FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BG Medicine, Inc. [ BGMD ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/03/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/03/2014 | X | 464 | A | $0.04 | 92,590 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | S(2) | 37 | D | $0.46(3) | 92,553 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | X | 847 | A | $0.02 | 93,400 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | S(4) | 31 | D | $0.46(3) | 93,369 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | X | 1,724 | A | $0.02 | 95,093 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | S(5) | 63 | D | $0.46(3) | 95,030 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | X | 1,724 | A | $0.02 | 96,754 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | S(6) | 63 | D | $0.46(3) | 96,691 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | X | 1,724 | A | $0.02 | 98,415 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/03/2014 | S(7) | 63 | D | $0.46(3) | 98,352 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 12/04/2014 | J(8) | 98,352 | D | $0 | 0 | I | Held by ST NewcoGen LLC(1) | ||
Common Stock | 2,434,800 | I | Held by NewcoGen Group LLC(1) | |||||||
Common Stock | 651,560 | I | Held by NewcoGen Equity Investors LLC(1) | |||||||
Common Stock | 92,294 | I | Held by NewcoGen-Long Reign Holding LLC(1) | |||||||
Common Stock | 215,013 | I | Held by AGTC Advisors Fund, L.P.(1) | |||||||
Common Stock | 2,851,447 | I | Held by Applied Genomic Technology Capital Fund, L.P.(1) | |||||||
Common Stock | 1,764,286 | I | Held by Flagship Ventures Fund 2007, L.P.(9) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant to Purchase Common Stock (right to buy) | $0.04 | 12/03/2014 | X | 464 | (10) | 07/10/2016 | Common Stock | 464 | $0 | 0 | I | Held by ST NewcoGen LLC(1) | |||
Warrant to Purchase Common Stock (right to buy) | $0.02 | 12/03/2014 | X | 847 | (10) | 03/28/2018 | Common Stock | 847 | $0 | 0 | I | Held by ST NewcoGen LLC(1) | |||
Warrant to Purchase Common Stock (right to buy) | $0.02 | 12/03/2014 | X | 1,724 | (10) | 03/30/2020 | Common Stock | 1,724 | $0 | 0 | I | Held by ST NewcoGen LLC(1) | |||
Warrant to Purchase Common Stock (right to buy) | $0.02 | 12/03/2014 | X | 1,724 | (10) | 09/27/2020 | Common Stock | 1,724 | $0 | 0 | I | Held by ST NewcoGen LLC(1) | |||
Warrant to Purchase Common Stock (right to buy) | $0.02 | 12/03/2014 | X | 1,724 | (10) | 11/04/2020 | Common Stock | 1,724 | $0 | 0 | I | Held by ST NewcoGen LLC(1) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. NewcoGen Group, Inc. ("NG") is the manager of each of NewcoGen Group LLC ("NGG"), NewcoGen Equity Investors LLC ("NEI"), NewcoGen-Long Reign Holding LLC ("NGLRH") and ST NewcoGen LLC ("STN", and together with NGG, NEI and NGLRH, the "NewcoGen Funds"). NG is also the general partner of AGTC Partners, L.P., which is the general partner of AGTC Advisors Fund, L.P. ("AGTCA") and Applied Genomic Technology Capital Fund L.P. ("AGTCF", and together with AGTCA, the "AGTC Funds"). NG is a wholly-owned subsidiary of Flagship Ventures Management, Inc. ("Flagship"). Noubar Afeyan and Edwin M. Kania, Jr. are directors of Flagship and may be deemed to beneficially own the securities held by the NewcoGen Funds and the AGTC Funds. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein. |
2. On December 3, 2014, STN exercised a warrant to purchase 464 shares of Common Stock for $0.04 per share. STN exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 37 of the warrant shares to pay the exercise price and issuing to STN the remaining 427 shares. |
3. The price reflects the average of the closing prices of the Common Stock over the five day period prior to the exercise date. |
4. On December 3, 2014, STN exercised a warrant to purchase 847 shares of Common Stock for $0.02 per share. STN exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 31 of the warrant shares to pay the exercise price and issuing to STN the remaining 816 shares. |
5. On December 3, 2014, STN exercised a warrant to purchase 1,724 shares of Common Stock for $0.02 per share. STN exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 63 of the warrant shares to pay the exercise price and issuing to STN the remaining 1,661 shares. |
6. On December 3, 2014, STN exercised a warrant to purchase 1,724 shares of Common Stock for $0.02 per share. STN exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 63 of the warrant shares to pay the exercise price and issuing to STN the remaining 1,661 shares. |
7. On December 3, 2014, STN exercised a warrant to purchase 1,724 shares of Common Stock for $0.02 per share. STN exercised the warrant on a cashless basis, resulting in the Issuer's withholding of 63 of the warrant shares to pay the exercise price and issuing to STN the remaining 1,661 shares. |
8. In addition to the cashless exercises of the warrants reported above, this Form 4 is being filed to report a pro-rata distribution by STN for no consideration to its members. The beneficial ownership of the entities named in this Form 4, other than the Reporting Persons filing this Form 4, did not change as a result of this transaction. |
9. Noubar Afeyan and Edwin M. Kania, Jr. are managers of Flagship Ventures 2007 General Partner, LLC, which is the general partner of Flagship Ventures Fund 2007, L.P., and may be deemed to beneficially own the securities held by Flagship Ventures Fund 2007, L.P. Each of Messrs. Afeyan and Kania disclaim beneficial ownership of the securities except to the extent of his pecuniary interest therein. |
10. This warrant is immediately exercisable. |
/s/ Noubar Afeyan | 12/05/2014 | |
/s/ Noubar Afeyan, Authorized Signatory for ST NewcoGen LLC | 12/05/2014 | |
/s/ Edwin M. Kania, Jr. | 12/05/2014 | |
/s/ Noubar Afeyan, Authorized Signatory for Flagship Ventures Management, Inc. | 12/05/2014 | |
/s/ Noubar Afeyan, Authorized Signatory for NewcoGen Group, Inc. | 12/05/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |