SEC Form 4 · accession 0001209191-15-035568
Cidara Therapeutics, Inc. · CDTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Scott M Rocklage
Director · 10% Owner
John D Diekman
10% Owner
5AM VENTURES III, L.P.
10% Owner
5AM Co-Investors III, L.P.
10% Owner
Andrew J. Schwab
10% Owner
Period of report
Apr 20, 2015
Accepted (ET)
Apr 22, 2015 · 5:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001610618
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 20, 2015 | C | 1,764,195 | — | A | 1,956,099 | I | By Limited Partnership |
| Common StockF1,F3 | Apr 20, 2015 | C | 45,467 | — | A | 50,412 | I | By Limited Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Preferred StockF2,F1 | — | Apr 20, 2015 | C | 1,764,195 | D | — | — | Common Stock | 1,764,195 | 0 | I |
| Convertible Preferred StockF3,F1 | — | Apr 20, 2015 | C | 45,467 | D | — | — | Common Stock | 45,467 | 0 | I |
Explanation of responses
- F1In connection with the Issuer's initial public offering, the preferred stock automatically converted into shares of the Issuer's common stock at the rate of 1 share of common stock for each 25.4 shares of preferred stock. The preferred stock had no expiration date.
- F2Shares are held by 5AM Ventures III, L.P. 5AM Partners III, LLC ("5AM Partners") is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. and may be deemed to have solevoting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage, themanaging members of 5AM Partners, may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P.Each of 5AM Partners, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
- F3Shares are held by 5AM Co-Investors III, L.P. 5AM Partners is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. and may be deemed to have sole voting andinvestment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage, the managingmembers of 5AM Partners, may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of5AM Partners, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.