SEC Form 4 · accession 0001209191-16-133847

Audentes Therapeutics, Inc. · BOLD

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

Reporting owner

5AM Partners III, LLC

10% Owner

Period of report

Jul 25, 2016

Accepted (ET)

Jul 25, 2016 · 5:06 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001628738

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Jul 25, 2016	C	1,387,392	—	A	1,387,392	I	By 5AM Ventures III, L.P.
Common Stock^F3,F2	Jul 25, 2016	C	616,874	—	A	2,004,266	I	By 5AM Ventures III, L.P.
Common Stock^F4,F2	Jul 25, 2016	C	259,524	—	A	2,263,790	I	By 5AM Ventures III, L.P.
Common Stock^F1,F2	Jul 25, 2016	C	35,755	—	A	35,755	I	By 5AM Co-Investors III, L.P.
Common Stock^F3,F2	Jul 25, 2016	C	15,898	—	A	51,653	I	By 5AM Co-Investors III, L.P.
Common Stock^F4,F2	Jul 25, 2016	C	6,688	—	A	58,341	I	By 5AM Co-Investors III, L.P.
Common Stock^F2	Jul 25, 2016	P	68,241	$15.00	A	2,332,031	I	By 5AM Ventures III, L.P.
Common Stock^F2	Jul 25, 2016	P	1,759	$15.00	A	60,100	I	By 5AM Co-Investors III, L.P.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F1,F2	—	Jul 25, 2016	C	1,387,392	D	—	—	Common Stock	1,387,392	I
Series B Preferred Stock^F3,F2	—	Jul 25, 2016	C	616,874	D	—	—	Common Stock	616,874	I
Series C Preferred Stock^F4,F2	—	Jul 25, 2016	C	259,524	D	—	—	Common Stock	259,524	I
Series A Preferred Stock^F1,F2	—	Jul 25, 2016	C	35,755	D	—	—	Common Stock	35,755	I
Series B Preferred Stock^F3,F2	—	Jul 25, 2016	C	15,898	D	—	—	Common Stock	15,898	I
Series C Preferred Stock^F4,F2	—	Jul 25, 2016	C	6,688	D	—	—	Common Stock	6,688	I

Explanation of responses

F1Each share of the issuer's Series A Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-208842) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F25AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III, LLC. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage 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 III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein.
F3Each share of the issuer's Series B Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F4Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 25, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.