0000899243-20-028479.txt : 20201016
0000899243-20-028479.hdr.sgml : 20201016
20201016123413
ACCESSION NUMBER: 0000899243-20-028479
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201014
FILED AS OF DATE: 20201016
DATE AS OF CHANGE: 20201016
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RiverVest Venture Fund III, L.P.
CENTRAL INDEX KEY: 0001601559
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39594
FILM NUMBER: 201243444
BUSINESS ADDRESS:
STREET 1: 7733 FORSYTH BOULEVARD
CITY: ST. LOUIS
STATE: MO
ZIP: 63105
BUSINESS PHONE: 314-726-6700
MAIL ADDRESS:
STREET 1: 7733 FORSYTH BOULEVARD
CITY: ST. LOUIS
STATE: MO
ZIP: 63105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RiverVest Venture Fund III (Ohio), L.P.
CENTRAL INDEX KEY: 0001636686
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39594
FILM NUMBER: 201243445
BUSINESS ADDRESS:
STREET 1: 11000 CEDAR AVENUE
STREET 2: SUITE 100
CITY: CLEVELAND
STATE: OH
ZIP: 44106-3502
BUSINESS PHONE: 314-726-6700
MAIL ADDRESS:
STREET 1: 11000 CEDAR AVENUE
STREET 2: SUITE 100
CITY: CLEVELAND
STATE: OH
ZIP: 44106-3502
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RiverVest Venture Fund IV, L.P.
CENTRAL INDEX KEY: 0001725443
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39594
FILM NUMBER: 201243446
BUSINESS ADDRESS:
STREET 1: 101 SOUTH HANLEY ROAD, SUITE 1850
CITY: ST. LOUIS
STATE: MO
ZIP: 63105
BUSINESS PHONE: (314) 726-6700
MAIL ADDRESS:
STREET 1: 101 SOUTH HANLEY ROAD, SUITE 1850
CITY: ST. LOUIS
STATE: MO
ZIP: 63105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPRUCE BIOSCIENCES, INC.
CENTRAL INDEX KEY: 0001683553
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 812154263
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2001 JUNIPERO SERRA BLVD., SUITE 640
CITY: DALY CITY
STATE: CA
ZIP: 94104
BUSINESS PHONE: (415) 294-1687
MAIL ADDRESS:
STREET 1: 2001 JUNIPERO SERRA BLVD., SUITE 640
CITY: DALY CITY
STATE: CA
ZIP: 94104
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-10-14
1
0001683553
SPRUCE BIOSCIENCES, INC.
SPRB
0001601559
RiverVest Venture Fund III, L.P.
101 S. HANLEY ROAD SUITE 1850
ST. LOUIS
MO
63105
0
0
1
0
0001636686
RiverVest Venture Fund III (Ohio), L.P.
101 S. HANLEY ROAD SUITE 1850
ST. LOUIS
MO
63105
0
0
1
0
0001725443
RiverVest Venture Fund IV, L.P.
101 S. HANLEY ROAD SUITE 1850
ST. LOUIS
MO
63105
0
0
1
0
Common Stock
2020-10-14
4
C
0
1070172
A
1070172
I
See footnotes
Common Stock
2020-10-14
4
C
0
828109
A
1898281
I
See footnotes
Common Stock
2020-10-14
4
P
0
250000
15.00
A
2148281
I
See footnote
Series A Preferred Stock
2020-10-14
4
C
0
7000000
0.00
D
Common Stock
1070172
0
I
See footnotes
Series B Preferred Stock
2020-10-14
4
C
0
5416666
0.00
D
Common Stock
828109
0
I
See footnotes
Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into 0.152881822351322 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering on October 14, 2020 (on an adjusted basis, after giving effect to the 1-for-6.541 reverse stock split of the common stock effected by the Issuer on October 2, 2020). The shares have no expiration date.
Consists of (i) shares held of record by RiverVest Venture Fund III, L.P. ("RiverVest III"), and (ii) RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III").
The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III.
The individual managers of RiverVest Ventures Partners III, LLC are Thomas C. Melzer, Jay Schmelter and John P. McKearn, Ph.D. RiverVest Partners III, RiverVest Partners (Ohio) III, RiverVest Venture Partners III, LLC and each of the individual managers share voting and dispositive power with regard to the Issuer's securities directly held by RiverVest Venture Fund III, L.P. and RiverVest Venture Fund III (Ohio), L.P.
Consists of (i) shares held of record by RiverVest III, (ii) RiverVest (Ohio) III, and (iii) RiverVest Venture Fund IV, L.P. ("RiverVest IV").
The shares held by RiverVest IV are indirectly held by RiverVest Venture Partners IV, L.P., its general partner ("RiverVest Partners IV"). RiverVest Venture Partners IV, LLC is the general partner of RiverVest Partners IV. The individual managers of RiverVest Ventures Partners IV, LLC are Jay Schmelter, John P. McKearn, Ph.D. and Niall O'Donnell, a member of the Issuer's board of directors. RiverVest Partners IV, RiverVest Venture Partners IV, LLC and each of the individual managers share voting and dispositive power with regard to the Company's securities directly held by RiverVest IV.
RiverVest IV purchased the shares in the Issuer's initial public offering.
The 2,148,281 shares consists of (i) 1,379,177 shares held of record by RiverVest III, (ii) 73,199 shares held of record by RiverVest (Ohio) III, and (iii) 445,905 shares held of record by RiverVest IV.
/s/ Jay Schmelter, Manager of RiverVest Venture Partners III, LLC
2020-10-16
/s/ Jay Schmelter, Manager of RiverVest Venture Partners IV, LLC
2020-10-16