SEC Form 4 · accession 0001140361-17-038922
Restoration Robotics, Inc. · HAIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Philip T Gianos
10% Owner
Arnold L Oronsky
10% Owner
Khaled Nasr
10% Owner
W Stephen Holmes
10% Owner
InterWest Partners IX, LP
10% Owner
Period of report
Oct 16, 2017
Accepted (ET)
Oct 17, 2017 · 6:44 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 | 1,538,461 | — | A | 1,538,461 | D | |
| Common StockF1,F2 | Oct 16, 2017 | C | 1,647,297 | — | A | 3,185,758 | D | |
| Common StockF2 | Oct 16, 2017 | C | 170,028 | $7.00 | A | 3,355,786 | D |
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 StockF1,F2,F3 | — | Oct 16, 2017 | C | 1,538,461 | D | — | — | Common Stock | 1,538,461 | 0 | D |
| Series C Preferred StockF1,F2,F3 | — | Oct 16, 2017 | C | 1,647,297 | D | — | — | Common Stock | 1,647,297 | 0 | D |
| Convertible Promissory NoteF4,F2 | $7.00 | Oct 16, 2017 | C | — | D | — | — | Common Stock | 170,028 | 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 InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- 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.