SEC Form 4 · accession 0001209191-19-011145
GENOCEA BIOSCIENCES, INC. · GNCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
New Enterprise Associates 16, L.P.
10% Owner
NEA Partners 16, L.P.
10% Owner
NEA 16 GP, LLC
10% Owner
Period of report
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 5:00 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 StockF2 | Feb 14, 2019 | P | 9,948,269 | $0.4713 | A | 34,948,269 | D |
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 StockF2 | $0.5656 | Feb 14, 2019 | P | 2,487,067 | A | Feb 14, 2019 | Feb 14, 2024 | Common Stock | 2,487,067 | 2,487,067 | D |
Explanation of responses
- F1Acquired from the issuer pursuant to a Subscription Agreement dated February 11, 2019, with a closing date of February 14, 2019.
- F2The shares are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Peter J. Barris, Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim 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 of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest.