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