SEC Form 4 · accession 0001209191-15-035357

ZEVRA THERAPEUTICS, INC. · ZVRA

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

Reporting owner

Matthew R Plooster

Director

Period of report

Apr 21, 2015

Accepted (ET)

Apr 21, 2015 · 6:46 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001434647

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F4	Apr 21, 2015	C	4,545	—	A	4,545	D
Common Stock^F2,F4	Apr 21, 2015	C	1,117	—	A	1,117	I	By TD Ameritrade Clearing Inc. Custodian FBO Matthew Ryan Plooster Roth IRA, as trustee
Common Stock^F3,F4,F5	Apr 21, 2015	C	428,304	—	A	428,304	I	By Bridgepoint Investment Partners I LLLP

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Convertible Preferred Stock^F4	—	Apr 21, 2015	C	25,642	D	—	—	Common Stock	3,418	0	D
Series D Convertible Preferred Stock^F4	—	Apr 21, 2015	C	8,456	D	—	—	Common Stock	1,127	0	D
Series C Convertible Preferred Stock^F4	—	Apr 21, 2015	C	8,381	D	—	—	Common Stock	1,117	0	I
Series A Convertible Preferred Stock^F5,F4	—	Apr 21, 2015	C	1,701,011	D	—	—	Common Stock	226,801	0	I
Series B Convertible Preferred Stock^F5,F4	—	Apr 21, 2015	C	1,511,279	D	—	—	Common Stock	201,503	0	I
Warrant to Purchase Series D Preferred Stock (right to buy)^F4	—	Apr 21, 2015	C	384	D	—	—	Common Stock	51	0	D
Warrant to Purchase Common Stock (right to buy)^F6,F7	$5.85	Apr 21, 2015	C	51	A	—	—	Common Stock	51	51	D

Explanation of responses

F1The total represents shares received upon conversion of Series C and Series D convertible preferred stock.
F2The total represents shares received upon conversion of Series C convertible preferred stock.
F3The total represents shares received upon conversion of Series A and Series B convertible preferred stock.
F4Effective upon the closing of the Issuer's initial public offering of its common stock, each share of Series A, Series B, Series C and Series D convertible preferred stock automatically converted into 0.13333 shares of common stock. The convertible preferred stock had no expiration date.
F5The shares directly held by Bridgepoint Investment Partners I LLLP, or Bridgepoint, are indirectly held by its general partner, Bridgepoint Capital Partners, LLP, or BPCP. The individual managers of BPCP are Matthew R. Plooster and Adam S. Claypool. Matthew R. Plooster and Adam S. Claypool share voting and dispositive power with regard to the shares directly held by Bridgepoint.
F6Represents a warrant to purchase shares of common stock of the Issuer following the conversion of the Series D convertible preferred stock on a 1-for-0.13333 share basis. The number of shares and price per share reported herein reflects such conversion. The warrant is immediately exercisable at any time at the option of the holder.
F7The warrant expires as of 5:00 p.m. C.S.T. on the earliest of (i) June 2, 2019 and (ii) the effective date of the closing of a Company Sale Transaction (as such term is defined in the warrant).