SEC Form 4 · accession 0001209191-18-039956
AVEO PHARMACEUTICALS INC · AVEO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
New Enterprise Associates 15, L.P.
10% Owner
NEA Partners 15, L.P.
10% Owner
NEA 15 GP, LLC
10% Owner
Growth Equity Opportunities IV, LLC
10% Owner
Period of report
Jun 27, 2018
Accepted (ET)
Jun 28, 2018 · 7:09 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,F2 | Jun 27, 2018 | P | 5,295 | $2.15 | A | 17,596,592 | D | |
| Common StockF3,F1,F2 | Jun 28, 2018 | P | 187,130 | $2.0985 | A | 17,783,722 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are directly held by Growth Equity Opportunities Fund IV, LLC ("GEO IV") and indirectly held by New Enterprise Associates 15, L.P. ("NEA 15"), the sole member of GEO IV, NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons").
- F2The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Chetan Puttagunta, Jon Sakoda, Scott D. Sandell, Peter W. Sonsini and Ravi Viswanathan. The 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 shares of the Issuer held by GEO IV in which the Indirect Reporting Persons have no pecuniary interest.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (3) to this Form 4.