SEC Form 4 · accession 0000899243-16-020199
AVEO PHARMACEUTICALS INC · AVEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony B Evnin
Director
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001325879
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 13, 2016 | A | 129,533 | — | A | 168,414 | D | |
| Common StockF2 | holding | — | — | — | 1,147,068 | I | By Funds |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1,F3,F4 | $1.00 | May 13, 2016 | A | 129,533 | A | — | — | Common Stock | 129,533 | 129,533 | D |
Explanation of responses
- F1The reported securities are included within 129,533 Units purchased by the reporting person for $0.965 per Unit. Each Unit consists of one share of common stock and one warrant to purchase one share of common stock.
- F2Consists of (a) 206,452 shares of common stock held by Venrock Associates, or VA, (b) 917,569 shares of common stock held by Venrock Associates III, L.P., or VA III, (c) 22,938 shares of common stock held by Venrock Entrepreneurs Fund III, L.P., or VEF III, and (d) 109 shares of common stock held by VEF Management III, LLC, or VEFM III. Dr. Evnin is a General Partner of VA. Venrock Management III, LLC, or VM III, is the sole General Partner of VA III. VEFM III, is the sole General Partner of VEF III. Dr. Evnin is a Member of VM III and VEFM III. Dr. Evnin expressly disclaims beneficial ownership over all shares held by or on behalf of VA, VA III, VEF III, VM III, and VEFM III, except to the extent of his indirect pecuniary interest therein.
- F3The warrants are immediately exercisable upon issuance.
- F4The warrants expire five years from their date of issuance.