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Venus Concept Inc. — Director's Dealing 2017
Oct 17, 2017
35449_dirs_2017-10-17_4da778de-af7d-41b7-aad8-f7bab4e456e7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Restoration Robotics Inc (HAIR)
CIK: 0001409269
Period of Report: 2017-10-16
Reporting Person: Clarus Lifesciences II, L.P. (10% Owner)
Reporting Person: Clarus Ventures II GP, L.P. (10% Owner)
Reporting Person: Clarus Ventures II, LLC (10% Owner)
Reporting Person: GALAKATOS NICHOLAS (10% Owner)
Reporting Person: Simon Nicholas (10% Owner)
Reporting Person: WHEELER KURT (10% Owner)
Reporting Person: HENNER DENNIS (10% Owner)
Reporting Person: LIPTAK ROBERT (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-10-16 | Common Stock | C | 3389105 | — | Acquired | 3389105 | Direct |
| 2017-10-16 | Common Stock | C | 180881 | $7 | Acquired | 3569986 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-10-16 | Series C Preferred Stock | $ | C | 3389105 | Disposed | Common Stock (3389105) | Direct | |
| 2017-10-16 | Convertible Promissory Note | $7 | C | Disposed | Common Stock (180881) | Direct |
Footnotes
F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").
F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.
F3: The expiration date is not relevant to the conversion of these securities.
F4: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.