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) 06/11/2015 | 3. Issuer Name and Ticker or Trading Symbol Invuity, Inc. [ IVTY ] | |||||||||||||
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) |
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 C Preferred Stock | (1) | (1) | Common Stock | 757,721 | (1) | D(2) | |
Series D Preferred Stock | (3) | (3) | Common Stock | 264,624 | (3) | D(2) | |
Series E Preferred Stock | (4) | (4) | Common Stock | 57,927 | (4) | D(2) |
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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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. 712,291 outstanding shares of Series C Preferred Stock shall automatically convert into 757,721 shares of common stock, on a 1.06378132118451-for-one basis, immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. |
2. The shares are owned by InterWest Partners X, LP ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10. Bruce A. Cleveland, Philip T. Gianos, W. Stephen Holmes, Nina S. Kjellson, Gilbert H. Kliman, Arnold L. Oronsky, and Douglas A. Pepper are managing directors of IMP10. Keval Desai and Khaled A. Nasr are venture members of IMP10. Each managing director and venture member of IMP10 disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein. |
3. 262,310 outstanding shares of Series D Preferred Stock shall automatically convert into 264,624 shares of common stock, on a 1.008821799-for-one basis, immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. |
4. 56,368 outstanding shares of Series E Preferred Stock shall automatically convert into 57,927 shares of common stock, on a 1.027662672-for-one basis, immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. |
Remarks: |
Due to limitations of the EDGAR software, this Form 3 is filed on behalf of InterWest Partners X, LP and certain other Reporting Persons, and is being filed on two Forms 3 (Part I and Part II) (collectively, the "InterWest Form 3'"). This filing represents Part I of the InterWest Form 3 and should be read together with Part II. Part I and Part II of the InterWest Form 3 shall constitute one filing. Exhibit 24.1 - Power of Attorney of Bruce A. Cleveland Exhibit 24.2 - Power of Attorney of Keval Desai Exhibit 24.3 - Power of Attorney of Philip T. Gianos Exhibit 24.4 - Power of Attorney of W. Stephen Holmes Exhibit 24.5 - Power of Attorney of Nina S. Kjellson Exhibit 24.6 - Power of Attorney of Gilbert H. Kliman Exhibit 24.7 - Power of Attorney of Khaled A. Nasr Exhibit 24.8 - Power of Attorney of Arnold L. Oronsky Exhibit 24.9 - Power of Attorney of Douglas A. Pepper Exhibit 99 - Form 3 Joint Filer Information Form 1 of 2. |
/s/ W. Stephen Holmes, Managing Director of of InterWest Management Partners X, LLC | 06/11/2015 | |
/s/ W. Stephen Holmes, Managing Director of of InterWest Management Partners X, LLC, the General Partner of InterWest Partners X, LP | 06/11/2015 | |
/s/ Bruce A. Cleveland, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Keval Desai, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Philip T. Gianos, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ W. Stephen Holmes, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Nina S. Kjellson, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Gilbert H. Kliman, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Khaled A. Nasr, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
/s/ Arnold L. Oronsky, by Karen A. Wilson Power of Attorney | 06/11/2015 | |
** 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. |