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Venus Concept Inc. — Director's Dealing 2017
Oct 17, 2017
35449_dirs_2017-10-17_34556db6-47a3-4556-a5d3-82901109bfa6.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: Kliman Gilbert H (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-10-16 | Common Stock | C | 1538461 | — | Acquired | 1538461 | Indirect |
| 2017-10-16 | Common Stock | C | 1647297 | — | Acquired | 3185758 | Indirect |
| 2017-10-16 | Common Stock | C | 170028 | $7 | Acquired | 3355786 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-10-16 | Series B Preferred Stock | $ | C | 1538461 | Disposed | Common Stock (1538461) | Indirect | |
| 2017-10-16 | Series C Preferred Stock | $ | C | 1647297 | Disposed | Common Stock (1647297) | Indirect | |
| 2017-10-16 | Convertible Promissory Note | $7 | C | Disposed | Common Stock (170028) | Indirect |
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 InterWest Partners IX, LP ("IWP IX"). InterWest Management Partners IX, LLC ("IWM LLC"), as the general partner of IWP IX, may be deemed to beneficially own the shares held by IWP IX. The Reporting Person is a managing director of IWM LLC, and as such may be deemed to beneficially own the shares held by IWP IX. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
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.