organization · Reporting owner
Orbimed ROF II LLC
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AVEDRO INCAVDR · Entity 153528 | 10% owner | February 19, 2019 | February 20, 2019 |
| Acutus Medical, Inc.AFIB · Entity 83848 | Director · 10% owner | July 19, 2021 | July 21, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AVEDRO INC
Report date February 19, 2019 · Filed February 20, 2019
Jointly reported with ORBIMED ADVISORS LLC, OrbiMed Capital GP VI LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,240,128 |
Last balance in matching sequence
After 2019-02-19 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2019-02-19 · Conversion · Acquired 3,370,786 · Balance 3,523,204 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 2 · 2019-02-19 · Conversion · Acquired 333,178 · Balance 3,856,382 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Row 3 · 2019-02-19 · Conversion · Acquired 383,746 · Balance 4,240,128 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Series AA Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-02-19 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-02-19 · Conversion · Disposed 3,370,786 · Balance 0 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Series BB Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-02-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-02-19 · Conversion · Disposed 333,178 · Balance 0 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Series CC Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-02-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-02-19 · Conversion · Disposed 383,746 · Balance 0 F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Series AA Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.04 · Expires 2027-03-20 | IndirectSee Footnote | 106,617 |
Reported balance
Holding disclosure · report date 2019-02-19 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 106,617 F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. F4: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). ROF II is the sole general partner of ORO II, and Advisors, a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of ROF II. By virtue of such relationships, ROF II and Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering.
F2: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
F3: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
F4: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). ROF II is the sole general partner of ORO II, and Advisors, a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of ROF II. By virtue of such relationships, ROF II and Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").
Acutus Medical, Inc.
Report date July 19, 2021 · Filed July 21, 2021
Jointly reported with ORBIMED ADVISORS LLC, OrbiMed Capital GP IV LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,872,025 |
Reported balance
After 2021-07-19 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2021-07-19 · Purchase · Acquired 714,285 · Balance 4,872,025 F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F2: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,677,361 |
Reported balance
After 2021-07-19 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2021-07-19 · Purchase · Acquired 357,143 · Balance 1,677,361 F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F3: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,022 |
Reported balance
Holding disclosure · report date 2021-07-19 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,022 F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. F5: Represents shares of the Issuer's common stock received by Bonita for service on the Issuer's board of directors. Pursuant to an agreement with OrbiMed Advisors and GP IV, Bonita is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP IV, which will in turn ensure that such securities or economic benefits are provided to OPI IV. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.
F2: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV.
F3: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II.
F4: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
F5: Represents shares of the Issuer's common stock received by Bonita for service on the Issuer's board of directors. Pursuant to an agreement with OrbiMed Advisors and GP IV, Bonita is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP IV, which will in turn ensure that such securities or economic benefits are provided to OPI IV.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Xtant Medical Holdings, Inc.
Report date April 10, 2025 · Filed April 14, 2025
Jointly reported with ORBIMED ADVISORS LLC
Section 16 reporting ended · disclosed 2025-04-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2025-04-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-04-10 · Sale · Disposed 56,004,974 · Balance 0 F1: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. By virtue of such relationships, OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition. OrbiMed Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F3: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 0 |
Reported balance
After 2025-04-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-04-10 · Sale · Disposed 17,109,618 · Balance 0 F2: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F3: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. By virtue of such relationships, OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition. OrbiMed Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition.
F2: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II.
F3: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 10, 2025 Filed Apr 14, 2025 23:14 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | SaleCommon Stock | 17,109,618 | $0.42 | $7,186,039.56 |
DisclosureSEC source: 0000947871-25-000392 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II. OrbiMed Advisors exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F3 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 10, 2025 Filed Apr 14, 2025 23:14 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | SaleCommon Stock | 56,004,974 | $0.42 | $23,522,089.08 |
DisclosureSEC source: 0000947871-25-000392 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. By virtue of such relationships, OrbiMed Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition. OrbiMed Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F3 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 20:31 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 215,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-22-000096 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 215,415 F5 · kind: This restricted stock unit award was granted to Rizzo, a director of Xtant. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. Amended and Restated 2018 Equity Incentive Plan, and vest and become issuable on August 23, 2023, conditioned upon each of Eggenberg and Matthew Rizzo ("Rizzo") remaining a director of Xtant through the vesting date. F2 · balance_after: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. Amended and Restated 2018 Equity Incentive Plan, and vest and become issuable on August 23, 2023, conditioned upon each of Eggenberg and Matthew Rizzo ("Rizzo") remaining a director of Xtant through the vesting date. F3 · ownership.nature: See Exhibit 99.1. F4 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of OrbiMed Advisors and ROF II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors has designated certain representatives, including Rizzo and Eggenberg, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 20:31 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 215,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-22-000096 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 215,415 F1 · kind: This restricted stock unit award was granted to Michael Eggenberg ("Eggenberg"), a director of Xtant Medical Holdings, Inc. ("Xtant"). F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. Amended and Restated 2018 Equity Incentive Plan, and vest and become issuable on August 23, 2023, conditioned upon each of Eggenberg and Matthew Rizzo ("Rizzo") remaining a director of Xtant through the vesting date. F2 · balance_after: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. Amended and Restated 2018 Equity Incentive Plan, and vest and become issuable on August 23, 2023, conditioned upon each of Eggenberg and Matthew Rizzo ("Rizzo") remaining a director of Xtant through the vesting date. F3 · ownership.nature: See Exhibit 99.1. F4 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Advisors and ROF II. Each of OrbiMed Advisors and ROF II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors has designated certain representatives, including Rizzo and Eggenberg, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| August 15, 2021 Filed Aug 17, 2021 21:58 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 85,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-21-000109 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 120,549 F4 · kind: See Exhibit 99.2. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and vest and become issuable on August 15, 2022, conditioned upon the reporting person remaining a director of Xtant through the vesting date. F2 · balance_after: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and vest and become issuable on August 15, 2022, conditioned upon the reporting person remaining a director of Xtant through the vesting date. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F4 · ownership.nature: See Exhibit 99.2. Read SEC document |
| August 15, 2021 Filed Aug 17, 2021 21:58 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 85,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-21-000109 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 120,549 F1 · kind: See Exhibit 99.1. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and vest and become issuable on August 15, 2022, conditioned upon the reporting person remaining a director of Xtant through the vesting date. F2 · balance_after: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and vest and become issuable on August 15, 2022, conditioned upon the reporting person remaining a director of Xtant through the vesting date. F1 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 21:30 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 357,143 | $14.00 | $5,000,002.00 |
DisclosureSEC source: 0000947871-21-000788 · ownership.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,677,361 F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F3 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II, and OrbiMed Advisors is the managing member of ORO II. OrbiMed Advisors and ROF II exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by ORO II. F4 · ownership.nature: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| July 19, 2021 Filed Jul 21, 2021 21:30 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 714,285 | $14.00 | $9,999,990.00 |
DisclosureSEC source: 0000947871-21-000788 · ownership.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,872,025 F1 · shares: These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering. F2 · ownership.nature: These shares of the Issuer's common stock are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV, and OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP IV. OrbiMed Advisors and GP IV exercise investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the Shares held by OPI IV. F4 · ownership.nature: This report on Form 4 is jointly filed by GP IV, ROF II, and OrbiMed Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. OrbiMed Advisors and GP IV have designated David Bonita ("Bonita"), a member of OrbiMed Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons, or Bonita, is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 868,016 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 14 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 868,016 shares Expires 2030-05-06 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 1,531,984 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 13 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,531,984 shares Expires 2030-05-06 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 434,008 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 12 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 434,008 shares Expires 2029-04-01 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 765,992 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 11 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 765,992 shares Expires 2029-04-01 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 434,008 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 10 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 434,008 shares Expires 2028-08-01 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherWarrant (right to buy) · Derivative | 765,992 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · derivative · entry 9 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 765,992 shares Expires 2028-08-01 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 868,016 | $0.01 | $8,680.16 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 17,036,720 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 434,008 | $0.01 | $4,340.08 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,168,704 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 434,008 | $0.01 | $4,340.08 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,734,696 F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F3 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 1,531,984 | $0.01 | $15,319.84 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 55,766,352 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 765,992 | $0.01 | $7,659.92 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 54,234,368 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 23:02 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock | 765,992 | $0.01 | $7,659.92 |
DisclosureSEC source: 0001235802-20-000137 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 53,468,376 F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F2 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:14 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantCommon Stock | 11,969,619 | $1.07 | $12,807,492.33 |
DisclosureSEC source: 0001235802-20-000117 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,300,688 F1 · kind: See Exhibit 99.1 F1 · price: See Exhibit 99.1 F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F4 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 20:14 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantCommon Stock | 46,784,775 | $1.07 | $50,059,709.25 |
DisclosureSEC source: 0001235802-20-000117 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 52,702,384 F1 · kind: See Exhibit 99.1 F1 · price: See Exhibit 99.1 F2 · ownership.nature: These securities are held of record by ROS Acquisition. OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of Advisors, ROF II, ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 378,733 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 11 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 378,733 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,202,117 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 10 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,202,117 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries D Convertible Preferred Stock · Derivative | 389,116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 9 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 389,116 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries C Convertible Preferred Stock · Derivative | 899,985 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 8 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 899,985 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries C Convertible Preferred Stock · Derivative | 647,582 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 7 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 647,582 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries B Convertible Preferred Stock · Derivative | 673,123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 673,123 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionSeries B Convertible Preferred Stock · Derivative | 872,302 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · derivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 872,302 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 · derivative.exercise_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F4 · derivative.expiration_date: Each of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionCommon Stock | 1,278,718 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,320,218 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.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | ConversionCommon Stock | 3,784,240 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 4,157,740 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 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 41,500 | $18.00 | $747,000.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 41,500 F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the general partner of ORO II. OrbiMed Advisors is the managing member of ROF II. By virtue of such relationships, ROF II and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by ORO II and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by ORO II. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| August 10, 2020 Filed Aug 13, 2020 01:06 UTC | Acutus Medical, Inc. AFIB · Entity 83848 | PurchaseCommon Stock | 373,500 | $18.00 | $6,723,000.00 |
DisclosureSEC source: 0000950103-20-015724 · dp134361_4-orbimed.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner OrbiMed Capital GP IV LLC · CIK 0001502240 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 373,500 F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisers Act of 1940, as amended, is the managing member of GP IV. By virtue of such relationships, GP IV and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OPI IV and as a result may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI IV. F3 · ownership.nature: Each of GP IV, ROF II, and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently David P. Bonita, a member of OrbiMed Advisors, to serve on the Issuer's board of directors. Read SEC document |
| May 06, 2020 Filed May 20, 2020 21:27 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantWarrant (right to buy) · Derivative | 868,016 | Not disclosed Strike: $0.01 | Not disclosed |
DisclosureSEC source: 0001235802-20-000048 · primary_doc.xml · derivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 868,016 Underlying: Common Stock · 868,016 shares Expires 2030-05-06 F1 · price: This warrant was issued by Xtant Medical Holdings, Inc. in connection with that certain First Amendment to Second Amended and Restated Credit Agreement, effective as of April 1, 2020. F2 · balance_after: Only represents derivative securities of this class. F4 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F5 · ownership.nature: These securities are held of record by ORO II. ROF II is the general partner of ORO II, and Advisors is the managing member of ROF II. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. Read SEC document |
| May 06, 2020 Filed May 20, 2020 21:27 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantWarrant (right to buy) · Derivative | 1,531,984 | Not disclosed Strike: $0.01 | Not disclosed |
DisclosureSEC source: 0001235802-20-000048 · primary_doc.xml · derivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,531,984 Underlying: Common Stock · 1,531,984 shares Expires 2030-05-06 F1 · price: This warrant was issued by Xtant Medical Holdings, Inc. in connection with that certain First Amendment to Second Amended and Restated Credit Agreement, effective as of April 1, 2020. F2 · balance_after: Only represents derivative securities of this class. F3 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercises its investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F4 · ownership.nature: This report on Form 4 is jointly filed by Advisors and OrbiMed ROF II LLC ("ROF II"). Each of ROS Acquisition and OrbiMed Royalty Opportunities II, LP ("ORO II") disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 22:05 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 70,423 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-20-000008 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 91,256 F4 · kind: See Exhibit 99.2. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and will vest and become issuable with respect 35,211 shares on February 15, 2021 and with respect to 35,212 shares on February 15, 2022, conditioned upon Michael Eggenberg and Matthew Rizzo, respectively, remaining directors of Xtant through the vesting date. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F4 · ownership.nature: See Exhibit 99.2. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 22:05 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 70,423 | $0.00 | $0.00 |
DisclosureSEC source: 0001235802-20-000008 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 91,256 F1 · kind: See Exhibit 99.1. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan, as amended, and will vest and become issuable with respect 35,211 shares on February 15, 2021 and with respect to 35,212 shares on February 15, 2022, conditioned upon Michael Eggenberg and Matthew Rizzo, respectively, remaining directors of Xtant through the vesting date. F1 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 21:17 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 20,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001790300-19-000006 · primary_doc.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,833 F4 · kind: See Exhibit 99.2. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan and will vest and become issuable on February 15, 2020, conditioned upon Michael Eggenberg and Matthew Rizzo, respectively, remaining directors of Xtant through the vesting date. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. F4 · ownership.nature: See Exhibit 99.2. Read SEC document |
| October 30, 2019 Filed Oct 31, 2019 21:17 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | OtherCommon Stock, $0.000001 par value | 20,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001790300-19-000006 · primary_doc.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,833 F1 · kind: See Exhibit 99.1. F2 · shares: These shares are subject to restricted stock unit awards granted under the Xtant Medical Holdings, Inc. 2018 Equity Incentive Plan and will vest and become issuable on February 15, 2020, conditioned upon Michael Eggenberg and Matthew Rizzo, respectively, remaining directors of Xtant through the vesting date. F1 · ownership.nature: See Exhibit 99.1. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition and ORO II disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. Advisors has designated certain representatives, including Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on Xtant's board of directors. This report shall not be deemed an admission that any such entity is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act or for any other purposes. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 17:06 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantWarrant (right to buy) · Derivative | 434,008 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0000947871-19-000265 · ownership.xml · derivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 434,008 Underlying: Common Stock · 434,008 shares Expires 2029-04-01 F4 · kind: This warrant was acquired from Xtant Medical Holdings, Inc. in connection with and as a condition to the effectiveness of that certain Second Amended and Restated Credit Agreement, effective as of March 29, 2019. F2 · ownership.nature: These securities are held of record by OrbiMed Royalty Opportunities II, LP ("ORO II"). OrbiMed ROF II LLC ("ROF II") is the sole general partner of ORO II, and Advisors is the sole managing member of ROF II. By virtue of such relationships, ROF II and Advisors may be deemed to have voting and investment power with respect to the securities held by ORO II noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ORO II. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition, ORO II and the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. The reporting persons have designated two representatives, currently Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such entity or the reporting person is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 17:06 UTC | Xtant Medical Holdings, Inc. XTNT · Entity 7196 | GrantWarrant (right to buy) · Derivative | 765,992 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0000947871-19-000265 · ownership.xml · derivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner Orbimed ROF II LLC · CIK 0001767936 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 765,992 Underlying: Common Stock · 765,992 shares Expires 2029-04-01 F4 · kind: This warrant was acquired from Xtant Medical Holdings, Inc. in connection with and as a condition to the effectiveness of that certain Second Amended and Restated Credit Agreement, effective as of March 29, 2019. F1 · ownership.nature: These securities are held of record by ROS Acquisition Offshore LP ("ROS Acquisition"). OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the investment manager of ROS Acquisition. Advisors is also the investment manager of Royalty Opportunities S.a r.l., of which ROS Acquisition is a wholly-owned subsidiary. By virtue of such relationships, Advisors may be deemed to have voting and investment power with respect to the securities held by ROS Acquisition noted above and as a result may be deemed to have beneficial ownership over such securities. Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the securities held by ROS Acquisition. F3 · ownership.nature: This report on Form 4 is jointly filed by Advisors and ROF II. Each of ROS Acquisition, ORO II and the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. The reporting persons have designated two representatives, currently Matthew Rizzo and Michael Eggenberg, both of whom are employees of Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any such entity or the reporting person is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries CC Convertible Preferred Stock · Derivative | 383,746 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · derivative · entry 6 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 383,746 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries BB Convertible Preferred Stock · Derivative | 333,178 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · derivative · entry 5 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 333,178 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionSeries AA Convertible Preferred Stock · Derivative | 3,370,786 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · derivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 3,370,786 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionCommon Stock | 383,746 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · nonDerivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,240,128 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionCommon Stock | 333,178 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,856,382 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 00:14 UTC | AVEDRO INC AVDR · Entity 153528 | ConversionCommon Stock | 3,370,786 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-011336 · doc4.xml · nonDerivative · entry 1 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner Orbimed ROF II LLC · CIK 0001767936 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,523,204 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: Each share of Series AA Convertible Preferred Stock, Series BB Convertible Preferred Stock and Series CC Convertible Preferred Stock was convertible at any time, at the option of the holder, into Common Stock, on a one-for-one basis, had no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering. F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI, OrbiMed ROF II LLC ("ROF II") and Advisors. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. GP VI and Advisors have designated a representative, Jonathan T. Silverstein, a member of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.