InterWest Management Partners IX, LLC

SEC source: 0000899243-19-027153 · doc4.xml · derivative · entry 2

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 301,605 shares

Expires 2020-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664 prior to the 1-for-15 reverse stock split that occurred on November 7, 2019.

F4 · derivative.exercise_date: This Unsecured Subordinated Convertible Promissory Note converted upon the consummation of the Merger, pursuant to its terms.

SEC source: 0000899243-19-027153 · doc4.xml · nonDerivative · entry 1

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 658,657

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Received in connection with the Agreement and Plan of Merger and Reorganization dated March 15, 2019, among the Issuer (formerly known as Restoration Robotics, Inc.), Radiant Merger Sub Ltd, an entity organized under the laws of Israel and Venus Concept Ltd, an entity organized under the laws of Israel (the "Merger"), upon the conversion of the outstanding principal and any accrued and unpaid interest of an 8% Convertible Promissory Notes issued by Venus Concept Inc., dated as of February 28, 2019 in the original principal amount of $2,000,000.00 and accrued interest income of $110,027.40. Share data reported herein reflects the 1-for-15 reverse stock split that occurred after the note conversion on November 7, 2019.

F3 · price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664 prior to the 1-for-15 reverse stock split that occurred on November 7, 2019.

F2 · balance_after: The securities are directly held by InterWest Partners IX, LP ("IW9"). InterWest Management Partners IX, LLC ("IMP9") as the general partner of IW9, may be deemed to beneficially own the shares held by IW9. Arnold L. Oronsky and Gilbert H. Kliman are Managing Directors of IMP9, and Khaled A. Nasr is a Venture Member of IMP9. Gilbert H. Kliman is also a Director of the Issuer, and has filed a separate Form 4 in his own name. Each of the foregoing persons may be deemed to beneficially own the shares held by IW9, and each foregoing person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. IW9 ceased to be a 10% owner upon closing of the Merger.

SEC source: 0000899243-19-022280 · doc4.xml · derivative · entry 1

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 4,288,164 shares

Expires 2020-08-28

F1 · derivative.exercise_date: The Promissory Note will convert upon consummation of the transactions contemplated in that certain Agreement and Plan of Merger and Reorganization dated March 15, 2019, among the Issuer, Radiant Merger Sub Ltd., an entity organized under the laws of Israel and Venus Concept Ltd., an entity organized under the laws of Israel.

F2 · valueOwnedAfter: The securities are directly held by InterWest Partners IX, LP ("IW9"). InterWest Management Partners IX, LLC ("IMP9") as the general partner of IW9, may be deemed to beneficially own the shares held by IW9. Arnold L. Oronsky and Gilbert H. Kliman are Managing Directors of IMP9, and Khaled A. Nasr is a Venture Member of IMP9. Gilbert H. Kliman is also a Director of the Issuer, and has filed a separate Form 4 in his own name. Each of the foregoing persons may be deemed to beneficially own the shares held by IW9, and each foregoing person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001567619-18-000665 · doc1.xml · nonDerivative · entry 1

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,355,786

F1 · kind: The shares were acquired in connection with an underwritten public offering of common stock which is scheduled to close on August 14, 2018.

F2 · balance_after: The shares are directly held by InterWest Partners IX, LP ("IW9"). InterWest Management Partners IX, LLC ("IMP9") as the general partner of IW9, may be deemed to beneficially own the shares held by IW9. Arnold L. Oronsky and Gilbert H. Kliman are managing director of IMP9, and Khaled A. Nasr is a Venture Member of IMP9. Each of the foregoing persons may be deemed to beneficially own the shares held by IW9 and each foregoing person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · derivative · entry 6

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 170,028 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.

F4 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.

F4 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.

F4 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · derivative · entry 5

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,647,297 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F3 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · derivative · entry 4

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,538,461 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F3 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · nonDerivative · entry 3

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,355,786

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · nonDerivative · entry 2

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,185,758

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038922 · doc1.xml · nonDerivative · entry 1

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,538,461

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").

F2 · ownership.direct: The shares are directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001140361-17-038669 · doc1.xml · derivative · entry 1

InterWest Partners IX, LP · CIK 0001398928 · 10% owner

InterWest Management Partners IX, LLC · CIK 0001398927 · 10% owner

Holmes W Stephen · CIK 0001293923 · 10% owner

ORONSKY ARNOLD L · CIK 0001207833 · 10% owner

NASR KHALED · CIK 0001276600 · 10% owner

GIANOS PHILIP T · CIK 0001207831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · kind: The securities were originally acquired from the Issuer on September 6, 2017; however, the conversion price was set upon the pricing of the Issuer's Initial Public Offering (the "IPO").

F2 · reported_value: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert.

F2 · price: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert.

F3 · derivative.exercise_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock.

F3 · derivative.expiration_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock.

F3 · derivative.underlying_shares: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock.

F2 · valueOwnedAfter: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert.

F4 · ownership.direct: The convertible promissory note is directly held by InterWest Partners IX, LP ("InterWest IX"). InterWest Management Partners IX, LLC ("IMP IX"), as the general partner of InterWest IX, may be deemed to beneficially own the shares held by InterWest IX. Philip Gianos, Arnold Oronsky, Gilbert Kliman, W. Stephen Holmes and Khaled Nasr are managing directors of IMP IX, and as such may be deemed to beneficially own the shares held by InterWest IX. Each of the foregoing persons disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.