SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/25/2015 | 3. Issuer Name and Ticker or Trading Symbol Seres Therapeutics, Inc. [ MCRB ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3,055,556 | I | See Footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | (5) | (5) | Common Stock | 6,105,362 | (5) | I | See Footnote(2) |
Series A Convertible Preferred Stock | (5) | (5) | Common Stock | 1,526,338 | (5) | I | See Footnote(3) |
Series A Convertible Preferred Stock | (5) | (5) | Common Stock | 599,297 | (5) | I | See Footnote(4) |
Series A-2 Convertible Preferred Stock | (5) | (5) | Common Stock | 898,877 | (5) | I | See Footnote(2) |
Series A-2 Convertible Preferred Stock | (5) | (5) | Common Stock | 224,719 | (5) | I | See Footnote(3) |
Series B Convertible Preferred Stock | (5) | (5) | Common Stock | 1,818,181 | (5) | I | See Footnote(2) |
Series B Convertible Preferred Stock | (5) | (5) | Common Stock | 454,546 | (5) | I | See Footnote(3) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Held by Flagship VentureLabs IV LLC ("Flagship VentureLabs"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of Flagship VentureLabs and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship VentureLabs. Each of the filing persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. |
2. Held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. |
3. Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship Fund IV GP is the general partner of Flagship IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. Flagship Fund IV GP and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. |
4. Held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 LLC") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. Flagship 2007 LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the filing persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein. |
5. Each class of preferred stock is convertible into Common Stock on a 1-for-1 basis upon the listing of the issuer's securities on The NASDAQ Global Select Exchange and has no expiration date. |
Remarks: |
NOUBAR B. AFEYAN, PH.D, /s/ Noubar Afeyan | 06/25/2015 | |
FLAGSHIP VENTURES FUND 2007, L.P., By: Flagship Ventures 2007 General Partner, LLC, By: /s/ Noubar Afeyan, Name: Noubar B. Afeyan, Title: Manager | 06/25/2015 | |
FLAGSHIP VENTURES 2007 GENERAL PARTNER, LLC, By: /s/ Noubar Afeyan, Name: Noubar B. Afeyan, Title: Manager | 06/25/2015 | |
FLAGSHIP VENTURES FUND IV, L.P., By: Flagship Ventures Fund IV General Partner, LLC, By: /s/ Noubar Afeyan, Name: Noubar B. Afeyan, Title: Manager | 06/25/2015 | |
FLAGSHIP VENTURES FUND IV GENERAL PARTNER LLC, By: /s/ Noubar Afeyan, Name: Noubar B. Afeyan, Title: Manager | 06/25/2015 | |
FLAGSHIP VENTURES FUND IV-RX, L.P., By: Flagship Ventures 2007 General Partner, LLC, By: /s/ Noubar Afeyan, Name: Noubar B. Afeyan, Title: Manager | 06/25/2015 | |
FLAGSHIP VENTURELABS IV, LLC, By: Flagship Ventures Fund IV General Partner LLC, By: /s/ Noubar Afeyan | 06/25/2015 | |
EDWIN M. KANIA, JR., /s/ Edwin Kania, Jr. | 06/25/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |