SEC Form 4 · accession 0001209191-15-009821
Decoy Therapeutics Inc. · DCOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christoph H Westphal
Officer — President and CEO · Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 4:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001615219
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 3, 2015 | C | 1,868,067 | $0.00 | A | 1,868,067 | I | By Longwood Fund II. L.P. |
| Common StockF1,F2 | Feb 3, 2015 | C | 516,697 | $0.00 | A | 2,384,764 | I | By Longwood Fund II, 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,F3,F4,F2 | $0.00 | Feb 3, 2015 | C | 8,000,000 | D | — | — | Common Stock | 8,000,000 | 0 | I |
| Series B Preferred StockF1,F3,F4,F2 | $0.00 | Feb 3, 2015 | C | 2,212,756 | D | — | — | Common Stock | 2,212,756 | 0 | I |
Explanation of responses
- F1The shares automatically converted on a 4.2825-for-1 basis into shares of the Issuer's Common Stock upon the closing of a Qualified Public Offering (as defined in the Amended and Restated Certificate of Incorporation).
- F2Longwood Fund II GP, LLC is the ultimate General Partner of Longwood Fund II, L.P. Christoph Westphal, M.D., Ph.D., Richard Aldrich and Michelle Dipp, M.D., Ph.D. (collectively, the "Managers") are managers of Longwood Fund II GP, LLC, and, as such, may be deemed to have shared voting and dispositive power with respect to the issuer's securities held by Longwood Fund II, L.P. (the "Longwood Shares"). Each of the Managers disclaim beneficial ownership of the Longwood Shares, except to the extent of their respective pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the shares for purposes of Section 16 or for any other purpose.
- F3N/A.
- F4The shares have no expiration date.