0000899243-20-012198.txt : 20200506 0000899243-20-012198.hdr.sgml : 20200506 20200506211018 ACCESSION NUMBER: 0000899243-20-012198 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200505 FILED AS OF DATE: 20200506 DATE AS OF CHANGE: 20200506 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE ADVISORS LLC CENTRAL INDEX KEY: 0001224962 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20854256 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERCEPTIVE LIFE SCIENCES MASTER FUND LTD CENTRAL INDEX KEY: 0001249675 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20854257 BUSINESS ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5340 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Perceptive LS (A), LLC CENTRAL INDEX KEY: 0001797811 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20854258 BUSINESS ADDRESS: STREET 1: 51 ASTOR PLACE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 646-205-5300 MAIL ADDRESS: STREET 1: 51 ASTOR PLACE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EDELMAN JOSEPH CENTRAL INDEX KEY: 0001164426 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20854259 MAIL ADDRESS: STREET 1: C/O PERCEPTIVE ADVISORS LLC STREET 2: 51 ASTOR PLACE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Lyra Therapeutics, Inc. CENTRAL INDEX KEY: 0001327273 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 480 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 617-373-4600 MAIL ADDRESS: STREET 1: 480 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: 480 Biomedical, Inc. DATE OF NAME CHANGE: 20120927 FORMER COMPANY: FORMER CONFORMED NAME: Arsenal Vascular, Inc. DATE OF NAME CHANGE: 20110826 FORMER COMPANY: FORMER CONFORMED NAME: Arsenal Medical, Inc. DATE OF NAME CHANGE: 20090414 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-05-05 0 0001327273 Lyra Therapeutics, Inc. LYRA 0001224962 PERCEPTIVE ADVISORS LLC C/O PERCEPTIVE ADVISORS, LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 1 0 1 0 0001249675 PERCEPTIVE LIFE SCIENCES MASTER FUND LTD C/O PERCEPTIVE ADVISORS LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001797811 Perceptive LS (A), LLC C/O PERCEPTIVE ADVISORS, LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 0 0 1 0 0001164426 EDELMAN JOSEPH C/O PERCEPTIVE ADVISORS LLC 51 ASTOR PLACE, 10TH FLOOR NEW YORK NY 10003 1 0 1 0 Common Stock 2020-05-05 4 C 0 773327 0.00 A 773327 I See footnote Common Stock 2020-05-05 4 C 0 1132016 0.00 A 1132016 I See footnote Common Stock 2020-05-05 4 C 0 470739 0.00 A 1244066 I See footnote Common Stock 2020-05-05 4 X 0 141221 8.63 A 1385287 I See footnote Common Stock 2020-05-05 4 F 0 76172 16.00 D 1309115 I See footnote Common Stock 2020-05-05 4 X 0 339604 8.63 A 1471620 I See footnote Common Stock 2020-05-05 4 F 0 183174 16.00 D 1288446 I See footnote Series B Convertible Preferred Stock 2020-05-05 4 C 0 26666666 0.00 D Common Stock 773327 0 I See footnote Series C Convertible Preferred Stock 2020-05-05 4 C 0 39035325 0.00 D Common Stock 1132016 0 I See footnote Series C Convertible Preferred Stock 2020-05-05 4 C 0 16232511 0.00 D Common Stock 470739 0 I See footnote Common Warrants 8.63 2020-05-05 4 X 0 141221 0.00 D 2020-01-17 2030-01-10 Common Stock 141221 0 I See footnote Common Warrants 8.63 2020-05-05 4 X 0 339604 0.00 D 2020-01-17 2030-01-10 Common Stock 339604 0 I See footnote The securities reported in this row are held by Perceptive Life Sciences Master Fund, Ltd. (the "Master Fund"). Perceptive Advisors, LLC (the "Advisor") serves as the investment advisor to the Master Fund. Perceptive LS GP, LLC ("GP") is the manager of Perceptive LS (A), LLC ("Perceptive LS"). Joseph Edelman is the managing member of the Advisor and the sole member of GP. Each of Mr. Edelman, GP and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman, GP or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. The securities reported in this row are held by Perceptive LS. On May 5, 2020, the reporting persons exercised a warrant to purchsae 141,221 shares of the Issuer's common stock for $16.00 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 76,172 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares. The Issuer also paid $14.77 to the reporting person in lieu of a fractional share. On May 5, 2020, the reporting persons exercised a warrant to purchase 339,604 shares of the Issuer's common stock for $16.00 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 183,174 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining shares. The Issuer also paid $1.48 to the reporting person in lieu of a fractional share. The preferred stock was convertible at any time, at the holder's election and had no expiration date. Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. Perceptive Life Sciences Master Fund, Ltd. 2020-05-06 Perceptive LS (A), LLC 2020-05-06 /s/ Joseph Edelman 2020-05-06 Perceptive Advisors, LLC 2020-05-06