0001213900-23-097043.txt : 20231219 0001213900-23-097043.hdr.sgml : 20231219 20231219180001 ACCESSION NUMBER: 0001213900-23-097043 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231215 FILED AS OF DATE: 20231219 DATE AS OF CHANGE: 20231219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Fund VIII, L.P. CENTRAL INDEX KEY: 0001618788 ORGANIZATION NAME: FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40353 FILM NUMBER: 231498755 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 Capital Surplus Fund VIII, L.P. CENTRAL INDEX KEY: 0001628048 ORGANIZATION NAME: FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40353 FILM NUMBER: 231498754 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 Capital VIII, LLC CENTRAL INDEX KEY: 0001618789 ORGANIZATION NAME: FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40353 FILM NUMBER: 231498756 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0822 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMPEL PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001445499 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 263058238 STATE OF INCORPORATION: DE FISCAL YEAR END: 0426 BUSINESS ADDRESS: STREET 1: 201 ELLIOTT AVE. W STREET 2: SUITE 260 CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 206-568-1466 MAIL ADDRESS: STREET 1: 201 ELLIOTT AVE. W STREET 2: SUITE 260 CITY: SEATTLE STATE: WA ZIP: 98119 FORMER COMPANY: FORMER CONFORMED NAME: IMPEL NEUROPHARMA INC DATE OF NAME CHANGE: 20080917 4 1 ownership.xml X0508 4 2023-12-15 1 0001445499 IMPEL PHARMACEUTICALS INC IMPL 0001618789 Vivo Capital VIII, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001618788 Vivo Capital Fund VIII, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001628048 Vivo Capital Surplus Fund VIII, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0 Common Stock 2023-12-15 4 S 0 87934 0.29 D 2447181 I By: Vivo Capital Fund VIII, L.P. Common Stock 2023-12-15 4 S 0 12066 0.29 D 337608 I By: Vivo Capital Surplus Fund VIII, L.P. Common Stock 2023-12-18 4 S 0 209029 0.11 D 2238152 I By: Vivo Capital Fund VIII, L.P. Common Stock 2023-12-18 4 S 0 28682 0.11 D 308926 I By: Vivo Capital Surplus Fund VIII, L.P. Common Stock 2023-12-19 4 S 0 208657 0.08 D 2029495 I By: Vivo Capital Fund VIII, L.P. Common Stock 2023-12-19 4 S 0 28632 0.08 D 280294 I By: Vivo Capital Surplus Fund VIII, L.P. The shares are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the General Partner of Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. Vivo Capital VIII, LLC, By: /s/ Frank Kung, Managing Member 2023-12-19 Vivo Capital Fund VIII, L.P., By: Vivo Capital VIII, LLC, its General Partner By: /s/ Frank Kung, Managing Member 2023-12-19 Vivo Capital Surplus Fund VIII, L.P. By: Vivo Capital VIII, LLC, its General Partner By: /s/ Frank Kung, Managing Member 2023-12-19