SEC Form 4 · accession 0001209191-16-145725

Vyome Holdings, Inc · HIND

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

Reporting owner

Sharon Stevenson

Director

Period of report

Oct 12, 2016

Accepted (ET)

Oct 12, 2016 · 5:38 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001427570

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 12, 2016	C	190,780	—	A	190,780	I	By Okapi Ventures, L.P.
Common Stock^F3,F2	Oct 12, 2016	C	266,829	—	A	457,609	I	By Okapi Ventures, L.P.
Common Stock^F4,F2	Oct 12, 2016	C	40,995	—	A	498,604	I	By Okapi Ventures, L.P.
Common Stock^F4,F5	Oct 12, 2016	C	161,504	—	A	161,504	I	By Okapi Ventures II, L.P.
Common Stock^F6,F5	Oct 12, 2016	C	119,441	—	A	280,945	I	By Okapi Ventures II, L.P.
Common Stock^F7,F2	Oct 12, 2016	C	47,629	—	A	546,233	I	By Okapi Ventures, L.P.
Common Stock^F7,F5	Oct 12, 2016	C	60,290	—	A	341,235	I	By Okapi Ventures II, L.P.

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 Stock^F1,F2	—	Oct 12, 2016	C	143,677	D	—	—	Common Stock	190,780	0	I
Series B Preferred Stock^F3,F2	—	Oct 12, 2016	C	266,829	D	—	—	Common Stock	266,829	0	I
Series C Preferred Stock^F4,F2	—	Oct 12, 2016	C	40,995	D	—	—	Common Stock	40,995	0	I
Series C Preferred Stock^F4,F5	—	Oct 12, 2016	C	161,504	D	—	—	Common Stock	161,504	0	I
Series D Preferred Stock^F6,F5	—	Oct 12, 2016	C	119,441	D	—	—	Common Stock	119,441	0	I
Series E Preferred Stock^F7,F2	—	Oct 12, 2016	C	47,629	D	—	—	Common Stock	47,629	0	I
Series E Preferred Stock^F7,F5	—	Oct 12, 2016	C	60,290	D	—	—	Common Stock	60,290	0	I
Series C Preferred Stock Warrant (right to buy)^F2,F8	$6.1918	Oct 12, 2016	C	4,037	D	—	Feb 24, 2019	Series C Preferred Stock	4,037	0	I
Common Stock Warrant (right to buy)^F2,F9	$6.1918	Oct 12, 2016	C	4,037	A	—	Feb 24, 2019	Common Stock	4,037	4,037	I

Explanation of responses

F1Each share of the issuer's Series A Preferred Stock automatically converted into 1.327844907 shares of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-213551) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F2These securities are held of record by Okapi Ventures, L.P. ("OV"). Okapi Venture Partners, LLC ("OVLLC") is the general partner of OV. The reporting person is a managing director of OVLLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
F3Each share of the issuer's Series B Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F4Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F5These securities are held of record by Okapi Ventures II, L.P. ("OVII"). Okapi Venture Partners II, LLC ("OVIILLC") is the general partner of OVII. The reporting person is a managing director of OVIILLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
F6Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F7Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F8The warrant is exercisable at any time at the holder's election on a one-for-one basis. If not exercised prior to the closing of the IPO, the warrant will convert into a warrant to purchase shares of the issuer's Common Stock on a one-for-one basis.
F9The warrant is exercisable at any time at the holder's election.