0001104659-23-074425.txt : 20230623 0001104659-23-074425.hdr.sgml : 20230623 20230623213821 ACCESSION NUMBER: 0001104659-23-074425 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230621 FILED AS OF DATE: 20230623 DATE AS OF CHANGE: 20230623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund I, LP CENTRAL INDEX KEY: 0001697316 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039299 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund I QP, LP CENTRAL INDEX KEY: 0001700297 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039298 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II NT, LP CENTRAL INDEX KEY: 0001728851 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039295 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET, SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II, LP CENTRAL INDEX KEY: 0001714576 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039296 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BIOS Fund II QP, LP CENTRAL INDEX KEY: 0001716869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039294 BUSINESS ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-984-5964 MAIL ADDRESS: STREET 1: 1401 FOCH STREET STREET 2: SUITE 140 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kreis Leslie W. CENTRAL INDEX KEY: 0001813316 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039302 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cavu Management, LP CENTRAL INDEX KEY: 0001813270 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039300 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cavu Advisors, LLC CENTRAL INDEX KEY: 0001813310 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039301 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bios Equity Partners II, LP CENTRAL INDEX KEY: 0001813313 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039293 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bios Equity Partners, LP CENTRAL INDEX KEY: 0001813314 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41705 FILM NUMBER: 231039297 BUSINESS ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 BUSINESS PHONE: 817-381-5370 MAIL ADDRESS: STREET 1: 1751 RIVER RUN, SUITE 400 CITY: FORT WORTH STATE: TX ZIP: 76107 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Azitra Inc CENTRAL INDEX KEY: 0001701478 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 464478536 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21 BUSINESS PARK DRIVE, SUITE 6 CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: (203) 489-0183 MAIL ADDRESS: STREET 1: 21 BUSINESS PARK DRIVE, SUITE 6 CITY: BRANFORD STATE: CT ZIP: 06405 4 1 tm2319609-2_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-21 0 0001701478 Azitra Inc AZTR 0001813316 Kreis Leslie W. C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001813310 Cavu Advisors, LLC C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001813270 Cavu Management, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001697316 BIOS Fund I, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001700297 BIOS Fund I QP, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001813314 Bios Equity Partners, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001714576 BIOS Fund II, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001728851 BIOS Fund II NT, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001716869 BIOS Fund II QP, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0001813313 Bios Equity Partners II, LP C/O BIOS EQUITY PARTNERS 1751 RIVER RUN SUITE 400 FORT WORTH TX 76107 0 0 1 0 0 Convertible Notes 2023-06-21 4 S 0 77953 D 0 I Directly held by Bios Fund III, LP Common Stock 2023-06-21 4 P 0 197701 A 197701 I Directly held by Bios Fund III, LP Common Stock 2023-06-21 4 P 0 69880 5.00 A 267581 I Directly held by Bios Fund III, LP Common Stock 2023-06-21 4 C 0 137186 A 404767 I Directly held by Bios Fund III, LP Convertible Notes 2023-06-21 4 S 0 509141 D 0 I Directly held by Bios Fund III QP, LP Common Stock 2023-06-21 4 P 0 1291258 A 1291258 I Directly held by Bios Fund III QP, LP Common Stock 2023-06-21 4 P 0 456412 5.00 A 1747670 I Directly held by Bios Fund III QP, LP Common Stock 2023-06-21 4 C 0 896035 A 2643705 I Directly held by Bios Fund III QP, LP Convertible Notes 2023-06-21 4 S 0 82223 D 0 I Directly held by Bios Fund III NT, LP Common Stock 2023-06-21 4 P 0 208531 A 208531 I Directly held by Bios Fund III NT, LP Common Stock 2023-06-21 4 P 0 73708 5.00 A 282239 I Directly held by Bios Fund III NT, LP Common Stock 2023-06-21 4 C 0 144705 A 426944 I Directly held by Bios Fund III NT, LP Common Stock 2023-06-21 4 C 0 467613 A 467613 I Directly held by Bios Fund I QP, LP Common Stock 2023-06-21 4 C 0 799467 A 799467 I Directly held by Bios Fund I, LP Common Stock 2023-06-21 4 C 0 255503 A 255503 I Directly held by Bios Fund II, LP Common Stock 2023-06-21 4 C 0 57747 A 313250 I Directly held by Bios Fund II, LP Common Stock 2023-06-21 4 C 0 834632 A 834632 I Directly held by Bios Fund II QP, LP Common Stock 2023-06-21 4 C 0 188810 A 1023442 I Directly held by Bios Fund II QP, LP Common Stock 2023-06-21 4 C 0 111720 A 111720 I Directly held by Bios Fund II NT, LP Common Stock 2023-06-21 4 C 0 25280 A 137000 I Directly held by Bios Fund II NT, LP Common Stock 2023-06-21 4 C 0 436173 A 436173 I Directly held by Bios Azitra Co-Invest I, LP Common Stock 91022 I Directly held by Circle K Invesco, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 123718 0 D Common Stock 123718 0 I Directly held by Bios Fund III, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 808058 0 D Common Stock 808058 0 I Directly held by Bios Fund III QP, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 130498 0 D Common Stock 130498 0 I Directly held by Bios Fund III NT, LP Series A Convertible Preferred Stock 2023-06-21 4 C 0 467613 0 D Common Stock 467613 0 I Directly held by Bios Fund I QP, LP Series A Convertible Preferred Stock 2023-06-21 4 C 0 799467 0 D Common Stock 799467 0 I Directly held by Bios Fund I, LP Series A-1 Convertible Preferred Stock 2023-06-21 4 C 0 232908 0 D Common Stock 232908 0 I Directly held by Bios Fund II, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 52078 0 D Common Stock 52078 0 I Directly held by Bios Fund II, LP Series A-1 Convertible Preferred Stock 2023-06-21 4 C 0 412389 0 D Common Stock 412389 0 I Directly held by Bios Fund II QP, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 170272 0 D Common Stock 170272 0 I Directly held by Bios Fund II QP, LP Series A-1 Convertible Preferred Stock 2023-06-21 4 C 0 101842 0 D Common Stock 101842 0 I Directly held by Bios Fund II NT, LP Series B Convertible Preferred Stock 2023-06-21 4 C 0 22798 0 D Common Stock 22798 0 I Directly held by Bios Fund II NT, LP Series A-1 Convertible Preferred Stock 2023-06-21 4 C 0 397600 0 D Common Stock 397600 0 I Directly held by Bios Azitra Co-Invest I, LP The convertible note automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering ("IPO") at a conversion price equal to $2.50 per share. Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Azitra Co-invest I, LP ("Bios Azitra Co-invest"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Cavu Management, LP, an entity managed and controlled by Mr. Les Kreis, and Bios Capital Management, LP, an entity managed and controlled by Mr. Aaron Fletcher, are the general partners of Bios Equity I, Bios Equity II and Bios Equity III. Cavu Advisors LLC, an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management LP. Bios Advisors GP, LLC, an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Capital Management, LP. The shares owned by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Fund III, Bios Fund III QP, Bios Fund III NT and Bios Azitra Co-invest (collectively, the "Bios Equity Entities") are aggregated for purposes of reporting share ownership information. Mr. Kreis and Mr. Fletcher share voting and investment control with respect to shares held by the Bios Equity Entities. Each share of Series B Convertible Preferred Stock automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's IPO at a conversion price equal to approximately $1.11 per share, after making certain anti-dilution adjustments. The Series B Convertible Preferred Stock had no expiration date. Each share of Series A Convertible Preferred Stock automatically converted into one share of common stock of the Issuer upon the closing of the Issuer's IPO. The Series A Convertible Preferred Stock had no expiration date. Each share of Series A-1 Convertible Preferred Stock automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's IPO at a conversion price equal to approximately $1.10 per share, after making certain anti-dilution adjustments. The Series A-1 Convertible Preferred Stock had no expiration date. Shares are held by Circle K Invesco, LP, over which Mr. Kreis has sole voting and investment control. /s/ Leslie W. Kreis, Jr 2023-06-23 Cavu Advisors, LLC By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Fund I, LP By: Bios Equity Partners, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Fund I QP, LP By: Bios Equity Partners, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Equity Partners, LP By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Fund II, LP By: Bios Equity Partners II, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Fund II NT, LP By: Bios Equity Partners II, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Fund II QP, LP By: Bios Equity Partners II, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23 Bios Equity Partners II, LP By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager 2023-06-23