UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
MPM ASSET MANAGEMENT
THE JOHN HANCOCK TOWER
200 CLARENDON STREET, 54TH FLOOR
BOSTON, MASSACHUSETTS 02116
TELEPHONE: (617) 425-9200
Authorized to Receive Notices and Communications)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.o
Note:Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,see theNotes).
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III-QP, L.P. | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 5,520,230(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 5,520,230(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
5,520,230(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
15.9%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III, L.P. | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 371,161(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 371,161(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
371,161(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
1.1%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM Asset Management Investors 2002 BVIII LLC | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 109,062(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 109,062(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
109,062(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
0.3%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III Parallel Fund, L.P. | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 166,763(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 166,763(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
166,763(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
0.5%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III GmbH & Co. Beteiligungs KG | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Germany | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 466,486(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 466,486(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
466,486(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
1.4%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures Strategic Fund, L.P. | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 267,183 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 0 | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 267,183 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
0 | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
267,183 | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
0.8%(2) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III GP, L.P. | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,791,823(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,791,823(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,791,823(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.4%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
PN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS MPM BioVentures III LLC | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
WC | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
Delaware | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,791,823(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,791,823(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,791,823(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.4%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
OO |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Luke Evnin | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Ansbert Gadicke | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Nicholas Galakatos | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Michael Steinmetz | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Kurt Wheeler | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Nicholas Simon III | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 46,622(2) | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(3) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 46,622(2) | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
6,900,885(3) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,947,507(2)(3) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.8%(4) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
CUSIP No. | 043387 10 9 | 13D |
1. | NAME OF REPORTING PERSONS Dennis Henner | ||||||||||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | ||||||||||
(a) o | |||||||||||
(b) þ(1) | |||||||||||
3. | SEC USE ONLY | ||||||||||
4. | SOURCE OF FUNDS (SEE INSTRUCTIONS) | ||||||||||
OO | |||||||||||
5. | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) | ||||||||||
o | |||||||||||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||||||||
United States | |||||||||||
7. | SOLE VOTING POWER | ||||||||||
NUMBER OF | 0 | ||||||||||
SHARES | 8. | SHARED VOTING POWER | |||||||||
BENEFICIALLY | |||||||||||
OWNED BY | 6,900,885(2) | ||||||||||
EACH | 9. | SOLE DISPOSITIVE POWER | |||||||||
REPORTING | |||||||||||
PERSON | 0 | ||||||||||
WITH | 10. | SHARED DISPOSITIVE POWER | |||||||||
�� | |||||||||||
6,900,885(2) | |||||||||||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||||||||
6,900,885(2) | |||||||||||
12. | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||||||||
o | |||||||||||
13. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 | ||||||||||
19.7%(3) | |||||||||||
14. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||||||||
IN |
Shares | Warrants | Options | Shared | Sole | Shared | |||||||||||||||||||||||||||||||
MPM | Held | Held | Held | Sole Voting | Voting | Dispositive | Dispositive | Beneficial | Percentage | |||||||||||||||||||||||||||
Entity | Directly | Directly | Directly | Power | Power | Power | Power | Ownership | of Class (1) | |||||||||||||||||||||||||||
BV III QP | 4,241,787 | 1,278,443 | 0 | 5,520,230 | 0 | 5,520,230 | 0 | 5,520,230 | 15.9 | % | ||||||||||||||||||||||||||
BV III | 285,204 | 85,957 | 0 | 371,161 | 0 | 371,161 | 0 | 371,161 | 1.1 | % | ||||||||||||||||||||||||||
AM LLC | 83,805 | 25,257 | 0 | 109,062 | 0 | 109,062 | 0 | 109,062 | 0.3 | % | ||||||||||||||||||||||||||
BV III PF | 128,140 | 38,623 | 0 | 166,763 | 0 | 166,763 | 0 | 166,763 | 0.5 | % | ||||||||||||||||||||||||||
BV III KG | 358,453 | 108,033 | 0 | 466,486 | 0 | 466,486 | 0 | 466,486 | 1.4 | % | ||||||||||||||||||||||||||
BV SF | 267,183 | 0 | 0 | 267,183 | 0 | 267,183 | 0 | 267,183 | 0.8 | % | ||||||||||||||||||||||||||
BV III GP(2) | 0 | 0 | 0 | 0 | 6,791,823 | 0 | 6,791,823 | 6,791,823 | 19.4 | % | ||||||||||||||||||||||||||
BV III LLC(2) | 0 | 0 | 0 | 0 | 6,791,823 | 0 | 6,791,823 | 6,791,823 | 19.4 | % | ||||||||||||||||||||||||||
Luke Evnin(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % | ||||||||||||||||||||||||||
Ansbert Gadicke(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % | ||||||||||||||||||||||||||
Nicholas Galakatos(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % | ||||||||||||||||||||||||||
Michael Steinmetz(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % | ||||||||||||||||||||||||||
Kurt Wheeler(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % | ||||||||||||||||||||||||||
Nicholas Simon III ( 3)(4) | 4,402 | 0 | 42,220 | 46,622 | 6,900,885 | 46,622 | 6,900,885 | 6,947,507 | 19.8 | % | ||||||||||||||||||||||||||
Dennis Henner(3) | 0 | 0 | 0 | 0 | 6,900,885 | 0 | 6,900,885 | 6,900,885 | 19.7 | % |
(1) | This percentage is calculated based upon 33,461,975 shares of the Issuer’s Common Stock outstanding on July 31, 2010, as adjusted pursuant to Rule 13d-3(d)(1) promulgated under the Securities Act, as set forth in the Issuer’s most recent Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on August 16, 2010. | |
(2) | BV III GP and BV III LLC are the direct and indirect general partners of BV III QP, BV III, BV III PF, BV III KG and BV SF. The securities are held as follows: BV III QP: 4,241,787 shares of Common Stock and warrants to purchase 1,278,443 shares of Common Stock; BV III: 285,204 shares of Common Stock and warrants to purchase 85,957 shares of Common Stock; BV III PF: 128,140 shares of Common Stock and warrants to purchase 38,623 shares of Common Stock; BV III KG: 358,453 shares of Common Stock and warrants to purchase 108,033 shares of Common Stock; and BV SF: 267,183 shares of Common Stock. | |
(3) | The Reporting Person is a member of BV III LLC and AM LLC. The securities are held as follows: BV III QP: 4,241,787 shares of Common Stock and warrants to purchase 1,278,443 shares of Common Stock; BV III: 285,204 shares of Common Stock and warrants to purchase 85,957 shares of Common Stock; BV III PF: 128,140 shares of Common Stock and warrants to purchase 38,623 shares of Common Stock; BV III KG: 358,453 shares of Common Stock and warrants to purchase 108,033 shares of Common Stock; and BV SF: 267,183 shares of Common Stock. and AM LLC: 83,805 shares of Common Stock and warrants to purchase 25,257 shares of Common Stock. | |
(4) | Includes 42,220 shares issuable upon the exercise of options that are exercisable within 60 days of the filing date. |
MPM BIOVENTURES III, L.P. | MPM BIOVENTURES III-QP, L.P. | |||||||||||
By: | MPM BioVentures III GP, L.P., | By: | MPM BioVentures III GP, L.P., | |||||||||
its General Partner | its General Partner | |||||||||||
By: | MPM BioVentures III LLC, | By: | MPM BioVentures III LLC, | |||||||||
its General Partner | its General Partner | |||||||||||
By: | /s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||||
Name: | Luke Evnin | Name: | Luke Evnin | |||||||||
Title: | Series A Member | Title: | Series A Member | |||||||||
MPM BIOVENTURES III PARALLEL FUND, L.P. | MPM BIOVENTURES III GMBH & CO. BETEILIGUNGS KG | |||||||||||
By: | MPM BioVentures III GP, L.P., | By: | MPM BioVentures III GP, L.P., | |||||||||
its General Partner | in its capacity as the Managing Limited Partner | |||||||||||
By: | MPM BioVentures III LLC, | By: | MPM BioVentures III LLC, | |||||||||
its General Partner | its General Partner | |||||||||||
By: | /s/ Luke Evnin | By: | /s/ Luke Evnin | |||||||||
Name: | Luke Evnin | Name: | Luke Evnin | |||||||||
Title: | Series A Member | Title: | Series A Member |
MPM ASSET MANAGEMENT INVESTORS 2002 | MPM BIOVENTURES STRATEGIC FUND, L.P. | |||||||||||
BVIII LLC | ||||||||||||
By: | MPM BioVentures III GP, L.P., | |||||||||||
By: | /s/ Luke Evnin | its General Partner | ||||||||||
Name: | Luke Evnin | |||||||||||
Title: | Manager | By: | MPM BioVentures III LLC, | |||||||||
its General Partner | ||||||||||||
By: | /s/ Luke Evnin | |||||||||||
Name: | Luke Evnin | |||||||||||
Title: | Series A Member |
MPM BIOVENTURES III GP, L.P. | MPM BIOVENTURES III LLC | |||||||||||
By: | MPM BioVentures III LLC, | By: | /s/ Luke Evnin | |||||||||
its General Partner | Name: | Luke Evnin | ||||||||||
Title: | Series A Member | |||||||||||
By: | /s/ Luke Evnin | |||||||||||
Name: | Luke Evnin | |||||||||||
Title: | Series A Member |
By: | /s/ Luke Evnin | By: | /s/ Ansbert Gadicke | |||||||||
Name: | Luke Evnin | Name: | Ansbert Gadicke |
By: | /s/ Nicholas Galakatos | By: | /s/ Michael Steinmetz | |||||||||
Name: | Nicholas Galakatos | Name: | Michael Steinmetz | |||||||||
By: | /s/ Kurt Wheeler | By: | /s/ Nicholas Simon III | |||||||||
Name: | Kurt Wheeler | Name: | Nicholas Simon III | |||||||||
By: | /s/ Dennis Henner | |||||||||||
Name: | Dennis Henner |
constitute Federal criminal violations (See 18 U.S.C. 1001)
A. | Agreement regarding joint filing of Schedule 13D. |