0001104659-18-042308.txt : 20180626 0001104659-18-042308.hdr.sgml : 20180626 20180626165354 ACCESSION NUMBER: 0001104659-18-042308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180625 FILED AS OF DATE: 20180626 DATE AS OF CHANGE: 20180626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ratcliffe Liam CENTRAL INDEX KEY: 0001547100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38535 FILM NUMBER: 18919791 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE - SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aptinyx Inc. CENTRAL INDEX KEY: 0001674365 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 474626057 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1801 MAPLE AVENUE STREET 2: SUITE 4300 CITY: EVANSTON STATE: IL ZIP: 60201 BUSINESS PHONE: 847-871-0377 MAIL ADDRESS: STREET 1: 909 DAVIS STREET STREET 2: SUITE 600 CITY: EVANSTON STATE: IL ZIP: 60201 4 1 a4.xml 4 X0306 4 2018-06-25 0 0001674365 Aptinyx Inc. APTX 0001547100 Ratcliffe Liam C/O APTINYX INC. 909 DAVIS STREET, SUITE 600 EVANSTON IL 60201 1 0 1 0 Common Stock 2018-06-25 4 C 0 1047450 A 1047450 I See footnote Common Stock 2018-06-25 4 C 0 1197076 A 2244526 I See footnote Common Stock 2018-06-25 4 C 0 552208 A 2796734 I See footnote Common Stock 2018-06-25 4 C 0 243345 A 243345 I See footnote Common Stock 2018-06-25 4 P 0 125000 16.00 A 2921734 I See footnote Common Stock 2018-06-25 4 P 0 125000 16.00 A 368345 I See footnote Series A-1 Convertible Preferred Stock 2018-06-25 4 C 0 28895188 D Common Stock 1047450 0 I See footnote Series A-2 Convertible Preferred Stock 2018-06-25 4 C 0 33022786 D Common Stock 1197076 0 I See footnote Series B Convertible Preferred Stock 2018-06-25 4 C 0 15233315 D Common Stock 552208 0 I See footnote Series B Convertible Preferred Stock 2018-06-25 4 C 0 6712986 D Common Stock 243345 0 I See footnote Each share of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 27.58621-for-one basis immediately prior to the closing of the Issuer's initial public offering without payment or additional consideration. The shares of Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock and Series B Convertible Preferred Stock had no expiration date. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person, a member of the Issuer's board of directors, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "Manager" and collectively, the "Managers") and may each be deemed to have shared voting and investment power with respect to these securities. The Reporting Person and each of the Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These shares are held directly by New Leaf Ventures Biopharma Opportunities I, L.P. ("NLV Biopharma"). The general partner of NLV Biopharma is New Leaf BPO Associates I, L.P. ("NLBA-I"). The general partner of NLBA-I is Management-III. Each of NLBA-I and Management-III may be deemed to have sole voting and investment power with respect to these securities. Each of NLBA-I and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-I or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person and each of the Managers may be deemed to have shared voting and investment power with respect to these securities. Each of the Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. On June 25, 2018, each of NLV-III and NLV Biopharma purchased 125,000 and 125,000 shares of common stock of the Issuer at a price of $16.00 per share, respectively, pursuant to an underwritten public offering. The Reporting Person will no longer be a 10% reporter but will continue to be a director reporter. /s/ Craig Slutzkin, attorney-in-fact for Liam Ratcliffe 2018-06-26