SEC Form 4 · accession 0001209191-18-005829

Yarrow Bioscience, Inc. · YARW

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

Reporting owners

10% Owner

10% Owner

10% Owner

Period of report

Jan 25, 2018

Accepted (ET)

Jan 29, 2018 · 4:17 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001566044

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jan 25, 2018	P	258,432	$17.00	A	258,432	I	By Vivo Capital Fund VIII, L.P.
Common Stock^F1,F2	Jan 25, 2018	P	35,686	$17.00	A	35,686	I	By Vivo Capital Surplus Fund III, L.P.
Common Stock^F3,F1,F2	Jan 29, 2018	C	2,348,550	—	A	2,606,982	I	By Vivo Capital Fund VIII, L.P.
Common Stock^F3,F1,F2	Jan 29, 2018	C	324,306	—	A	359,992	I	By Vivo Capital Surplus Fund III, L.P.
Common Stock^F3,F1,F2	Jan 29, 2018	C	917,559	—	A	3,524,541	I	By Vivo Capital Fund VIII, L.P.
Common Stock^F3,F1,F2	Jan 29, 2018	C	126,703	—	A	486,695	I	By Vivo Capital Surplus Fund III, L.P.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F3,F1,F2	—	Jan 29, 2018	C	6,335,215	D	—	—	Common Stock	2,348,550	I
Series B Preferred Stock^F3,F1,F2	—	Jan 29, 2018	C	874,817	D	—	—	Common Stock	324,306	I
Series C Preferred Stock^F3,F1,F2	—	Jan 29, 2018	C	2,475,118	D	—	—	Common Stock	917,559	I
Series C Preferred Stock^F3,F1,F2	—	Jan 29, 2018	C	341,784	D	—	—	Common Stock	126,703	I

F1Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock.