0001213900-23-056885.txt : 20230713 0001213900-23-056885.hdr.sgml : 20230713 20230713204248 ACCESSION NUMBER: 0001213900-23-056885 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230711 FILED AS OF DATE: 20230713 DATE AS OF CHANGE: 20230713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aggarwal Gaurav CENTRAL INDEX KEY: 0001551965 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40582 FILM NUMBER: 231087818 MAIL ADDRESS: STREET 1: C/O PANORAMA CAPITAL STREET 2: 2440 SAND HILL ROAD, SUITE 302 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Unicycive Therapeutics, Inc. CENTRAL INDEX KEY: 0001766140 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 813638692 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4300 EL CAMINO REAL, SUITE 210 CITY: LOS ALTOS STATE: CA ZIP: 94022 BUSINESS PHONE: 650-384-0642 MAIL ADDRESS: STREET 1: 4300 EL CAMINO REAL, SUITE 210 CITY: LOS ALTOS STATE: CA ZIP: 94022 4 1 ownership.xml X0407 4 2023-07-11 0 0001766140 Unicycive Therapeutics, Inc. UNCY 0001551965 Aggarwal Gaurav C/O UNICYCIVE THERAPEUTICS, INC. 4300 EL CAMINO REAL, SUITE 210 LOS ALTOS, CA 94022 1 0 0 0 0 Common Stock 2023-07-11 4 C 0 3470152 A 3470152 I By Vivo Opportunity Fund Holdings, L.P. Series A-1 Preferred Stock 0.49 2023-07-11 4 C 0 8077 1000 D Common Stock 59961729 0 I By Vivo Opportunity Fund Holdings, L.P. Series A-2 Preferred Stock 2023-07-11 4 C 0 13429000 0 A Common Stock 13429000 13429000 I By Vivo Opportunity Fund Holdings, L.P. Tranche A Warrants (right to buy) 0.5390 2023-07-11 4 C 0 12802388 0 A Series A-3 Preferred Stock 12802388 12802388 I By Vivo Opportunity Fund Holdings, L.P. Tranche B Warrants (right to buy) 0.5929 2023-07-11 4 C 0 11638534 0 A Series A-4 Preferred Stock 11638534 11638534 I By Vivo Opportunity Fund Holdings, L.P. Tranche C Warrants (right to buy) 0.7411 2023-07-11 4 C 0 18621655 0 A Series A-5 Preferred Stock 18621655 18621655 I By Vivo Opportunity Fund Holdings, L.P. On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date. Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date. The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones. /s/ Gaurav Aggarwal 2023-07-13