SEC Form 4 · accession 0001615774-18-000737
BioPharmX Corp · BPMX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vivo Capital VIII, LLC
10% Owner
Period of report
Jan 30, 2018
Accepted (ET)
Jan 31, 2018 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001504167
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 30, 2018 | C | 4,328,571 | $0.00 | A | 18,128,515 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F1 | — | Jan 30, 2018 | C | 1,515 | D | — | — | Common Stock | 4,328,571 | 0 | I |
Explanation of responses
- F1These securities are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these securities. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such securities. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these securities and each of whom disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- F2At the option of the Reporting Person at any time, each share of Series A Preferred Stock is convertible into approximately 2,857 shares of Common Stock.