SEC Form 3 · accession 0001209191-18-004904
GENOCEA BIOSCIENCES, INC. · GNCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chetan Puttagunta
10% Owner
Period of report
Jan 19, 2018
Accepted (ET)
Jan 23, 2018 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001457612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 25,000,000 | I | See Note 1 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common Stock (right to buy)F1 | $1.20 | holding | — | — | — | Jan 19, 2018 | Jan 18, 2023 | Common Stock | 12,500,000 | — | I |
Explanation of responses
- F1The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.