SEC Form 4 · accession 0001615774-18-009063
AIRXPANDERS INC · AXP.AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 30, 2018
Accepted (ET)
Aug 31, 2018 · 8:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001387156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 30, 2018 | P | 19,712,492 | $0.1672 | A | 36,195,409 | I | By Vivo Ventures Fund VII, L.P. |
| Common StockF1,F2 | Aug 30, 2018 | P | 429,631 | $0.1672 | A | 788,873 | I | By Vivo Ventures VII Affiliates Fund, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- F2In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.