SEC Form 4 · accession 0001144204-15-006849
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anand Mehra
Director
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 8:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609351
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 4, 2015 | C | 1,893,576 | — | A | 1,893,576 | I | See footnote |
| Common StockF2 | Feb 4, 2015 | P | 225,000 | $23.00 | A | 2,118,576 | 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 B Preferred StockF2,F1 | — | Feb 4, 2015 | A | 30,222 | A | — | — | Common Stock | 30,222 | 1,893,576 | I |
| Series B Preferred StockF2,F1 | — | Feb 4, 2015 | C | 1,893,576 | D | — | — | Common Stock | 1,893,576 | 0 | I |
Explanation of responses
- F1Shares of Series B Preferred Stock, while outstanding, accrued stock dividends payable in additional shares of Series B Preferred Stock at a rate of 8% per annum from November 23, 2014. These accrued stock dividends became payable in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended (the "IPO"). The outstanding shares of Series B Preferred Stock, including the 30,222 shares issued as accrued stock dividends, converted into Spark Therapeutics, Inc. common stock upon the closing of the issuer's IPO, and have no expiration date.
- F2The securities are owned directly by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII"), the general partner of SVP VIII, and Anand Mehra, a director of the Issuer, James I. Healy, Srinivas Akkaraju, and Michael Powell, the managing members of SM VIII, may be deemed to have shared voting and dispositive power over the shares owned by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares owned by SVP VIII except to the extent of any pecuniary interest therein.