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