SEC Form 4 · accession 0001140361-17-038920
Restoration Robotics, Inc. · HAIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Dennis Henner
10% Owner
Nicholas Galakatos
10% Owner
Robert Liptak
10% Owner
Kurt Wheeler
10% Owner
Nicholas Simon
10% Owner
Clarus Ventures II, LLC
10% Owner
Clarus Ventures II GP, L.P.
10% Owner
Clarus Lifesciences II, L.P.
10% Owner
Period of report
Oct 16, 2017
Accepted (ET)
Oct 17, 2017 · 6:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409269
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 16, 2017 | C | 3,389,105 | — | A | 3,389,105 | D | |
| Common StockF2 | Oct 16, 2017 | C | 180,881 | $7.00 | A | 3,569,986 | 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 StockF1,F2,F3 | — | Oct 16, 2017 | C | 3,389,105 | D | — | — | Common Stock | 3,389,105 | 0 | D |
| Convertible Promissory NoteF4,F2 | $7.00 | Oct 16, 2017 | C | — | D | — | — | Common Stock | 180,881 | 0 | D |
Explanation of responses
- F1The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").
- F2The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.
- F3The expiration date is not relevant to the conversion of these securities.
- F4The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.