SEC Form 4/A · accession 0000904454-15-000280
CoLucid Pharmaceuticals, Inc. · CLCD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jesse I Treu
Director · 10% Owner
Period of report
May 5, 2015
Accepted (ET)
May 11, 2015 · 3:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001348649
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $10.00 | May 5, 2015 | A | 5,954 | A | — | May 5, 2025 | Common Stock | 5,954 | 5,954 | D |
| Series C Preferred StockF3,F6,F5 | — | Dec 15, 2014 | J | 8,455 | A | — | — | Common Stock | 8,455 | 8,455 | I |
| Series C Preferred StockF3,F6,F7,F5 | — | Jan 12, 2015 | P | 456,301 | A | — | — | Common Stock | 456,301 | 464,756 | I |
| Series A Preferred StockF3,F4,F6,F7,F5 | — | Jan 12, 2015 | J | 640,114 | A | — | — | Common Stock | 640,114 | 798,188 | I |
| Series B Preferred StockF3,F4,F6,F7,F5 | — | Jan 12, 2015 | J | 752,684 | A | — | — | Common Stock | 752,684 | 939,289 | I |
Explanation of responses
- F1The options vest in full immediately prior to the start of the Issuer's first annual meeting of stockholders following May 5, 2015.
- F2Shares issued upon conversion of a note.
- F3Share numbers and prices reflect the 1-for-40.7 split that was subsequently effected on 04/17/2015.
- F4Shares issued in connection with the 01/12/2015 purchase of shares of Series C Preferred Stock.
- F5All outstanding shares of the Issuer's preferred stock automatically convert into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock has no expiration date.
- F6As a managing member of the sole general partner of Domain Partners VI, L.P., the Reporting Person may be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VI, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by Domain Partners VI, L.P., however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.
- F7As a managing member of the sole general partner of DP VI Associates, L.P., the Reporting Person also may be deemed to indirectly beneficially own 1,954 shares of Series A Preferred Stock and 1,565 shares of Series B Preferred Stock (both giving effect to the share split referred to in Footnote (3) above) held by DP VI Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by DP VI Associates, L.P., however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.