0001209191-16-146045.txt : 20161017 0001209191-16-146045.hdr.sgml : 20161017 20161017162649 ACCESSION NUMBER: 0001209191-16-146045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161013 FILED AS OF DATE: 20161017 DATE AS OF CHANGE: 20161017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EVERSPIN TECHNOLOGIES INC CENTRAL INDEX KEY: 0001438423 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 262640654 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1347 N ALMA SCHOOL ROAD STREET 2: SUITE 220 CITY: CHANDLER STATE: AZ ZIP: 85224 BUSINESS PHONE: 480-347-1111 MAIL ADDRESS: STREET 1: 1347 N ALMA SCHOOL ROAD STREET 2: SUITE 220 CITY: CHANDLER STATE: AZ ZIP: 85224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hebert Peter CENTRAL INDEX KEY: 0001683771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37900 FILM NUMBER: 161939058 MAIL ADDRESS: STREET 1: C/O LUX VENTURES STREET 2: 295 MADISON AVE, 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-10-13 0 0001438423 EVERSPIN TECHNOLOGIES INC MRAM 0001683771 Hebert Peter C/O LUX CAPITAL MANAGEMENT 295 MADISON AVENUE, 24TH FLOOR NEW YORK NY 10017 1 0 0 0 Common Stock 2016-10-13 4 C 0 219916 A 537859 I See Footnote Common Stock 2016-10-13 4 C 0 118606 A 656465 I See Footnote Common Stock 2016-10-13 4 C 0 131719 6.40 A 788184 I See Footnote Common Stock 2016-10-13 4 C 0 89946 6.40 A 878130 I See Footnote Common Stock 2016-10-13 4 P 0 137420 8.00 A 1015550 I See Footnote Series A Preferred Stock 2016-10-13 4 C 0 219916 0.00 D Common Stock 219916 0 I See Footnote Series B Preferred Stock 2016-10-13 4 C 0 118606 0.00 D Common Stock 118606 0 I See Footnote 5% Convertible Subordinated Promissory Note 6.40 2016-10-13 4 C 0 814399.00 0.00 D Common Stock 131719 0 I See Footnote 5% Convertible Subordinated Promissory Note 6.40 2016-10-13 4 C 0 570037.52 0.00 D Common Stock 89946 0 I See Footnote The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. The shares are held as follows: 516,212 by Lux Ventures II, L.P. ("LVII") and 21,647 by Lux Ventures II Sidecar, L.P. ("Sidecar"). Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Mr. Hebert is an individual manager of LCM LLC. LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. Mr. Hebert disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein. The shares are held as follows: 630,045 by LV II and 26,420 by Sidecar. The shares are held as follows: 756,463 by LV II and 31,721 by Sidecar. The shares are held as follows: 842,789 by LV II and 35,341 by Sidecar. The shares are held as follows: 974,678 by LV II and 40,872 by Sidecar. The shares were held as follows: 211,065 by LV II and 8,851 by Sidecar. The shares were held as follows: 113,833 by LV II and 4,773 by Sidecar. The notes were issued in the original principal amount of $781,563.56 to LVII and $32,775.44 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $27,515.32 for LVII and $1,153.88 for Sidecar through October 12, 2016. The notes were issued in the original principal amount of $547,094.52 to LVII and $22,943.00 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $5,396.00 for LVII and $226.29 for Sidecar through October 12, 2016. /s/ Matt Hemington, attorney-in-fact 2016-10-17