0001209191-18-048556.txt : 20180827
0001209191-18-048556.hdr.sgml : 20180827
20180827185051
ACCESSION NUMBER: 0001209191-18-048556
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180823
FILED AS OF DATE: 20180827
DATE AS OF CHANGE: 20180827
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zhou Quan
CENTRAL INDEX KEY: 0001747536
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38613
FILM NUMBER: 181039864
MAIL ADDRESS:
STREET 1: C/O BIONANO GENOMICS, INC.
STREET 2: 9640 TOWNE CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BioNano Genomics, Inc
CENTRAL INDEX KEY: 0001411690
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9640 TOWNE CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: (858) 888-7600
MAIL ADDRESS:
STREET 1: 9640 TOWNE CENTRE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: BioNanomatrix Inc
DATE OF NAME CHANGE: 20070906
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-08-23
0
0001411690
BioNano Genomics, Inc
BNGO
0001747536
Zhou Quan
C/O BIONANO GENOMICS, INC.
9640 TOWNE CENTRE DRIVE, SUITE 100
SAN DIEGO
CA
92121
1
0
1
0
Common Stock
2018-08-23
4
C
0
199653
A
199653
I
By entities affiliated with LC Fund VI, L.P.
Common Stock
2018-08-23
4
C
0
150550
A
350203
I
By entities affiliated with LC Fund VI, L.P.
Common Stock
2018-08-23
4
C
0
637984
A
988187
I
By entities affiliated with LC Fund VI, L.P.
Common Stock
2018-08-23
4
C
0
784728
A
1772915
I
By LC Healthcare Fund I, L.P.
Common Stock
2018-08-23
4
C
0
1134000
A
2906915
I
By Rosy Shine Limited
Series C Convertible Preferred Stock
2018-08-23
4
C
0
8545184
0.00
D
Common Stock
199653
0
I
By entities affiliated with LC Fund VI, L.P.
Series D Convertible Preferred Stock
2018-08-23
4
C
0
6443565
0.00
D
Common Stock
150550
0
I
By entities affiliated with LC Fund VI, L.P.
Series D-1 Convertible Preferred Stock
2018-08-23
4
C
0
27305708
0.00
D
Common Stock
637984
0
I
By entities affiliated with LC Fund VI, L.P.
Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.
The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P.
("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting
Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except
to the extent of his pecuniary interest therein.
The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting
Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except
to the extent of his pecuniary interest therein.
The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC
Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a
limited liability Chinese company ("Legend Capital"). The Reporting Person is an Executive Director of Legend Capital and disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.
Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued
interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
Healthcare Fund is controlled and managed by Legend Capital, a
limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial
ownership with respect to these securities, except to the extent of his pecuniary interest therein.
Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.
Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares.
/s/ Heather Adams, Attorney-in-fact
2018-08-27