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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 8,947 | (4) | (5) | Common Stock | 8,947 | (1) | 0 | I | See Footnote (2) | |||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 100,000 | (4) | (5) | Common Stock | 100,000 | (1) | 0 | I | Directly owned by LVP I (3) | |||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 426,315 | (4) | (5) | Common Stock | 426,315 | (1) | 0 | I | Directly owned by LVP II (3) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 65,476 | (4) | (5) | Common Stock | 65,476 | (1) | 0 | I | Directly owned by LVP I (3) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 279,135 | (4) | (5) | Common Stock | 279,135 | (1) | 0 | I | Directly owned by LVP II (3) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 611,995 | (4) | (5) | Common Stock | 611,995 | (1) | 0 | I | Directly owned by LVP III (3) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 30,599 | (4) | (5) | Common Stock | 30,599 | (1) | 0 | I | Directly owned by Associates (3) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 15,299 | (4) | (5) | Common Stock | 15,299 | (1) | 0 | I | Directly owned by Partners (3) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 74,142 | (4) | (5) | Common Stock | 74,142 | (1) | 0 | I | Directly owned by LVP I (3) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 316,079 | (4) | (5) | Common Stock | 316,079 | (1) | 0 | I | Directly owned by LVP II (3) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 692,994 | (4) | (5) | Common Stock | 692,994 | (1) | 0 | I | Directly owned by LVP III (3) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 34,649 | (4) | (5) | Common Stock | 34,649 | (1) | 0 | I | Directly owned by Associates (3) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 17,324 | (4) | (5) | Common Stock | 17,324 | (1) | 0 | I | Directly owned by Partners (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Woody James N. C/O ONCOMED PHARMACEUTICALS, INC. 800 CHESAPEAKE DRIVE REDWOOD CITY, CA 94063 |
X | X |
/s/ Yvonne Li, Attorney-in-Fact for James N. Woody | 07/23/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Each share of Series A, Series B and Series B-1 Preferred Stock automatically converted on a one-to-one basis into Common Stock immediately prior to the consummation of the Issuer's initial public offering July 23, 2013. |
(2) | The shares are held by the Woody/Mann-Moore Family 2006 Trust. |
(3) | The reported securities are owned directly by each of LVP Life Science Ventures I, L.P. ("LVP I"), LVP Life Science Ventures II, L.P. ("LVP II"), LVP Life Science Ventures III, L.P ("LVP III"), LVP III Associates, L.P. ("Associates") and LVP III Partners, L.P. ("Partners"). LVP GP I, LLC ("GP I") is the general partner of LVP I, LVP GP II, LLC ("GP II") is the general partner of LVP II and LVP GP III, LLC ("GP III") is the general partner of LVP III, Associates and Partners. The reporting person, a member of GP I, GP II and GP III, shares voting and investment power with respect to these shares but disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. |
(4) | The securities are immediately convertible. |
(5) | The expiration date is not relevant to the conversion of these securities. |