SEC Form 4 · accession 0001209191-17-056934
Restoration Robotics, Inc. · HAIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N White
10% Owner
Period of report
Oct 11, 2017
Accepted (ET)
Oct 13, 2017 · 6:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409269
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF2,F4,F3 | $7.00 | Oct 11, 2017 | J | — | A | — | — | Common Stock | — | — | I |
| Convertible Promissory NoteF2,F5,F3 | $7.00 | Oct 11, 2017 | J | — | A | — | — | Common Stock | — | — | I |
Explanation of responses
- F1The Subordinated Convertible Promissory Note (the "Note") was originally acquired from the issuer on September 6, 2017. The conversion price was set upon the pricing of the issuer's initial public offering (the "IPO").
- F2The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock.
- F3The outstanding principal and accrued interest of the Note automatically converts 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 IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock.
- F4Securities held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these securities except as to the reporting person's pecuniary interest therein.
- F5Securities held by Sutter Hill Ventures, a California Limited Partnership ("Sutter Hill"). The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill. The reporting person disclaims beneficial ownership in these securities except as to the reporting person's pecuniary interest therein.