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SC 13D/A Filing
Viridian Therapeutics (VRDN) SC 13D/AMiragen Therapeutics, Inc.
Filed: 7 Mar 17, 12:00am
CUSIP No. 60463E103 | 13D/A | Page 2 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) Boulder Ventures V, L.P. 01-0893942 | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC USE ONLY | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization Delaware | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 1,607,437 | |
8 | Shared Voting Power | 0 | ||
9 | Sole Dispositive Power | 1,607,437 | ||
10 | Shared Dispositive Power | 0 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 1,607,437 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 7.5%* | ||
14 | Type of Reporting Person | PN |
CUSIP No. 60463E103 | 13D/A | Page 3 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) BV Partners V, L.L.C. 01-00893943 | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization Delaware | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 1,607,437 | |
8 | Shared Voting Power | 0 | ||
9 | Sole Dispositive Power | 1,607,437 | ||
10 | Shared Dispositive Power | 0 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 1,607,437 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 7.5%* | ||
14 | Type of Reporting Person | OO |
CUSIP No. 60463E103 | 13D/A | Page 4 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) Boulder Ventures VI, L.P. 46-3860105 | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization Delaware | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 474,273 | |
8 | Shared Voting Power | 0 | ||
9 | Sole Dispositive Power | 474,273 | ||
10 | Shared Dispositive Power | 0 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 474,273 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11)2.4%* | 2.2%* | ||
14 | Type of Reporting Person | PN |
CUSIP No. 60463E103 | 13D/A | Page 5 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) BV Partners VI, L.L.C. 46-3847523 | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization Delaware | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 474,273 | |
8 | Shared Voting Power | 0 | ||
9 | Sole Dispositive Power | 474,273 | ||
10 | Shared Dispositive Power | 0 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 474,273 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 2.2%* | ||
14 | Type of Reporting Person | OO |
CUSIP No. 60463E103 | 13D/A | Page 6 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) Kyle Lefkoff | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization United States | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 0 | |
8 | Shared Voting Power | 2,081,710 | ||
9 | Sole Dispositive Power | 0 | ||
10 | Shared Dispositive Power | 2,081,710 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 22,081,710 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 9.8%* | ||
14 | Type of Reporting Person | IN |
CUSIP No. 60463E103 | 13D/A | Page 7 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) Jonathan L. Perl | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization United States | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 0 | |
8 | Shared Voting Power | 2,081,710 | ||
9 | Sole Dispositive Power | 0 | ||
10 | Shared Dispositive Power | 2,081,710 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 2,081,710 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 9.8%* | ||
14 | Type of Reporting Person | IN |
CUSIP No. 60463E103 | 13D/A | Page 8 of 13 Pages |
1 | Name of Reporting Person/ I.R.S. Identification No. of Above Person (Entities Only) Peter A. Roshko | |||
2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐ | |||
3 | SEC Use Only | |||
4 | Source of Funds (See Instructions) OO | |||
5 | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ☐ | |||
6 | Citizenship or Place of Organization United States | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 7 | Sole Voting Power | 0 | |
8 | Shared Voting Power | 2,081,710 | ||
9 | Sole Dispositive Power | 0 | ||
10 | Shared Dispositive Power | 2,081,710 | ||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 2,081,710 | |||
12 | Check if the Aggregate Amount in Row (11) Excludes Certain Shares ☐ (See Instructions) | |||
13 | Percent of Class Represented by Amount in Row (11) | 9.8%* | ||
14 | Type of Reporting Person | IN |
CUSIP No. 60463E103 | 13D/A | Page 9 of 13 Pages |
CUSIP No. 60463E103 | 13D/A | Page 10 of 13 Pages |
CUSIP No. 60463E103 | 13D/A | Page 11 of 13 Pages |
Date | Number of Shares | Price Per Share1 |
February 22, 2017 | 4,102 | $14.362 |
February 23, 2017 | 1,800 | $13.653 |
February 24, 2017 | 6,500 | $14.044 |
February 27, 2017 | 1,500 | $13.795 |
February 28, 2017 | 2,258 | $13.546 |
March 6, 2017 | 9,392 | $15.717 |
March 6, 2017 | 608 | $16.248 |
CUSIP No. 60463E103 | 13D/A | Page 12 of 13 Pages |
ITEM 6. | CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. |
ITEM 7. | MATERIAL TO BE FILED AS EXHIBITS. |
Exhibit 99.1 | Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended |
Exhibit 99.2 | Form of Lock-Up Agreement, dated as of October 31, 2016, by and between Miragen Therapeutics, Inc. and each of Boulder Ventures V, L.P. and Boulder Ventures VI, L.P. |
CUSIP No. 60463E103 | 13D/A | Page 13 of 13 Pages |