SEC Form 4 · accession 0001209191-19-011329
AVEDRO INC · AVDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Arnold L Oronsky
10% Owner
Khaled Nasr
10% Owner
INTERWEST PARTNERS X LP
10% Owner
InterWest Management Partners X, LLC
10% Owner
Keval Desai
10% Owner
Period of report
Feb 19, 2019
Accepted (ET)
Feb 19, 2019 · 7:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001343304
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 19, 2019 | C | 2,247,190 | — | A | 2,348,802 | D | |
| Common StockF1,F2 | Feb 19, 2019 | C | 222,119 | — | A | 2,570,921 | D | |
| Common StockF1,F2 | Feb 19, 2019 | C | 171,318 | — | A | 2,742,239 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series AA Convertible Preferred StockF2,F1 | — | Feb 19, 2019 | C | 2,247,190 | D | — | — | Common Stock | 2,247,190 | 0 | D |
| Series BB Convertible Preferred StockF2,F1 | — | Feb 19, 2019 | C | 222,119 | D | — | — | Common Stock | 222,119 | 0 | D |
| Series CC Convertible Preferred StockF2,F1 | — | Feb 19, 2019 | C | 171,318 | D | — | — | Common Stock | 171,318 | 0 | D |
Explanation of responses
- F1Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering.
- F2The shares are directly held by InterWest Partners X, LP ("InterWest X"). InterWest Management Partners X, LLC ("IMP X") as the general partner of InterWest X may be deemed to beneficially own the shares held by InterWest X. Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP X, and Keval Desai and Khaled A. Nasr are venture members of IMP X. Messrs. Kliman, Oronsky, Desai and Nasr may be deemed to beneficially own the shares held by InterWest X. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
Remarks
Gilbert H. Kliman, a Managing Director of IMP X, is also a Director of the Issuer and has filed a separate Form 4 in his own name.