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