SEC Form 4 · accession 0001140361-17-038924
Restoration Robotics, Inc. · HAIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ALLOY VENTURES 2002 LLC
10% Owner
ALLOY VENTURES 2005 LP
10% Owner
Alloy Ventures 2005, LLC
10% Owner
Alloy Partners 2002, LP
10% Owner
Alloy Ventures 2002, LP
10% Owner
Period of report
Oct 16, 2017
Accepted (ET)
Oct 17, 2017 · 6:46 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 | 12,466 | — | A | 12,466 | I | See Footnote |
| Common StockF1,F2 | Oct 16, 2017 | C | 13,650 | — | A | 26,116 | I | See Footnote |
| Common StockF1,F2 | Oct 16, 2017 | C | 16,643 | — | A | 42,759 | I | See Footnote |
| Common StockF2 | Oct 16, 2017 | C | 2,282 | $7.00 | A | 45,041 | I | See Footnote |
| Common StockF1,F3 | Oct 16, 2017 | C | 461,717 | — | A | 461,717 | I | See Footnote |
| Common StockF1,F3 | Oct 16, 2017 | C | 505,580 | — | A | 967,297 | I | See Footnote |
| Common StockF1,F3 | Oct 16, 2017 | C | 616,446 | — | A | 1,583,743 | I | See Footnote |
| Common StockF3 | Oct 16, 2017 | C | 84,526 | $7.00 | A | 1,668,269 | I | See Footnote |
| Common StockF1,F4 | Oct 16, 2017 | C | 474,184 | — | A | 474,184 | I | See Footnote |
| Common StockF1,F4 | Oct 16, 2017 | C | 519,230 | — | A | 993,414 | I | See Footnote |
| Common StockF1,F4 | Oct 16, 2017 | C | 633,094 | — | A | 1,626,508 | I | See Footnote |
| Common StockF4 | Oct 16, 2017 | C | 86,809 | $7.00 | A | 1,713,317 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F2,F5 | — | Oct 16, 2017 | C | 12,466 | D | — | — | Common Stock | 12,466 | 0 | I |
| Series A Preferred StockF1,F3,F5 | — | Oct 16, 2017 | C | 461,717 | D | — | — | Common Stock | 461,717 | 0 | I |
| Series A Preferred StockF1,F4,F5 | — | Oct 16, 2017 | C | 474,184 | D | — | — | Common Stock | 474,184 | 0 | I |
| Series B Preferred StockF1,F2,F5 | — | Oct 16, 2017 | C | 13,650 | D | — | — | Common Stock | 13,650 | 0 | I |
| Series B Preferred StockF1,F3,F5 | — | Oct 16, 2017 | C | 505,580 | D | — | — | Common Stock | 505,580 | 0 | I |
| Series B Preferred StockF1,F4,F5 | — | Oct 16, 2017 | C | 519,230 | D | — | — | Common Stock | 519,230 | 0 | I |
| Series C Preferred StockF1,F2,F5 | — | Oct 16, 2017 | C | 16,643 | D | — | — | Common Stock | 16,643 | 0 | I |
| Series C Preferred StockF1,F3,F5 | — | Oct 16, 2017 | C | 616,446 | D | — | — | Common Stock | 616,446 | 0 | I |
| Series C Preferred StockF1,F4,F5 | — | Oct 16, 2017 | C | 633,094 | D | — | — | Common Stock | 633,094 | 0 | I |
| Convertible Promissory NoteF6,F2 | $7.00 | Oct 16, 2017 | C | — | D | — | — | Common Stock | 2,282 | 0 | I |
| Convertible Promissory NoteF6,F3 | $7.00 | Oct 16, 2017 | C | — | D | — | — | Common Stock | 84,526 | 0 | I |
| Convertible Promissory NoteF6,F4 | $7.00 | Oct 16, 2017 | C | — | D | — | — | Common Stock | 86,809 | 0 | I |
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").
- F2See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
- F3See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
- F4See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
- F5The expiration date is not relevant to the conversion of these securities.
- F6The 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.