SEC Form 4 · accession 0001209191-19-011331

AVEDRO INC · AVDR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Feb 19, 2019

Accepted (ET)

Feb 19, 2019 · 7:11 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 Stock^F1,F2	Feb 19, 2019	C	2,247,190	—	A	2,348,802	I	See Footnote
Common Stock^F1,F2	Feb 19, 2019	C	222,119	—	A	2,570,921	I	See Footnote
Common Stock^F1,F2	Feb 19, 2019	C	171,318	—	A	2,742,239	I	See Footnote
Common Stock	Feb 19, 2019	P	25,000	$14.00	A	25,000	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series AA Convertible Preferred Stock^F2,F1	—	Feb 19, 2019	C	2,247,190	D	—	—	Common Stock	2,247,190	0	I
Series BB Convertible Preferred Stock^F2,F1	—	Feb 19, 2019	C	222,119	D	—	—	Common Stock	222,119	0	I
Series CC Convertible Preferred Stock^F2,F1	—	Feb 19, 2019	C	171,318	D	—	—	Common Stock	171,318	0	I
Stock Option (right to buy)^F3	$12.73	Feb 19, 2019	A	8,314	A	—	Jan 8, 2029	Common Stock	8,314	8,314	D

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. The Reporting Person is a managing director of IMP X, and as such may be deemed to beneficially own the shares held by InterWest X. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F3One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (x) June 1, 2020 and (y) the first anniversary of the first annual meeting of the Issuer's stockholders following the Issuer's initial public offering, subject to the Reporting Person continuing to provide service through such date.