0001213900-23-056848.txt : 20230713
0001213900-23-056848.hdr.sgml : 20230713
20230713181025
ACCESSION NUMBER: 0001213900-23-056848
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230711
FILED AS OF DATE: 20230713
DATE AS OF CHANGE: 20230713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gupta Shalabh K.
CENTRAL INDEX KEY: 0001864917
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40582
FILM NUMBER: 231087633
MAIL ADDRESS:
STREET 1: UNICYCIVE THERAPEUTICS, INC.
STREET 2: 5150 EL CAMINO REAL, SUITE A-32
CITY: LOS ALTOS
STATE: CA
ZIP: 94022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Unicycive Therapeutics, Inc.
CENTRAL INDEX KEY: 0001766140
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 813638692
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4300 EL CAMINO REAL, SUITE 210
CITY: LOS ALTOS
STATE: CA
ZIP: 94022
BUSINESS PHONE: 650-384-0642
MAIL ADDRESS:
STREET 1: 4300 EL CAMINO REAL, SUITE 210
CITY: LOS ALTOS
STATE: CA
ZIP: 94022
4
1
ownership.xml
X0407
4
2023-07-11
0
0001766140
Unicycive Therapeutics, Inc.
UNCY
0001864917
Gupta Shalabh K.
C/O UNICYCIVE THERAPEUTICS
LOS ALTOS
CA
94022
1
1
0
0
CEO
0
Common Stock
2023-07-11
4
M
0
104612
A
2527449
D
Series A-1 Convertible Preferred Stock
0.49
2023-07-11
4
M
0
50
1000
D
Common Stock
0
D
Warrant (right to buy
0.54
2023-07-11
4
M
0
79252
A
2023-07-11
Series A-3 Convertible Preferred Stock
79252
79252
D
Warrant (right to buy)
0.59
2023-07-11
4
M
0
72047
A
2023-07-11
Series A-4 Convertible Preferred Stock
72047
72047
D
Warrant (right to buy)
0.74
2023-07-11
4
M
0
115275
A
2023-07-11
Series A-5 Convertible Preferred Stock
115275
115275
D
The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.
On July 11, 2023, the shares of Series A-1 Convertible Preferred Stock automatically converted into units consisting of (1) 104,612 shares of common stock, (2) a Tranche A Warrant to purchase 79,252 shares of Series A-3 Convertible Preferred Stock, (3) a Tranche B Warrant to purchase 72,047 shares of Series A-4 Convertible Preferred Stock and (4) a Tranche C Warrant to purchase 115,275 shares of Series A-5 Convertible Preferred Stock. The shares of Series A-1 Convertible Preferred Stock had no expiration date prior to conversion.
The Tranche A Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Issuer's announcement of receipt of FDA approval for Renazorb.
The Tranche B Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's announcement of receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb.
The Tranche C Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's public disclosure of financial results for four (4) quarters of commercial sales of Renazorb following receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb, commencing with the first quarter in which the Company receives revenue from Centers for Medicare and Medicaid Services for Renazorb under the Transitional Drug Add-On Payment Adjustment.
/s/ Shalabh Gupta
2023-07-13