o | Rule 13d-1(b) | ||
o | Rule 13d-1(c) | ||
þ | Rule 13d-1(d) |
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures II, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 109,213 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 109,213 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
109,213 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 2 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures II-QP, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 989,697 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 989,697 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
989,697 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
5.2% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 3 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Germany | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 348,491 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 348,491 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
348,491 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
1.8% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 4 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM Asset Management Investors 2001 LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 20,548 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 20,548 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
20,548 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.1% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
Page 5 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures Strategic Fund, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 132,520 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 0 | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 132,520 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
0 | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520 | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
Page 6 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM Asset Management II, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,447,401* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,447,401* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,447,401* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
7.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
* | The shares are held as follows: 989,697 by MPM BioVentures II-QP, L.P. (BV II QP); 109,213 by MPM BioVentures II, L.P. (BV II); and 348,491 by MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG (BV KG). The Reporting Person is the direct general partner of BV II QP, BV II and BV KG. |
Page 7 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM Asset Management II LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,447,401* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,447,401* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,447,401* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
7.6% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
* | The shares are held as follows: 989,697 by BV II QP; 109,213 by BV II; and 348,491 by BV KG. The Reporting Person is the indirect general partner of BV II QP, BV II and BV KG. |
Page 8 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures III GP, L.P. |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 132,520* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
132,520* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
PN |
* | The shares are held by MPM BioVentures Strategic Fund, L.P. (MPM SF). The Reporting Person is the direct general partner of MPM SF. |
Page 9 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS MPM BioVentures III LLC |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Delaware | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 132,520* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
132,520* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
132,520* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
0.7% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
OO |
* | The shares are held by MPM SF. The Reporting Person is the indirect general partner of MPM SF. |
Page 10 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS Ansbert Gadicke |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 11 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS Luke Evnin |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 12 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS Nicholas Galakatos |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 32,708* | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469** | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 32,708* | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469** | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,633,117* ** | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.5% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 13 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS Michael Steinmetz |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 14 of 23
CUSIP No. |
00826A 10 9 |
1 | NAME OF REPORTING PERSONS Kurt Wheeler |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) |
||||
(a) o | |||||
(b) þ | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 0 | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | 1,600,469* | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 0 | ||||
WITH: | 8 | SHARED DISPOSITIVE POWER | |||
1,600,469* | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
1,600,469* | |||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
8.4% | |||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | ||||
IN |
Page 15 of 23
(a) | Name of Issuer | ||
Affymax, Inc. |
(b) | Address of Issuers Principal Executive Offices | ||
4001 Miranda Avenue | |||
Palo Alto, CA 94304 |
(a) | Name of Person Filing |
(b) | Address of Principal Business Office or, if none, Residence |
(c) | Citizenship |
(d) | Title of Class of Securities |
(e) | CUSIP Number |
Item 3. | If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: |
Page 16 of 23
(a) | Amount Beneficially Owned: |
MPM BioVentures II, L.P. |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke B. Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,633,177 | (3)(4) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
MPM BioVentures II, L.P. |
0.6 | % | ||
MPM BioVentures II-QP, L.P. |
5.2 | % | ||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
1.8 | % | ||
MPM Asset Management Investors 2001 LLC |
0.1 | % | ||
MPM BioVentures Strategic Fund, L.P. |
0.7 | % | ||
MPM Asset Management II, L.P. |
7.6 | % | ||
MPM Asset Management II LLC |
7.6 | % | ||
MPM BioVentures III GP, L.P. |
0.7 | % | ||
MPM BioVentures III LLC |
0.7 | % | ||
Ansbert Gadicke |
8.4 | % | ||
Luke B. Evnin |
8.4 | % | ||
Nicholas Galakatos |
8.5 | % | ||
Michael Steinmetz |
8.4 | % | ||
Kurt Wheeler |
8.4 | % |
(b) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote |
MPM BioVentures II, L.P. |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
0 |
Page 17 of 23
MPM Asset Management II LLC |
0 | |||
MPM BioVentures III GP, L.P. |
0 | |||
MPM BioVentures III LLC |
0 | |||
Ansbert Gadicke |
0 | |||
Luke B. Evnin |
0 | |||
Nicholas Galakatos |
32,708 | (4) | ||
Michael Steinmetz |
0 | |||
Kurt Wheeler |
0 |
(ii) | Shared power to vote or to direct the vote |
MPM BioVentures II, L.P. |
0 | |||
MPM BioVentures II-QP, L.P. |
0 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
0 | |||
MPM Asset Management Investors 2001 LLC |
0 | |||
MPM BioVentures Strategic Fund L.P. |
0 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke B. Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,600,469 | (3) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
(iii) | Sole power to dispose or to direct the disposition of |
MPM BioVentures II, LP |
109,213 | |||
MPM BioVentures II-QP, L.P. |
989,697 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
348,491 | |||
MPM Asset Management Investors 2001 LLC |
20,548 | |||
MPM BioVentures Strategic Fund, L.P. |
132,520 | |||
MPM Asset Management II, L.P. |
0 | |||
MPM Asset Management II LLC |
0 | |||
MPM BioVentures III GP, L.P. |
0 | |||
MPM BioVentures III LLC |
0 | |||
Ansbert Gadicke |
0 | |||
Luke Evnin |
0 | |||
Nicholas Galakatos |
32,708 | (4) | ||
Michael Steinmetz |
0 | |||
Kurt Wheeler |
0 |
Page 18 of 23
(iv) | Shared power to dispose or to direct the disposition of |
MPM BioVentures II, LP |
0 | |||
MPM BioVentures II-QP, L.P. |
0 | |||
MPM BioVentures GmbH & Co. Parallel-Beteiligungs KG |
0 | |||
MPM Asset Management Investors 2001 LLC |
0 | |||
MPM BioVentures Strategic Fund L.P. |
0 | |||
MPM Asset Management II, L.P. |
1,447,401 | (1) | ||
MPM Asset Management II LLC |
1,447,401 | (1) | ||
MPM BioVentures III GP, L.P. |
132,520 | (2) | ||
MPM BioVentures III LLC |
132,520 | (2) | ||
Ansbert Gadicke |
1,600,469 | (3) | ||
Luke B. Evnin |
1,600,469 | (3) | ||
Nicholas Galakatos |
1,600,469 | (3) | ||
Michael Steinmetz |
1,600,469 | (3) | ||
Kurt Wheeler |
1,600,469 | (3) |
(1) | The shares are held as follows: 989,697 by BV II QP; 109,213 by BV II; and 348,491 by BV KG. AM LP and AM IILLC are the direct and indirect general partners of BV II QP, BV II and BV KG. | |
(2) | The shares are held by MPM SF. BV III GP and BV III LLC are the direct and indirect general partners of MPM SF. | |
(3) | The shares are held as follows: 989,697 by BV II QP; 109,213 by BV II; 20,548 by AM 2001; 348,491 by BV KG; and 132,520 by MPM SF. AM LP and AM II LLC are the direct and indirect general partners of BV II QP, BV II and BV KG. BV III GP and BV III LLC are the direct and indirect general partners of MPM SF. The Reporting Person is a managing member of AM II LLC and AM 2001 and BV III LLC. The Reporting Person disclaims beneficial ownership of all such shares except to the extent of his proportionate pecuniary interests therein. | |
(4) | Includes 13,958 shares issuable upon exercise of options within 60 days of December 31, 2009. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Page 19 of 23
MPM BIOVENTURES II, L.P. | MPM BIOVENTURES II-QP, L.P. | |||||
By: |
MPM Asset Management II, L.P., | By: | MPM Asset Management II, L.P., | |||
its General Partner | its General Partner | |||||
By: |
MPM Asset Management II LLC, | By: | MPM Asset Management II LLC, | |||
its General Partner | its General Partner | |||||
By: |
/s/ Luke B. Evnin | By: | /s/ Luke B. Evnin | |||
Name: Luke B. Evnin | Name: Luke B. Evnin | |||||
Title: Investment Manager | Title: Investment Manager | |||||
MPM BIOVENTURES GMBH & CO. PARALLEL-BETEILIGUNGS KG | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | |||||
By:
|
MPM Asset Management II LP, in its
capacity as the Special Limited Partner |
By: | /s/ Luke B. Evnin | |||
Name: Luke B. Evnin | ||||||
Title: Investment Manager | ||||||
By:
|
MPM Asset Management II LLC, | |||||
its General Partner | ||||||
By:
|
/s/ Luke B. Evnin | |||||
Name: Luke B. Evnin | ||||||
Title: Investment Manager | ||||||
MPM ASSET MANAGEMENT II L.P. | MPM ASSET MANAGEMENT II LLC | |||||
By:
|
MPM Asset Management II LLC, | |||||
its General Partner | ||||||
By:
|
/s/ Luke B. Evnin | By: | /s/ Luke B. Evnin | |||
Name: Luke B. Evnin | Name: Luke B. Evnin | |||||
Title: Investment Manager | Title: Investment Manager | |||||
MPM BIOVENTURES STRATEGIC FUND, L.P. | MPM BIOVENTURES III GP, L.P. | |||||
By:
|
MPM BioVentures III GP, L.P., | By: | MPM BioVentures III LLC, | |||
its General Partner | its General Partner | |||||
By:
|
MPM BioVentures III LLC, | |||||
its General Partner | By: | /s/ Luke B. Evnin | ||||
Name: Luke B. Evnin | ||||||
By:
|
/s/ Luke B. Evnin | Title: Series A Member | ||||
Name: Luke B. Evnin | ||||||
Title: Series A Member |
Page 20 of 23
MPM BIOVENTURES III LLC | ||||||
By:
|
/s/ Luke B. Evnin | /s/ Ansbert Gadicke | ||||
Name: Luke B. Evnin | Ansbert Gadicke | |||||
Title: Series A Member | ||||||
/s/ Luke B. Evnin | /s/ Nicholas Galaktos | |||||
Luke B. Evnin | Nicholas Galakatos | |||||
/s/ Michael Steinmetz | /s/ Kurt Wheeler | |||||
Michael Steinmetz | Kurt Wheeler |
Page 21 of 23
MPM BIOVENTURES II, L.P. | ||||||||
MPM BIOVENTURES II-QP, L.P. | ||||||||
By: |
MPM Asset Management II, L.P., | |||||||
its General Partner | By: | MPM Asset Management II, L.P., | ||||||
its General Partner | ||||||||
By: |
MPM Asset Management II LLC, | |||||||
its General Partner | By: | MPM Asset Management II LLC, | ||||||
its General Partner |
||||||||
By: |
/s/ Luke B. Evnin
|
By: | /s/ Luke B. Evnin
|
|||||
Title: Investment Manager | Title: Investment Manager | |||||||
MPM BIOVENTURES GMBH & CO. PARALLEL-BETEILIGUNGS KG | MPM ASSET MANAGEMENT INVESTORS 2001 LLC | |||||||
By: |
MPM Asset Management II LP, in its capacity as the Special Limited Partner | By: | /s/ Luke B. Evnin | |||||
Name: Luke B. Evnin | ||||||||
By:
|
MPM Asset Management II LLC, its General Partner | Title: Investment Manager | ||||||
By: |
/s/ Luke B. Evnin | |||||||
Name: Luke B. Evnin | ||||||||
Title: Investment Manager | ||||||||
MPM ASSET MANAGEMENT II L.P. | MPM ASSET MANAGEMENT II LLC | |||||||
By: |
MPM Asset Management II LLC, its General Partner | |||||||
By: |
/s/ Luke B. Evnin | By: | /s/ Luke B. Evnin | |||||
Name: Luke B. Evnin | Name: Luke B. Evnin | |||||||
Title: Investment Manager | Title: Investment Manager | |||||||
MPM BIOVENTURES STRATEGIC FUND, L.P. | MPM BIOVENTURES III GP, L.P. | |||||||
By: |
MPM BioVentures III GP, L.P., | By: | MPM BioVentures III LLC, | |||||
its General Partner | its General Partner | |||||||
By: |
MPM BioVentures III LLC, its General Partner |
By: | /s/ Luke B. Evnin | |||||
|
Name: Luke B. Evnin | |||||||
By: | /s/ Luke B. Evnin | Title: Series A Member | ||||||
Name: Luke B. Evnin | ||||||||
Title: Series A Member |
Page 22 of 23
MPM BIOVENTURES III LLC | ||||||||
By: |
/s/ Luke B. Evnin | /s/ Ansbert Gadicke | ||||||
Name: Luke B. Evnin | Ansbert Gadicke | |||||||
Title: Series A Member | ||||||||
/s/ Luke B. Evnin | /s/ Nicholas Galaktos | |||||||
Luke B. Evnin | Nicholas Galakatos | |||||||
/s/ Michael Steinmetz | /s/ Kurt Wheeler | |||||||
Michael Steinmetz | Kurt Wheeler |
Page 23 of 23