Accession Number: | 0001615774-18-006729 |
Date: | 2018-07-20 |
Issuer: | CRINETICS PHARMACEUTICALS, INC. (CRNX) |
Original Submission Date: |
VIVO CAPITAL VIII, LLC
C/O VIVO CAPITAL LLC
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
VIVO CAPITAL, LLC
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
VIVO CAPITAL FUND VIII, L.P.
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
VIVO CAPITAL SURPLUS FUND VIII, L.P.
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
VIVO OPPORTUNITY, LLC
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
VIVO OPPORTUNITY FUND, L.P.
505 HAMILTON AVENUE, SUITE 207
PALO ALTO, CA 94301
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2018-07-20 | C | 2,560,613 | a | $0.00 | 2,560,613 | indirect | f2,f5 | |
COMMON STOCK | 2018-07-20 | C | 353,590 | a | $0.00 | 353,590 | indirect | f3,f5 | |
COMMON STOCK | 2018-07-20 | C | 413,040 | a | $0.00 | 2,973,653 | indirect | f2,f5 | |
COMMON STOCK | 2018-07-20 | C | 57,035 | a | $0.00 | 410,625 | indirect | f3,f5 | |
COMMON STOCK | 2018-07-20 | P | 51,686 | a | $17.00 | 3,025,339 | indirect | f2,f5 | |
COMMON STOCK | 2018-07-20 | P | 7,137 | a | $17.00 | 417,762 | indirect | f3,f5 | |
COMMON STOCK | 2018-07-20 | P | 141,177 | a | $17.00 | 141,177 | indirect | f4,f6 | |
COMMON STOCK | 2018-07-20 | P | 153,180 | a | $20.73 | 294,357 | indirect | f4,f6 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
SERIES A PREFERRED STOCK | 0.0 | 2018-07-20 | deemed execution date | C | 8,424,416 (d) | common stock 2,560,613 | $0.00 | 0 | indirect | see footnote | ||
SERIES A PREFERRED STOCK | 0.0 | 2018-07-20 | deemed execution date | C | 1,163,311 (d) | common stock 353,590 | $0.00 | 0 | indirect | see footnote | ||
SERIES B PREFERRED STOCK | 0.0 | 2018-07-20 | deemed execution date | C | 1,358,903 (d) | common stock 413,040 | $0.00 | 0 | indirect | see footnote | ||
SERIES B PREFERRED STOCK | 0.0 | 2018-07-20 | deemed execution date | C | 187,648 (d) | common stock 57,035 | $0.00 | 0 | indirect | see footnote |
ID | footnote |
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f1 | the shares of the issuer's series a preferred stock and series b preferred stock automatically converted into shares of the issuer's common stock, for no additional consideration, at a ratio of 3.29 to 1 share, immediately prior to the consummation of the issuer's initial public offering. the series a preferred stock and series b preferred stock had no expiration date. |
f2 | these securities are held of record by vivo capital fund viii, l.p. ("vcf"). |
f3 | these securities are held of record by vivo capital surplus fund viii, l.p. ("vcsf"). |
f4 | these securities are held of record by vivo opportunity fund, l.p. ("vof"). |
f5 | vivo capital viii, llc ("vivo llc") is the general partner of vcf and vcsf. vivo capital llc is the management company of vivo llc. the voting members of each of vivo capital llc and vivo llc are frank kung, albert cha, edgar engleman, chen yu and shan fu, none of whom has individual voting or investment power with respect to these securities. jack b. nielsen, m.sc., a director of the issuer, is a managing director at vivo capital llc. each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of section 16 or for any other purposes. |
f6 | vivo opportunity, llc is the general partner of vof. vivo capital llc is the management company of vivo opportunity, llc. the voting members of vivo opportunity, llc are frank kung, albert cha, shan fu, gaurav aggarwal and michael chang, none of whom has individual voting or investment power with respect to these securities. each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of section 16 or for any other purposes. |
f7 | the price reported herein is a weighted average price. these shares were sold in multiple transactions at prices ranging from $19.25 to $24.5, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (7) to this form 4. |