SEC Form 4 · accession 0001209191-15-055332
Invuity, Inc. · IVTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 18, 2015
Accepted (ET)
Jun 22, 2015 · 3:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001393020
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Jun 18, 2015 | C | 1,080,272 | — | A | 1,080,272 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF4,F1 | — | Jun 18, 2015 | C | 712,291 | D | — | — | Common Stock | 757,721 | 0 | D |
| Series D Preferred StockF4,F2 | — | Jun 18, 2015 | C | 262,310 | D | — | — | Common Stock | 264,624 | 0 | D |
| Series E Preferred StockF4,F3 | — | Jun 18, 2015 | C | 56,368 | D | — | — | Common Stock | 57,927 | 0 | D |
Explanation of responses
- F1712,291 outstanding shares of Series C Preferred Stock automatically converted into 757,721 shares of Common Stock, on a 1.06378132118451-for-one basis, immediately prior to the closing of the Issuer's initial public offering of Common Stock and had no expiration date.
- F2262,310 outstanding shares of Series D Preferred Stock automatically converted into 264,624 shares of Common Stock, on a 1.008821799-for-one basis, immediately prior to the closing of the Issuer's initial public offering of Common Stock and had no expiration date.
- F356,368 outstanding shares of Series E Preferred Stock automatically converted into 57,927 shares of Common Stock, on a 1.027662672-for-one basis, immediately prior to the closing of the Issuer's initial public offering of Common Stock and had no expiration date.
- F4The shares are owned by InterWest Partners X, LP ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10. Bruce A. Cleveland, Philip T. Gianos, W. Stephen Holmes, Nina S. Kjellson, Gilbert H. Kliman, Arnold L. Oronsky, and Douglas A. Pepper are managing directors of IMP10. Keval Desai and Khaled A. Nasr are venture members of IMP10. Each managing director and venture member of IMP10 disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein.
Remarks
Due to limitations of the EDGAR software, this Form 4 is filed on behalf of InterWest Partners X, LP and certain other Reporting Persons, and is being filed on two Forms 4 (Part I and Part II) (collectively, the "InterWest Form 4'"). This filing represents Part II of the InterWest Form 4 and should be read together with Part I. Part I and Part II of the InterWest Form 4 shall constitute one filing. Exhibit 99 - Form 4 Joint Filer Information