jean-Marc Lesieur, Director 2013-10-03