|
Delaware
|
| |
2834
|
| |
81-3405262
|
|
|
(State or other jurisdiction of
incorporation or organization) |
| |
(Primary Standard Industrial
Classification Code Number) |
| |
(I.R.S. Employer
Identification Number) |
|
|
Large accelerated filer
☐
|
| |
Accelerated filer
☐
|
|
|
Non-accelerated filer
☒
|
| |
Smaller reporting company
☒
|
|
| | | |
Emerging growth company
☒
|
|
| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 3 | | | |
| | | | | 5 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 10 | | | |
| | | | | 13 | | | |
| | | | | 13 | | |
| | |
Beneficial Ownership
Before this Offering |
| | | | | | | |
Beneficial Ownership
After this Offering |
| ||||||||||||||||||
Selling Stockholder(1)
|
| |
Number of
Shares Owned |
| |
Percentage of
Outstanding Shares(1) |
| |
Shares
Offered Hereby |
| |
Number of
Shares Owned(2) |
| |
Percentage of
Outstanding Shares(1) |
| |||||||||||||||
OrbiMed Genesis Master Fund, LP
|
| | | | 137,932 | | | | | | * | | | | | | 137,932 | | | | | | — | | | | | | — | | |
OrbiMed Partners Master Fund Limited
|
| | | | 344,827 | | | | | | 1.6% | | | | | | 344,827 | | | | | | — | | | | | | — | | |
The Biotech Growth Trust PLC
|
| | | | 344,827 | | | | | | 1.6% | | | | | | 344,827 | | | | | | — | | | | | | — | | |
Franklin Strategic Series — Franklin Biotechnology Discovery Fund
|
| | | | 172,413 | | | | | | * | | | | | | 172,413 | | | | | | — | | | | | | — | | |
Franklin Templeton Investment Funds — Franklin Biotechnology Discovery Fund
|
| | | | 172,413 | | | | | | * | | | | | | 172,413 | | | | | | — | | | | | | — | | |
Gregg Smith
|
| | | | 37,503 | | | | | | * | | | | | | 6,897 | | | | | | 30,606 | | | | | | * | | |
Hessler Finance LTD
|
| | | | 191,600 | | | | | | * | | | | | | 70,000 | | | | | | 121,600 | | | | | | * | | |
Timothy Hogue
|
| | | | 43,571 | | | | | | * | | | | | | 13,793 | | | | | | 29,778 | | | | | | * | | |
Laurence Lytton
|
| | | | 55,173 | | | | | | * | | | | | | 55,173 | | | | | | — | | | | | | — | | |
The Ryan and Brittany Pearson Living Trust
|
| | | | 61,439 | | | | | | * | | | | | | 17,241 | | | | | | 44,198 | | | | | | * | | |
Reinfrank Living Trust
|
| | | | 32,444 | | | | | | * | | | | | | 10,345 | | | | | | 22,099 | | | | | | * | | |
Richard A. Smith
|
| | | | 180,393 | | | | | | * | | | | | | 34,483 | | | | | | 145,910 | | | | | | * | | |
Total:
|
| | | | 1,774,535 | | | | | | 8.0% | | | | | | 1,380,344 | | | | | | 394,191 | | | | | | 1.8% | | |
|
SEC Registration Fee
|
| | | $ | 3,618 | | |
|
FINRA Filing Fee
|
| | | | 0 | | |
|
Nasdaq Listing Fee
|
| | | | 0 | | |
|
Printing Expenses
|
| | | | 75,000 | | |
|
Legal Fees and Expenses
|
| | | | 50,000 | | |
|
Accounting Fees and Expenses
|
| | | | 30,000 | | |
|
Transfer Agent Fees and Expenses
|
| | | | 0 | | |
|
Miscellaneous
|
| | | | 10,000 | | |
|
Total
|
| | | $ | 168,618* | | |
|
Exhibit
No. |
| | | | |
Incorporated by Reference
|
| |||||||||
|
Description
|
| |
Form
|
| |
File No.
|
| |
Exhibit
|
| |
Filing Date
|
| |||
| | | Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm. | | | | | | | | | | | | | | |
| | | Consent of Skadden, Arps, Slate, Meagher & Flom LLP (included in Exhibit 5.1). | | | S-1/A | | | 333-235504 | | | 5.1 | | | December 19, 2019 | | |
| | | Powers of Attorney. | | | S-1 | | | 333-235504 | | | 24.1 | | | December 13, 2019 | |
|
Name
|
| |
Title
|
| |
Date
|
|
|
/s/ Shoshana Shendelman
Shoshana Shendelman, Ph.D.
|
| |
President and Chief Executive Officer
(Principal Executive Officer) |
| |
June 4, 2020
|
|
|
/s/ Charles Silberstein
Charles Silberstein, M.D.
|
| |
Chief Financial Officer
(Principal Financial Officer) |
| |
June 4, 2020
|
|
|
/s/ Chids Mahadevan
Chids Mahadevan
|
| |
Chief Accounting Officer
(Principal Accounting Officer) |
| |
June 4, 2020
|
|
|
*
Les Funtleyder
|
| | Director | | |
June 4, 2020
|
|
|
*
Teena Lerner, Ph.D.
|
| | Director | | |
June 4, 2020
|
|
|
*
Stacy Kanter
|
| | Director | | |
June 4, 2020
|
|
|
*
Joel S. Marcus
|
| | Director | | |
June 4, 2020
|
|
|
*
Jay S. Skyler, M.D., MACP
|
| | Director | | |
June 4, 2020
|
|
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