0000899243-17-029263.txt : 20171219 0000899243-17-029263.hdr.sgml : 20171219 20171219204406 ACCESSION NUMBER: 0000899243-17-029263 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171215 FILED AS OF DATE: 20171219 DATE AS OF CHANGE: 20171219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Ventures Fund V, L.P. CENTRAL INDEX KEY: 0001398937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 171265548 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-688-0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Ventures V Affiliates Fund, L.P. CENTRAL INDEX KEY: 0001398936 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 171265549 BUSINESS ADDRESS: STREET 1: 575 HIGH STREET, SUITE 201 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-688-0818 MAIL ADDRESS: STREET 1: 575 HIGH STREET, SUITE 201 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Ventures V, LLC CENTRAL INDEX KEY: 0001399028 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 171265550 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-688-0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SOLENO THERAPEUTICS INC CENTRAL INDEX KEY: 0001484565 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770523891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-213-8444 MAIL ADDRESS: STREET 1: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 FORMER COMPANY: FORMER CONFORMED NAME: Capnia, Inc. DATE OF NAME CHANGE: 20100219 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-12-15 0 0001484565 SOLENO THERAPEUTICS INC SLNO 0001399028 Vivo Ventures V, LLC 505 HAMILTON AVENUE, SUITE 207 PALO ALTO CA 94301 0 0 1 0 0001398936 Vivo Ventures V Affiliates Fund, L.P. 505 HAMILTON AVENUE, SUITE 207 PALO ALTO CA 94301 0 0 1 0 0001398937 Vivo Ventures Fund V, L.P. 505 HAMILTON AVENUE, SUITE 207 PALO ALTO CA 94301 0 0 1 0 Common Stock 2017-12-15 4 P 0 1072888 1.8425 A 3888137 I See footnote Common Stock 2017-12-15 4 P 0 12592 1.8425 A 45667 I See footnote Common Stock Warrant (Right to Buy) 2.00 2017-12-15 4 P 0 793937 A 2017-12-15 Common Stock 793937 793937 I See footnote Common Stock Warrant (Right to Buy) 2.00 2017-12-15 4 P 0 9318 A 2017-12-15 Common Stock 9318 9318 I See footnote The securities are held directly by Vivo Ventures Fund V. L.P. ("Vivo Ventures Fund V"). The Reporting Person is the sole general partner of Vivo Ventures Fund V, and may be deemed to beneficially own such securities. The Reporting Person holds voting and dispositive power with respect to the securities held by Vivo Ventures Fund V. Edgar Engleman, Albert Cha and Frank Kung are members of the Reporting Person and disclaim beneficial ownership of the securities held by Vivo Ventures Fund V, except to the extent of any pecuniary interest therein. The securities are held directly by Vivo Ventures V Affiliates Fund L.P. ("Vivo Ventures V Affiliates Fund"). The Reporting Person is the sole general partner of Vivo Ventures V Affiliates Fund, and may be deemed to beneficially own such securities. The Reporting Person holds voting and dispositive power with respect to the securities held by Vivo Ventures V Affiliates Fund. Edgar Engleman, Albert Cha and Frank Kung are members of the Reporting Person and disclaim beneficial ownership of the securities held by Vivo Ventures V Affiliates Fund, except to the extent of any pecuniary interest therein. The warrant has a term of three years and, in the event of positive Phase III results for Diazoxide Choline Controlled-Release (DCCR) tablet in Prader-Willi syndrome (PWS), the warrant will expire 30 days from the announcement of such results. The reported securities are included within 1,072,888 units purchased by the Reporting Person for $1.8425 per unit. Each unit consists of one share of common stock and one warrant to acquire 74% of a share of common stock. The reported securities are included within 12,592 units purchased by the Reporting Person for $1.8425 per unit. Each unit consists of one share of common stock and one warrant to acquire 74% of a share of common stock. /s/ Frank Kung, Managing Member 2017-12-19