FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/20/2018 |
3. Issuer Name and Ticker or Trading Symbol
AVROBIO, Inc. [ AVRO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock | (1) | (1) | Common Stock | 9,122,809 | (1) | I | By SV Life Sciences Fund VI, L.P.(2) |
Series A Preferred Stock | (1) | (1) | Common Stock | 312,341 | (1) | I | By: SV Life Sciences Fund VI Strategic Partners, L.P.(3) |
Series B Preferred Stock | (1) | (1) | Common Stock | 1,808,211 | (1) | I | By SV Life Sciences Fund VI, L.P.(2) |
Series B Preferred Stock | (1) | (1) | Common Stock | 61,908 | (1) | I | By: SV Life Sciences Fund VI Strategic Partners, L.P.(3) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. All series of Convertible Preferred Stock shall automatically convert on a 4.132-for-1 basis into shares of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering and have no expiration date. |
2. The shares are held directly by SV Life Sciences Fund VI, L.P. ("SV Life LP"). SV Health Investors, LLC is the Manager of SV Life LP. SV Life Sciences Fund VI (GP), L.P., ("SV Fund VI GP") is the general partner of SV Life LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life LP, except to the extent of any pecuniary interest therein. |
3. The shares are held directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SV Life SP LP"). SV Health Investors, LLC is the Manager of SV Life SP LP. SV Fund VI GP is the general partner of SV Life SP LP. The general partner of SV Fund VI GP is SVLSF VI, LLC. The members of the investment committee of SVLSF VI, LLC are Kate Bingham, Thomas Flynn, James Garvey, Eugene D. Hill, III, Paul LaViolette, and Michael Ross. Each of SV Fund VI GP, SVLSF VI, LLC and the SVLSF VI, LLC investment committee disclaims beneficial ownership of the shares owned directly by SV Life SP LP, except to the extent of any pecuniary interest therein. |
Remarks: |
SV Life Sciences Fund VI, L.P., BY: SV Life Sciences Fund VI (GP), L.P., its sole General Partner, BY: SVLSF VI, LLC, its sole General Partner, By: Brent M. Faduski, Officer, /s/ Brent M. Faduski | 06/20/2018 | |
SV Life Sciences Fund VI Strategic Partners, L.P., BY: SV Life Sciences Fund VI (GP), L.P., its sole General Partner, BY: SVLSF VI, LLC, its sole General Partner, By: Brent M. Faduski, Officer, /s/ Brent M. Faduski | 06/20/2018 | |
SV Life Sciences Fund VI (GP), L.P., BY: SVLSF VI, LLC, its sole General Partner, By: Brent M. Faduski, Officer, /s/ Brent M. Faduski | 06/20/2018 | |
SVLSF VI, LLC, By: Brent M. Faduski, Officer, /s/ Brent M. Faduski | 06/20/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |