0001209191-19-011346.txt : 20190219 0001209191-19-011346.hdr.sgml : 20190219 20190219191819 ACCESSION NUMBER: 0001209191-19-011346 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190219 FILED AS OF DATE: 20190219 DATE AS OF CHANGE: 20190219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SILVERSTEIN JONATHAN CENTRAL INDEX KEY: 0001171005 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38809 FILM NUMBER: 19616735 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AVEDRO INC CENTRAL INDEX KEY: 0001343304 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 JONES ROAD CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781 768 3400 MAIL ADDRESS: STREET 1: 201 JONES ROAD CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-19 0 0001343304 AVEDRO INC AVDR 0001171005 SILVERSTEIN JONATHAN C/O AVEDRO, INC. 201 JONES ROAD WALTHAM MA 02451 1 0 1 0 Common Stock 2019-02-19 4 C 0 3370786 A 3523204 I See Footnote Common Stock 2019-02-19 4 C 0 333178 A 3856382 I See Footnote Common Stock 2019-02-19 4 C 0 383746 A 4240128 I See Footnote Series AA Convertible Preferred Stock 2019-02-19 4 C 0 3370786 0.00 D Common Stock 3370786 0 I See Footnote Series BB Convertible Preferred Stock 2019-02-19 4 C 0 333178 0.00 D Common Stock 333178 0 I See Footnote Series CC Convertible Preferred Stock 2019-02-19 4 C 0 383746 0.00 D Common Stock 383746 0 I See Footnote Stock Option (right to buy) 12.73 2019-02-19 4 A 0 8314 0.00 A 2029-01-08 Common Stock 8314 8314 D Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of Advisors. Each of GP VI, Advisors, and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (x) June 1, 2020 and (y) the first anniversary of the first annual meeting of the Issuer's stockholders following the Issuer's initial public offering, subject to the Reporting Person continuing to provide service through such date. /s/ Paul S. Bavier, Attorney-in-Fact 2019-02-19