SEC Form 4 · accession 0001209191-19-011340
AVEDRO INC · AVDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rajesh K. Rajpal
Officer — Chief Medical Officer
Period of report
Feb 19, 2019
Accepted (ET)
Feb 19, 2019 · 7:16 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 | Feb 19, 2019 | C | 3,620 | — | A | 7,215 | D | |
| Common StockF1 | Feb 19, 2019 | C | 444 | — | A | 7,659 | D | |
| Common StockF1 | Feb 19, 2019 | C | 1,284 | — | A | 8,943 | 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 StockF1 | — | Feb 19, 2019 | C | 3,620 | D | — | — | Common Stock | 3,620 | 0 | D |
| Series BB Convertible Preferred StockF1 | — | Feb 19, 2019 | C | 444 | D | — | — | Common Stock | 444 | 0 | D |
| Series CC Convertible Preferred StockF1 | — | Feb 19, 2019 | C | 1,284 | D | — | — | Common Stock | 1,284 | 0 | D |
| Employee Stock Option (right to buy)F2 | $12.73 | Feb 19, 2019 | A | 49,438 | A | — | Jan 8, 2029 | Common Stock | 49,438 | 49,438 | 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.
- F2One forty-eighth (1/48th) of the shares subject to the option shall vest on a monthly basis commencing on January 20, 2019, subject to the Reporting Person continuing to provide service through each such date.