UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDERTHE SECURITIES EXCHANGE ACTOF 1934
(Amendment No. )*
KaloBios Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
48344T 10 0
(CUSIP Number)
December 31, 2013
(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
¨ Rule 13d-1(c)
x Rule 13d-1(d)
* | 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 the disclosures provided in a prior cover page. |
The information required in 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 the Notes).
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III, L.P. |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 129,865* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 129,865* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 129,865* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 0.4% |
12. | | Type of Reporting Person (See Instructions) PN |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 2 of 25
CUSIP No. 48344T 10 0
| | | | | | |
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) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 1,931,357* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 1,931,357* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 1,931,357* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 5.9% |
12. | | Type of Reporting Person (See Instructions) PN |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 3 of 25
CUSIP No. 48344T 10 0
| | | | | | |
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) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 58,340* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 58,340* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 58,340* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 0.2% |
12. | | Type of Reporting Person (See Instructions) PN |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 4 of 25
CUSIP No. 48344T 10 0
| | | | | | |
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) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Germany |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 163,207* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 163,207* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 163,207* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 0.5% |
12. | | Type of Reporting Person (See Instructions) PN |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 5 of 25
CUSIP No. 48344T 10 0
| | | | | | |
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) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 315,950* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 315,950* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 315,950* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 1.0% |
12. | | Type of Reporting Person (See Instructions) PN |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 6 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons MPM Asset Management Investors 2005 BVIII LLC |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 34,209* |
| 6. | | Shared Voting Power 0 |
| 7. | | Sole Dispositive Power 34,209* |
| 8. | | Shared Dispositive Power 0 |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 34,209* |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 0.1% |
12. | | Type of Reporting Person (See Instructions) OO |
* | All of the shares were sold subsequent to December 31, 2013. |
Page 7 of 25
CUSIP No. 48344T 10 0
| | | | | | |
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) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,598,719* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,598,719* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,598,719* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 7.9% |
12. | | Type of Reporting Person (See Instructions) PN |
* | The shares are held as follows: 1,931,357 by MPM BioVentures III-QP, L.P. (“BV III QP”), 129,865 by MPM BioVentures III, L.P. (“BV III”), 58,340 by MPM BioVentures III Parallel Fund, L.P. (“BV Parallel”), 163,207 by MPM BioVentures III GmbH & Co. Beteiligungs KG (“BV KG”) and 315,950 by MPM BioVentures Strategic Fund, L.P. (“BV SF”). The Reporting Person is the direct general partner of BV III QP, BV III, BV Parallel, BV KG and BV SF. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 8 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons MPM BioVentures III LLC |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization Delaware |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,598,719* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,598,719* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,598,719* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 7.9% |
12. | | Type of Reporting Person (See Instructions) OO |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. The Reporting Person is the indirect general partner of BV III QP, BV III, BV Parallel, BV KG and BV SF. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 9 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Luke Evnin |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by MPM Asset Management Investors 2005 BVIII LLC (“AM 2005”), 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM BioVentures III GP, L.P. (“MPM III GP”) and MPM BioVentures III LLC (“MPM III LLC”) are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 10 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Ansbert Gadicke |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 11 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Nicholas Galakatos |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 12 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Michael Steinmetz |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 13 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Kurt Wheeler |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | All of the shares were sold subsequent to December 31, 2013. |
Page 14 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Nicholas Simon III |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 0 |
| 6. | | Shared Voting Power 2,632,928* ** |
| 7. | | Sole Dispositive Power 0 |
| 8. | | Shared Dispositive Power 2,632,928* ** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* ** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
Page 15 of 25
CUSIP No. 48344T 10 0
| | | | | | |
1. | | Name of Reporting Persons Dennis Henner |
2. | | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x |
3. | | SEC USE ONLY |
4. | | Citizenship or Place of Organization United States |
Number of Shares Beneficially Owned by Each Reporting Person With: | | 5. | | Sole Voting Power 5,000 ** |
| 6. | | Shared Voting Power 2,632,928* *** |
| 7. | | Sole Dispositive Power 5,000 ** |
| 8. | | Shared Dispositive Power 2,632,928* *** |
9. | | Aggregate Amount Beneficially Owned by Each Reporting Person 2,632,928* *** |
10. | | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨ |
11. | | Percent of Class Represented by Amount in Row (9) 8.0% |
12. | | Type of Reporting Person (See Instructions) IN |
* | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
** | Represents shares issuable pursuant to options exercisable within 60 days of December 31, 2013. |
*** | All of the shares were sold subsequent to December 31, 2013. |
Page 16 of 25
KaloBios Pharmaceuticals, Inc.
| (b) | Address of Issuer’s Principal Executive Offices |
260 East Grand Avenue
South San Francisco, CA 94080
MPM BioVentures III, LP
MPM BioVentures III-QP, L.P.
MPM BioVentures III Parallel Fund, L.P.
MPM BioVentures III GmbH & Co. Beteiligungs KG
MPM Asset Management Investors 2005 BVIII LLC
MPM BioVentures III GP, L.P.
MPM BioVentures III LLC
MPM BioVentures Strategic Fund, L.P.
Luke Evnin
Ansbert Gadicke
Nicholas Galakatos
Michael Steinmetz
Kurt Wheeler
Nicholas Simon III
Dennis Henner
| (b) | Address of Principal Business Office or, if none, Residence |
c/o MPM Capital LLC
The John Hancock Tower
200 Clarendon Street, 54th Floor
Boston, MA 02116
All entities were organized in Delaware except MPM BioVentures III GmbH & Co. Beteiligungs KG, which was organized in Germany. The individuals are all United States citizens.
| (d) | Title of Class of Securities |
Common Stock
48344T 10 0
Item 3. | If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: |
Not applicable
Page 17 of 25
| (a) | Amount Beneficially Owned as of December 31, 2013: |
| | | | |
MPM BioVentures III, L.P. | | | 129,865 | |
MPM BioVentures III-QP, L.P. | | | 1,931,357 | |
MPM BioVentures III Parallel Fund, L.P. | | | 58,340 | |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 163,207 | |
MPM BioVentures Strategic Fund, L.P. | | | 315,950 | |
MPM Asset Management Investors 2005 BVIII LLC | | | 34,209 | |
MPM BioVentures III GP, L.P. | | | 2,598,719 | (1) |
MPM BioVentures III LLC | | | 2,598,719 | (1) |
Ansbert Gadicke | | | 2,632,928 | (2) |
Luke B. Evnin | | | 2,632,928 | (2) |
Nicholas Galakatos | | | 2,632,928 | (2) |
Michael Steinmetz | | | 2,632,928 | (2) |
Kurt Wheeler | | | 2,632,928 | (2) |
Nicholas Simon III | | | 2,632,928 | (2) |
Dennis Henner | | | 2,637,928 | (2)(3) |
Percent of Class as of December 31, 2013:
| | | | |
MPM BioVentures III, L.P. | | | 0.4 | % |
MPM BioVentures III-QP, L.P. | | | 5.9 | % |
MPM BioVentures III Parallel Fund, L.P. | | | 0.2 | % |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 0.5 | % |
MPM BioVentures Strategic Fund, L.P. | | | 1.0 | % |
MPM Asset Management Investors 2005 BVIII LLC | | | 0.1 | % |
MPM BioVentures III GP, L.P. | | | 7.9 | % |
MPM BioVentures III LLC | | | 7.9 | % |
Ansbert Gadicke | | | 8.0 | % |
Luke B. Evnin | | | 8.0 | % |
Nicholas Galakatos | | | 8.0 | % |
Michael Steinmetz | | | 8.0 | % |
Kurt Wheeler | | | 8.0 | % |
Nicholas Simon III | | | 8.0 | % |
Dennis Henner | | | 8.0 | % |
Page 18 of 25
| (b) | Number of shares as to which the person has as of December 31, 2013: |
| (i) | Sole power to vote or to direct the vote |
| | | | |
MPM BioVentures III, L.P. | | | 129,865 | |
MPM BioVentures III-QP, L.P. | | | 1,931,357 | |
MPM BioVentures III Parallel Fund, L.P. | | | 58,340 | |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 163,207 | |
MPM BioVentures Strategic Fund, L.P. | | | 315,950 | |
MPM Asset Management Investors 2005 BVIII LLC | | | 34,209 | |
MPM BioVentures III GP, L.P. | | | 0 | |
MPM BioVentures III LLC | | | 0 | |
Ansbert Gadicke | | | 0 | |
Luke B. Evnin | | | 0 | |
Nicholas Galakatos | | | 0 | |
Michael Steinmetz | | | 0 | |
Kurt Wheeler | | | 0 | |
Nicholas Simon III | | | 0 | |
Dennis Henner | | | 0 | |
| (ii) | Shared power to vote or to direct the vote |
| | | | |
MPM BioVentures III, L.P. | | | 0 | |
MPM BioVentures III-QP, L.P. | | | 0 | |
MPM BioVentures III Parallel Fund, L.P. | | | 0 | |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 0 | |
MPM BioVentures Strategic Fund, L.P. | | | 0 | |
MPM Asset Management Investors 2005 BVIII LLC | | | 0 | |
MPM BioVentures III GP, L.P. | | | 2,598,719 | (1) |
MPM BioVentures III LLC | | | 2,598,719 | (1) |
Ansbert Gadicke | | | 2,632,928 | (2) |
Luke B. Evnin | | | 2,632,928 | (2) |
Nicholas Galakatos | | | 2,632,928 | (2) |
Michael Steinmetz | | | 2,632,928 | (2) |
Kurt Wheeler | | | 2,632,928 | (2) |
Nicholas Simon III | | | 2,632,928 | (2) |
Dennis Henner | | | 2,637,928 | (2)(3) |
| (iii) | Sole power to dispose or to direct the disposition of |
| | | | |
MPM BioVentures III, LP | | | 129,865 | |
MPM BioVentures III-QP, L.P. | | | 1,931,357 | |
MPM BioVentures III Parallel Fund, L.P. | | | 58,340 | |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 163,207 | |
MPM BioVentures Strategic Fund, L.P. | | | 315,950 | |
MPM Asset Management Investors 2005 LLC | | | 34,209 | |
MPM Asset Management III, L.P. | | | 0 | |
MPM Asset Management III LLC | | | 0 | |
Ansbert Gadicke | | | 0 | |
Luke Evnin | | | 0 | |
Nicholas Galakatos | | | 0 | |
Michael Steinmetz | | | 0 | |
Kurt Wheeler | | | 0 | |
Nicholas Simon III | | | 0 | |
Dennis Henner | | | 0 | |
Page 19 of 25
| (iv) | Shared power to dispose or to direct the disposition of |
| | | | |
MPM BioVentures III, LP | | | 0 | |
MPM BioVentures III-QP, L.P. | | | 0 | |
MPM BioVentures III Parallel Fund, L.P. | | | 0 | |
MPM BioVentures III GmbH & Co. Parallel-Beteiligungs KG | | | 0 | |
MPM BioVentures Strategic Fund, L.P. | | | 0 | |
MPM Asset Management Investors 2005 BVIII LLC | | | 0 | |
MPM BioVentures III GP, L.P. | | | 2,598,719 | (1) |
MPM BioVentures III LLC | | | 2,598,719 | (1) |
Ansbert Gadicke | | | 2,632,928 | (2) |
Luke B. Evnin | | | 2,632,928 | (2) |
Nicholas Galakatos | | | 2,632,928 | (2) |
Michael Steinmetz | | | 2,632,928 | (2) |
Kurt Wheeler | | | 2,632,928 | (2) |
Nicholas Simon III | | | 2,632,928 | (2) |
Dennis Henner | | | 2,637,928 | (2)(3) |
(1) | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. |
(2) | The shares are held as follows: 1,931,357 by BV III QP, 129,865 by BV III, 34,209 by AM 2005, 58,340 by BV Parallel, 163,207 by BV KG and 315,950 by BV SF. MPM III GP and MPM III LLC are the direct and indirect general partners of BV III QP, BV III, BV Parallel, BV KG and BV SF. The Reporting Person is a Series A member of MPM III LLC and a manager of AM 2005. |
(3) | Includes 5,000 shares issuable upon the exercise of options that are exercisable within 60 days of the filing date. |
All of the shares held were sold subsequent to December 31, 2013.
Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following¨.
Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not Applicable
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Not Applicable
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Item 8. | Identification and Classification of Members of the Group |
Not Applicable
Item 9. | Notice of Dissolution of a Group |
Not Applicable
Not Applicable
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 12, 2014
| | | | | | | | |
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., | | | | | | |
| | its General Partner | | | | By: | | MPM BioVentures III GP, L.P., |
| | | | | | | | in its capacity as the Managing Limited Partner |
By: | | MPM BioVentures III LLC, | | | | | | |
| | its General Partner | | | | By: | | MPM BioVentures III LLC, |
| | | | | | | | its General Partner |
| | | | |
By: | | /s/ Luke Evnin | | | | | | |
| | Name: Luke Evnin | | | | By: | | /s/ Luke Evnin |
| | Title: Series A Member | | | | | | Name: Luke Evnin |
| | | | | | | | Title: Series A Member |
| | |
MPM ASSET MANAGEMENT INVESTORS 2005 BVIII LLC | | | | MPM BIOVENTURES STRATEGIC FUND, L.P. |
| | | | |
| | | | | | 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 | | | | | | |
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| | | | | | | | |
| | | | |
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 | | | | | | |
EXHIBITS
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