SEC Form 4 · accession 0001209191-16-134919
INTERLEUKIN GENETICS INC · ILIU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
New Enterprise Associates 14, L.P.
10% Owner
NEA Partners 14, L.P.
10% Owner
NEA 14 GP, LTD
10% Owner
Period of report
Jul 29, 2016
Accepted (ET)
Aug 2, 2016 · 4:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001037649
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 29, 2016 | P | 20,120,724 | $0.0994 | A | 55,418,811 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (right to buy)F1,F2 | $0.0994 | Jul 29, 2016 | P | 20,120,724 | A | Jul 29, 2016 | Jul 29, 2023 | Common Stock | 20,120,724 | 20,120,724 | D |
Explanation of responses
- F1The securities are directly held by Growth Equity Opportunities Fund III, LLC ("GEO") and are indirectly held by New Enterprise Associates 14, L.P. ("NEA 14"), which is the sole member of GEO; NEA Partners 14, L.P. ("NEA Partners 14"), which is the sole general partner of NEA 14; NEA 14 GP, LTD ("NEA 14 GP"), which is the sole general partner of NEA Partners 14; and the individual directors of NEA 14 GP (NEA 14, NEA Partners 14, NEA 14 GP and the individual directors of NEA 14 GP (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, Krishna "Kittu" Kolluri, David M. Mott, Scott D. Sandell, Peter W. Sonsini, Ravi Viswanathan and Harry R. Weller.
- F2The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the GEO shares in which the Indirect Reporting Persons have no pecuniary interest.