FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/11/2021 |
3. Issuer Name and Ticker or Trading Symbol
Decibel Therapeutics, Inc. [ DBTX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series C Preferred Stock | (1) | (1) | Common Stock | 524,328 | (1) | I | See footnote(2) |
Series C Preferred Stock | (1) | (1) | Common Stock | 524,328 | (1) | I | See footnote(3) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Each share of Series C Preferred Stock is convertible into shares of the Issuer???s common stock, $0.001 per value per share, on a 12.635:1 basis at any time at the holder???s election and will automatically convert immediately prior to the closing of the Issuer's initial public offering. The Series C Preferred Stock has no expiration date. |
2. Held directly by Schroder Adveq Technology IX S.C.S. Schroder Adveq Management Luxembourg S.a.r.l. is the general partner of Schroder Adveq Technology IX S.C.S. Schroder Adveq Management Luxembourg S.a.r.l. disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. |
3. Held directly by Schroder Adveq cPl Global 2017 - 2019 C.V. Schroder Adveq cPl Global Management III L.P. is the general partner of Schroder Adveq cPl Global 2017 - 2019 C.V. Schroder Adveq cPl Global Management III L.P. disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. |
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq Technology IX S.C.S. | 03/08/2021 | |
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq Management Luxembourg S.a.r.l. | 03/08/2021 | |
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq cPl Global 2017 - 2019 C.V. | 03/08/2021 | |
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq cPl Global Management III L.P. | 03/08/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |