SEC Form 4 · accession 0001209191-15-055338

Invuity, Inc. · IVTY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Jun 18, 2015

Accepted (ET)

Jun 22, 2015 · 3:39 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 Stock^F1,F2	Jun 18, 2015	C	1,158,564	—	A	1,158,564	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series E Preferred Stock^F2,F1	—	Jun 18, 2015	C	1,127,378	D	—	—	Common Stock	1,158,564	0	I
Warrant to Purchase Series E Preferred Stock^F2,F3	$13.3052	Jun 18, 2015	C	84,553	D	—	Feb 28, 2024	Common Stock	86,891	0	I
Warrant to Purchase Common Stock^F2,F4	$12.9471	Jun 18, 2015	C	86,891	A	—	Feb 28, 2024	Common Stock	86,891	86,891	I

F11,127,378 outstanding shares of Series E Preferred Stock automatically converted into 1,158,564 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.
F2HealthCare Royalty Management, LLC is the investment manager of Healthcare Royalty Partners II, L.P. ("HCRPII") and therefore may be deemed to beneficially own the securities beneficially owned by HCRPII.
F3100% of the shares subject to the warrant were fully vested and exercisable. The warrant to purchase 84,553 shares of Series E Preferred Stock automatically became exercisable for 86,891 shares of Common Stock, on a 1.027662672-for-one basis, immediately prior to the closing of the Issuer's initial public offering.
F4100% of the shares subject to the warrant are fully vested and exercisable.