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