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 B Preferred Stock | (1) | (2) | Common Stock | 414,047 | (1) | I | See Footnotes(3)(4) |
Series C Preferred Stock | (5) | (2) | Common Stock | 320,389 | (5) | I | See Footnotes(4)(6) |
Series D Preferred Stock | (7) | (2) | Common Stock | 207,955 | (7) | I | See Footnotes(4)(8) |
Series E Preferred Stock | (9) | (2) | Common Stock | 19,308 | (7) | I | See Footnotes(4)(10) |
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. 348,585 outstanding shares of Series B Preferred Stock shall automatically convert into 414,047 shares of Common Stock, on a 1.18779522532874-for-one basis, immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. |
2. Not applicable. |
3. Kleiner Perkins Caufield & Byers XII, LLC ("KPCB XII") owns 310,101 shares. KPCB XII Founders Fund, LLC ("KPCB XII Founders") owns 5,926 shares. Excludes 32,558 shares in the aggregate beneficially owned by individuals and entities associated with Kleiner Perkins Caufield & Byers and held for convenience in the name of "KPCB Holdings, Inc. as nominee" for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares. |
4. The managing member of KPCB XII and KPCB XII Founders is KPCB XII Associates, LLC ("XII Associates"). The voting and dispositive control over the shares is shared by individual managing directors of XII Associates, none of whom has veto power. |
5. 301,180 outstanding shares of Series C Preferred Stock shall automatically convert into 320,389 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. |
6. KPCB XII owns 269,617 shares. KPCB XII Founders owns 3,433 shares. Excludes 28,130 shares in the aggregate beneficially owned by individuals and entities associated with Kleiner Perkins Caufield & Byers and held for convenience in the name of "KPCB Holdings, Inc. as nominee" for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares. |
7. 206,137 outstanding shares of Series D Preferred Stock shall automatically convert into 207,955 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. |
8. KPCB XII owns 184,534 shares. KPCB XII Founders owns 2,350 shares. Excludes 19,253 shares in the aggregate beneficially owned by individuals and entities associated with Kleiner Perkins Caufield & Byers and held for convenience in the name of "KPCB Holdings, Inc. as nominee" for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares. |
9. 18,789 outstanding shares of Series E Preferred Stock shall automatically convert into 19,308 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. |
10. KPCB XII owns 16,820 shares. KPCB XII Founders owns 214 shares. Excludes 1,755 shares in the aggregate beneficially owned by individuals and entities associated with Kleiner Perkins Caufield & Byers and held for convenience in the name of "KPCB Holdings, Inc. as nominee" for the accounts of such individuals and entities who each exercise their own voting and dispositive control over such shares. |
Remarks: |
The Reporting Persons disclaim beneficial ownership of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that the Reporting Persons are the beneficial owners of these shares for purposes of Section 16 or for any other purpose. |
/s/ Paul Vronsky, General Counsel | 06/11/2015 | |
/s/ Paul Vronsky, General Counsel | 06/11/2015 | |
/s/ Paul Vronsky, General Counsel | 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. |