0000899243-16-013608.txt : 20160217
0000899243-16-013608.hdr.sgml : 20160217
20160217184520
ACCESSION NUMBER: 0000899243-16-013608
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160217
FILED AS OF DATE: 20160217
DATE AS OF CHANGE: 20160217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WERNER HAROLD R
CENTRAL INDEX KEY: 0001013603
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435539
MAIL ADDRESS:
STREET 1: C/O HEALTHCARE VENTURES LLC
STREET 2: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LITTLECHILD JOHN W
CENTRAL INDEX KEY: 0001013469
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435540
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAWLOR AUGUSTINE
CENTRAL INDEX KEY: 0001262327
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435541
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCare Partners VIII, L.P.
CENTRAL INDEX KEY: 0001358991
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435542
BUSINESS ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-430-3913
MAIL ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCare Partners VIII, LLC
CENTRAL INDEX KEY: 0001358992
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435543
BUSINESS ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-430-3913
MAIL ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mirabelli Christopher
CENTRAL INDEX KEY: 0001262326
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435546
MAIL ADDRESS:
STREET 1: 55 CAMBRIDGE PARKWAY
STREET 2: SUITE 301
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
FORMER NAME:
FORMER CONFORMED NAME: MIRAELLI CHRISTOPHER
DATE OF NAME CHANGE: 20030904
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PROTEOSTASIS THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001445283
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 200 TECHNOLOGY SQUARE
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
BUSINESS PHONE: 617-225-0096
MAIL ADDRESS:
STREET 1: 200 TECHNOLOGY SQUARE
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
FORMER COMPANY:
FORMER CONFORMED NAME: PROTEOSTASIS THERAPEUTICS INC
DATE OF NAME CHANGE: 20080916
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CAVANAUGH JAMES H
CENTRAL INDEX KEY: 0001013473
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435544
MAIL ADDRESS:
STREET 1: 265 HOTHORPE LANE
CITY: VILLANOVA
STATE: PA
ZIP: 19085
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HealthCare Ventures VIII, L.P.
CENTRAL INDEX KEY: 0001358990
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 161435545
BUSINESS ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: 609-430-3913
MAIL ADDRESS:
STREET 1: 44 NASSAU STREET
CITY: PRINCETON
STATE: NJ
ZIP: 08542
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-02-17
0
0001445283
PROTEOSTASIS THERAPEUTICS, INC.
PTI
0001262326
Mirabelli Christopher
C/O HEALTHCARE VENTURES LLC,
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
1
0
1
0
0001358990
HealthCare Ventures VIII, L.P.
C/O HEALTHCARE VENTURES LLC,
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001013473
CAVANAUGH JAMES H
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001358992
HealthCare Partners VIII, LLC
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001358991
HealthCare Partners VIII, L.P.
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001262327
LAWLOR AUGUSTINE
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001013469
LITTLECHILD JOHN W
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
0001013603
WERNER HAROLD R
C/O HEALTHCARE VENTURES LLC
47 THORNDIKE STREET, SUITE B1-1
CAMBRIDGE
MA
02141
0
0
1
0
Common Stock
2016-02-17
4
C
0
1774295
A
1774295
I
See Footnote
Common Stock
2016-02-17
4
P
0
375000
8.00
A
2149295
I
See Footnote
Series A Convertible Redeemable Preferred Stock
2016-02-17
4
C
0
11600000
0.00
D
Common Stock
1559707
0
I
See Footnote
Series B Convertible Redeemable Preferred Stock
2016-02-17
4
C
0
2319750
0.00
D
Common Stock
214588
0
I
See Footnote
Series A Convertible Preferred Warrant (Right to Buy)
1.00
2016-02-17
4
J
0
160000
0.00
D
2008-07-08
2018-07-08
Series A Preferred Stock
160000
0
I
See Footnote
Common Stock Warrant (Right to Buy)
10.8102
2016-02-17
4
J
0
14800
0.00
A
2008-07-08
2018-07-08
Common Stock
14800
14800
I
See Footnote
This transaction represents the total number of shares of Common Stock of the Issuer (the "Issuer Common Stock") received upon the conversion of the Issuer's Series A Convertible Redeemable Preferred Stock (the "Series A Shares"), the payment of accrued dividends on the Series A Shares and the conversion of the Issuer's Series B Convertible Redeemable Preferred Stock ( collectively, the "Preferred Shares").
The securities are held of record by HealthCare Ventures VIII, L.P. ("HCVVIII"). HealthCare Partners VIII, L.P. ("HCPVIII") is the General Partner of HCVVIII and HealthCare Partners VIII, LLC (the "LLC") is the General Partner of HCPVIII. Each of James Cavanaugh, Harold Werner, John Littlechild, Christopher Mirabelli and Augustine Lawlor are the managing directors of the LLC and exercise shared voting and investment power with respect to the shares owned by HCVVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Dr. Mirabelli is also a director of the issuer.
These securities were purchased in the initial public offering of the Issuer.
The Preferred Shares automatically converted into Issuer Common Stock on a 10.8102-to-1 basis upon the closing of the initial public offering of the Issuer without payment or further consideration. The Preferred Shares were convertible at any time at the election of the Reporting Person and had no expiration date.
These securities include shares of Issuer Common Stock received as payment for accrued dividends on the Series A Shares.
This transaction represents a deemed disposition of warrants to purchase Series A Shares and a deemed acquisition of warrants to purchase shares of Issuer Common Stock on a 10.8102-to-1 basis, which occurred automatically upon the closing of the initial public offering of the Issuer without payment or further consideration. The transaction is listed solely for the purpose of reporting the change in the shares underlying the warrants.
/s/ Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli
2016-02-17
/s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Ventures VII, L.P.
2016-02-17
/s/ Jeffrey B. Steinberg, Attorney-in-Fact for James H. Cavanaugh
2016-02-17
/s/ Jeffrey B. Steinberg, Administrative Officer of HealthCare Partners VIII LLC
2016-02-17
/s/ Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VIII, L.P.
2016-02-17
/s/ Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor
2016-02-17
/s/ Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild
2016-02-17
/s/ Jeffrey B. Steinberg, Attorney-in-Fact for Harold Werner
2016-02-17