SEC Form 4 · accession 0001209191-18-005852
Yarrow Bioscience, Inc. · YARW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
David J Collier
10% Owner
Presidio Partners 2007, L.P.
10% Owner
James F Watson
10% Owner
Presidio Partners 2007 GP, L.P.
10% Owner
Faysal A. Sohail
10% Owner
Period of report
Jan 29, 2018
Accepted (ET)
Jan 29, 2018 · 4:25 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 StockF1,F2 | Jan 29, 2018 | C | 2,584 | — | A | 1,418,005 | I | By Presidio Partners 2007, L.P. |
| Common StockF1,F2 | Jan 29, 2018 | C | 66 | — | A | 36,358 | I | By Presidio Partners 2007 (Parallel), L.P. |
| Common StockF1,F2 | Jan 29, 2018 | C | 849,794 | — | A | 2,267,799 | I | By Presidio Partners 2007, L.P. |
| Common StockF1,F3 | Jan 29, 2018 | C | 21,789 | — | A | 58,147 | I | By Presidio Partners 2007 (Parallel), L.P. |
| Common StockF1,F3 | Jan 29, 2018 | C | 127,269 | — | A | 2,395,068 | I | By Presidio Partners 2007, L.P. |
| Common StockF1,F3 | Jan 29, 2018 | C | 3,263 | — | A | 61,410 | I | By Presidio Partners 2007 (Parallel), L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1 | — | Jan 29, 2018 | C | 6,971 | D | — | — | Common Stock | 2,584 | 0 | I |
| Series A Preferred StockF1 | — | Jan 29, 2018 | C | 179 | D | — | — | Common Stock | 66 | 0 | I |
| Series B Preferred StockF3,F1 | — | Jan 29, 2018 | C | 2,292,320 | D | — | — | Common Stock | 849,794 | 0 | I |
| Series B Preferred StockF3,F1 | — | Jan 29, 2018 | C | 58,777 | D | — | — | Common Stock | 21,789 | 0 | I |
| Series C Preferred StockF3,F1 | — | Jan 29, 2018 | C | 343,310 | D | — | — | Common Stock | 127,269 | 0 | I |
| Series C Preferred StockF3,F1 | — | Jan 29, 2018 | C | 21,789 | D | — | — | Common Stock | 3,263 | 0 | I |
Explanation of responses
- F1Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock.
- F2Securities directly held by Presidio Partners 2007, L.P. ("Presidio Partners"). Presidio Partners 2007 GP, L.P. ("Presidio GP") is the sole general partner of Presidio Partners. David Collier, M.D., James Watson and Faysal Sohail are the general partners of Presidio GP, and may be deemed to have voting control and investment power over the securities held by Presidio Partners, but disclaim beneficial ownership of the securities held by Presidio Partners, except to the extent of their pecuniary interest therein.
- F3Securities directly held by Presidio Partners 2007 (Parallel), L.P. ("Presidio Parallel"). Presidio GP is the sole general partner of Presidio Parallel. David Collier, M.D., James Watson and Faysal Sohail are the general partners of Presidio Parallel, and may be deemed to have voting control and investment power over the securities held by Presidio Parallel, but disclaim beneficial ownership of the securities held by Presidio Parallel, except to the extent of their pecuniary interest therein.