0001493152-20-009217.txt : 20200515 0001493152-20-009217.hdr.sgml : 20200515 20200515181657 ACCESSION NUMBER: 0001493152-20-009217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200505 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levy Guy CENTRAL INDEX KEY: 0001812305 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887221 MAIL ADDRESS: STREET 1: C/O SOLEUS PRIVATE EQUITY GP I, LLC STREET 2: 104 FIELD POINT ROAD, 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus Capital Group, LLC CENTRAL INDEX KEY: 0001812276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887222 BUSINESS ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 4752083111 MAIL ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus Capital, LLC CENTRAL INDEX KEY: 0001786724 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887223 BUSINESS ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: FLOOR 2 CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-542-5527 MAIL ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: FLOOR 2 CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus Capital Master Fund, L.P. CENTRAL INDEX KEY: 0001812275 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887224 BUSINESS ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 4752083111 MAIL ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus PE GP I, LLC CENTRAL INDEX KEY: 0001812274 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887225 BUSINESS ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 4752083111 MAIL ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus Private Equity Fund I, L.P. CENTRAL INDEX KEY: 0001752427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887226 BUSINESS ADDRESS: STREET 1: C/O SOLEUS PRIVATE EQUITY GP I, LLC STREET 2: 104 FIELD POINT ROAD, 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 475-208-3178 MAIL ADDRESS: STREET 1: C/O SOLEUS PRIVATE EQUITY GP I, LLC STREET 2: 104 FIELD POINT ROAD, 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soleus Private Equity GP I, LLC CENTRAL INDEX KEY: 0001812273 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39273 FILM NUMBER: 20887227 BUSINESS ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 4752083111 MAIL ADDRESS: STREET 1: 104 FIELD POINT ROAD STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 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 ownership.xml X0306 4 2020-05-05 1 0001327273 Lyra Therapeutics, Inc. LYRA 0001812273 Soleus Private Equity GP I, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001752427 Soleus Private Equity Fund I, L.P. 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001812274 Soleus PE GP I, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001812275 Soleus Capital Master Fund, L.P. 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001786724 Soleus Capital, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001812276 Soleus Capital Group, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 0001812305 Levy Guy C/O SOLEUS PRIVATE EQUITY GP I, LLC 104 FIELD POINT ROAD, 2ND FLOOR GREENWICH CT 06830 0 0 1 0 Common Stock 2020-05-05 4 C 0 338330 0.00 A 338330 I See footnote Common Stock 2020-05-05 4 C 0 104608 0.00 A 442948 I See footnote Common Stock 2020-05-05 4 X 0 31382 8.63 A 474330 I See footnote Common Stock 2020-05-05 4 S 0 16909 16.00 D 457421 I See footnote Common Stock 2020-05-05 4 P 0 155000 16.00 A 155000 I See footnote Series B Convertible Preferred Stock 2020-05-05 4 C 0 11666666 0.00 D Common Stock 338330 0 I See footnote Series C Convertible Preferred Stock 2020-05-05 4 C 0 3607224 0.00 D Common Stock 104608 0 I See footnote Common Stock Warrant 8.63 2020-05-05 4 X 0 31382 0.00 D 2020-01-27 2030-01-27 Common Stock 31382 0 I See footnote The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. 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. Soleus Private Equity GP I, LLC /s/ Guy Levy, Managing Member of Soleus PE GP I, LLC, which is the Manager of Soleus Private Equity GP I, LLC 2020-05-15 Soleus Private Equity Fund I, L.P., /s/ Guy Levy, Managing Member of Soleus PE GP I, LLC, which is the Manager of Soleus Private Equity GP I, LLC, which is the General Partner of Soleus Private Equity Fund I, L.P. 2020-05-15 Soleus PE GP I, LLC /s/ Guy Levy, Managing Member 2020-05-15 Soleus Capital Master Fund, L.P./s/ Guy Levy, Managing Member of Soleus Capital Group, LLC, which is the Managing Member of Soleus Capital, LLC, which is the General Partner of Soleus Capital Master Fund, L.P. 2020-05-15 Soleus Capital, LLC /s/ Guy Levy, Managing Member of Soleus Capital Group, LLC, which is the Managing Member of Soleus Capital, LLC 2020-05-15 Soleus Capital Group, LLC /s/ Guy Levy, Managing Member 2020-05-15 Guy Levy /s/ Guy Levy 2020-05-15