SEC Form 4 · accession 0000899243-18-017995
Kezar Life Sciences, Inc. · KZR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Otello Stampacchia
Other
Omega Fund IV, L.P.
Other
Richard J. Lim
Other
Anne-Mari Paster
Other
Period of report
Jun 25, 2018
Accepted (ET)
Jun 25, 2018 · 7:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645666
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 25, 2018 | C | 315,489 | $0.00 | A | 315,489 | D | |
| Common StockF1,F2 | Jun 25, 2018 | C | 315,489 | $0.00 | A | 315,489 | I | By Omega IV |
| Common StockF3 | Jun 25, 2018 | C | 377,783 | $0.00 | A | 693,272 | D | |
| Common StockF3,F2 | Jun 25, 2018 | C | 377,783 | $0.00 | A | 693,272 | I | By Omega IV |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Redeemable Convertible Preferred StockF1 | — | Jun 25, 2018 | C | 315,489 | D | — | — | Common Stock | 315,489 | 0 | D |
| Series A Redeemable Convertible Preferred StockF2,F1 | — | Jun 25, 2018 | C | 315,489 | D | — | — | Common Stock | 315,489 | 0 | I |
| Series B Redeemable Convertible Preferred StockF3 | — | Jun 25, 2018 | C | 377,783 | D | — | — | Common Stock | 377,783 | 0 | D |
| Series B Redeemable Convertible Preferred StockF2,F3 | — | Jun 25, 2018 | C | 377,783 | D | — | — | Common Stock | 377,783 | 0 | I |
Explanation of responses
- F1The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.
- F2The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.
- F3The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.