SEC Form 4 · accession 0001144204-15-011489
KIORA PHARMACEUTICALS INC · KPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
(innoven Partenaires S.A.) Ipsa
10% Owner
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001372514
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Feb 19, 2015 | C | 524,998 | — | A | 524,998 | I | See Footnote |
| Common StockF4,F2,F5 | Feb 19, 2015 | C | 169,306 | — | A | 694,304 | I | See Footnote |
| Common StockF6,F2,F7 | Feb 19, 2015 | C | 261,314 | — | A | 955,618 | I | See Footnote |
| Common StockF2,F8 | Feb 19, 2015 | C | 138,194 | $4.20 | A | 1,093,812 | I | See Footnote |
| Common StockF2,F9 | Feb 19, 2015 | P | 366,667 | $6.00 | A | 1,460,479 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF2,F3,F1 | — | Feb 19, 2015 | C | 524,998 | D | — | — | Common Stock | 524,998 | 0 | I |
| Series C Preferred StockF2,F5,F4 | — | Feb 19, 2015 | C | 169,306 | D | — | — | Common Stock | 169,306 | 0 | I |
| Series D Preferred StockF2,F7,F6 | — | Feb 19, 2015 | C | 261,314 | D | — | — | Common Stock | 261,314 | 0 | I |
| Convertible Promissory NoteF2,F10 | $4.20 | Feb 19, 2015 | P | — | A | Feb 19, 2015 | Jun 6, 2015 | Common Stock | 138,194 | — | I |
| Convertible Promissory NoteF2,F10 | $4.20 | Feb 19, 2015 | C | — | D | Feb 19, 2015 | Jun 6, 2015 | Common Stock | 138,194 | 0 | I |
Explanation of responses
- F1Upon closing of the Issuer's initial public offering, each share of Series B Preferred Stock converted automatically into shares of common stock of the Issuer on a 10.94-for-one basis, and had no expiration date.
- F10Represents 2,141, 5,030, 13,214, 7,550, 70,342, 30,358 and 9,559 shares held by Innoven 2003 FCPI No.7, FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Innoven Capital 2, FCPI Poste Innovation 5, FCPI Poste Innovation 6 and FCPI La Banque Postale Innovation 1, respectively.
- F2Innoven Partenaires S.A. ("IPSA") is the manager of each of Innoven 2002 FCPI No.6, Innoven 2003 FCPI No.7, FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Innoven Europe 3, FCPI Innoven Capital, FCPI Innoven Capital 2, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, FCPI Poste Innovation 5, FCPI Poste Innovation 6, FCPI Poste Innovation 9 and FCPI La Banque Postale Innovation 1 (collectively, the "Funds"). Voting and investment power over the shares held by each of the Funds may be deemed to be shared with IPSA. Each of Jean-Michel Paulhac ("Paulhac") and Thomas Balland ("Balland ") are directors of IPSA. Each of Paulhac and Balland disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interest therein.
- F3Represents 26,994, 71,111, 16,416, 711,099, 428,115, 599,019, 817,685, 2,203,862, 885,941, and 4,288 shares held by Innoven 2002 FCPI No.6, Innoven 2003 FCPI No.7, FCPI Innoven Europe, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, FCPI Poste Innovation 5, FCPI Poste Innovation 6, FCPI Poste Innovation 9, and FCPI La Banque Postale Innovation 1, respectively.
- F4Upon closing of the Issuer's initial public offering, each share of Series C Preferred Stock converted automatically into shares of common stock of the Issuer on a 9.60-for-one basis, and had no expiration date.
- F5Represents 324,574, 31,532, 217,235, 89,946, 139,349, 269,507 and 786,837 shares held by FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, FCPI Poste Innovation 5 and FCPI La Banque Postale Innovation 1, respectively.
- F6Upon closing of the Issuer's initial public offering, each share of Series D Preferred Stock converted automatically into shares of common stock of the Issuer on a 10.96-for-one basis, and had no expiration date.
- F7Represents 1,163, 527,940, 429,985, 361,720, 84,327, 920,096, 219,702, 219,862, 216 and 104,236 shares held by FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Innoven Europe 3, FCPI Innoven Capital, FCPI Innoven Capital 2, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, and FCPI La Banque Postale Innovation 1, respectively.
- F8Represents 5,791, 7,865, 31,161, 50,953, 39,160, 32,943, 7,680, 230,238, 149,680, 193,633, 210,214, 200,716, 80,706 and 81,544 shares held by Innoven 2002 FCPI No.6, Innoven 2003 FCPI No.7, FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Innoven Europe 3, FCPI Innoven Capital, FCPI Innoven Capital 2, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, FCPI Poste Innovation 5, FCPI Poste Innovation 6, FCPI Poste Innovation 9 and FCPI La Banque Postale Innovation 1, respectively.
- F9Represents 5,791, 10,006, 36,191, 64,167, 39,160, 32,943, 15,230, 230,238, 149,680, 193,633, 280,566, 231,074, 80,706 and 91,103 shares held by Innoven 2002 FCPI No.6, Innoven 2003 FCPI No.7, FCPI Innoven Europe, FCPI Innoven Europe 2, FCPI Innoven Europe 3, FCPI Innoven Capital, FCPI Innoven Capital 2, FCPI Poste Innovation, FCPI Poste Innovation 2, FCPI Poste Innovation 3, FCPI Poste Innovation 5, FCPI Poste Innovation 6, FCPI Poste Innovation 9 and FCPI La Banque Postale Innovation 1, respectively.
Remarks
*Signed under power of attorney on behalf of Reporting Person