0000899243-17-023582.txt : 20171004
0000899243-17-023582.hdr.sgml : 20171004
20171004180501
ACCESSION NUMBER: 0000899243-17-023582
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171002
FILED AS OF DATE: 20171004
DATE AS OF CHANGE: 20171004
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: 171122820
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
2017-10-02
0
0001484565
SOLENO THERAPEUTICS INC
SLNO
0001399028
Vivo Ventures V, LLC
505 HAMILTON AVENUE, SUITE 207
PALO ALTO
CA
94301
0
0
1
0
Common Stock
2017-10-02
4
A
0
16827
0.52
A
45059
D
Common Stock
14076263
I
See footnote
Common Stock
165372
I
See footnote
Effective January 1, 2017, annual board and committee cash retainers payable to directors will be made in equivalent shares of the Issuer's common stock, on a quarterly basis which is payable directly to Vivo Ventures V, Capital LLC (Vivo V LLC) for the service of Edgar Engleman, M.D. These shares were issued in lieu of cash in the amount of $8,750, as compensation for Edgar Engleman's services as a board member of the Issuer pursuant to Rule 16b-3(d) and are held of record by Vivo Capital LLC. Vivo Capital LLC, an investment adviser registered with the Securities Exchange Commission, provides investment management, administrative and other related services to Vivo Ventures V, LLC, Vivo Ventures Fund V, L.P. and Vivo Ventures V Affiliates Fund, L.P. Vivo Ventures V, LLC is the sole general partner of Vivo Ventures Fund V, L.P. and Vivo Ventures V Affiliates Fund, L.P. Edgar Engleman is a managing member of Vivo Capital LLC and a managing member of Vivo Ventures V, LLC.
(Continued from Footnote 1) Vivo Ventures V, LLC, Vivo Ventures Fund V, L.P. and Vivo Ventures V Affiliates Fund, L.P each disclaims beneficial ownership of the securities held by Vivo Capital LLC, except to the extent of any pecuniary interest therein. Edgar Engleman, Frank Kung, Albert Cha, Chen Yu and Shan Fu are managing members of Vivo Capital LLC and each of them disclaims beneficial ownership of the securities held by Vivo Capital LLC, except to the extent of any pecuniary interest therein.
The number of shares issuable in lieu of cash retainers was determined using the closing price per share of Issuer common stock on September 29, 2017, or $0.52.
The shares 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 shares. The Reporting Person holds voting and dispositive power with respect to the securities held by Vivo Ventures Fund V. Edgar Engleman, M.D., Albert Cha, M.D., and certain other individuals 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 shares 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 shares. The Reporting Person is the sole general partner of Vivo Ventures V Affiliates Fund, and may be deemed to beneficially own such shares. The Reporting Person holds voting and dispositive power with respect to the securities held by Vivo Ventures Fund V. Edgar Engleman, M.D., and certain other individuals 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.
/s/ Anish Bhatnagar, Attorney-in-Fact
2017-10-04