Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | AZTR | Convertible Notes | 78K | Jun 15, 2023 | Directly held by Bios Fund III, LP | F1, F2, F3, F4 | |||||
holding | AZTR | Convertible Notes | 509K | Jun 15, 2023 | Directly held by Bios Fund III QP, LP | F1, F2, F3, F4 | |||||
holding | AZTR | Convertible Notes | 82.2K | Jun 15, 2023 | Directly held by Bios Fund III NT, LP | F1, F2, F3, F4 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
holding | AZTR | Series A Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 468K | Directly held by Bios Fund I QP, LP | F2, F3, F4, F5 | |||||||
holding | AZTR | Series A Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 799K | Directly held by Bios Fund I, LP | F2, F3, F4, F5 | |||||||
holding | AZTR | Series A-1 Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 233K | Directly held by Bios Fund II, LP | F2, F3, F4, F6 | |||||||
holding | AZTR | Series A-1 Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 102K | Directly held by Bios Fund II NT, LP | F2, F3, F4, F6 | |||||||
holding | AZTR | Series A-1 Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 412K | Directly held by Bios Fund II QP, LP | F2, F3, F4, F6 | |||||||
holding | AZTR | Series A-1 Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 398K | Directly held by Bios Azitra Co-Invest I, LP | F2, F3, F4, F6 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 52.1K | Directly held by Bios Fund II, LP | F2, F3, F4, F7, F9 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 22.8K | Directly held by Bios Fund II NT, LP | F2, F3, F4, F7 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 170K | Directly held by Bios Fund II QP, LP | F2, F3, F4, F7 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 124K | Directly held by Bios Fund III, LP | F2, F3, F4, F7 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 130K | Directly held by Bios Fund III NT, LP | F2, F3, F4, F7 | |||||||
holding | AZTR | Series B Convertible Preferred Stock | Jun 15, 2023 | Common Stock | 808K | Directly held by Bios Fund III QP, LP | F2, F3, F4, F7 | |||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 4.01K | $0.48 | Directly held by Bios Fund II, LP | F2, F3, F4, F8 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 1.75K | $0.48 | Directly held by Bios Fund II NT, LP | F2, F3, F4, F8 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 13.1K | $0.48 | Directly held by Bios Fund II QP, LP | F2, F3, F4, F8 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 8.05K | $5.28 | Directly held by Bios Fund II, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 3.52K | $5.28 | Directly held by Bios Fund II NT, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 26.3K | $5.28 | Directly held by Bios Fund II QP, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 10.7K | $5.28 | Directly held by Bios Fund II, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 4.66K | $5.28 | Directly held by Bios Fund II NT, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 34.8K | $5.28 | Directly held by Bios Fund II QP, LP | F2, F3, F4, F8, F9 | ||||||
holding | AZTR | Warrants (Right to Buy) | Jun 15, 2023 | Common Stock | 39.8K | $5.28 | Directly held by Bios Azitra Co-Invest I, LP | F2, F3, F4, F8, F9 |
Id | Content |
---|---|
F1 | Reflects a convertible note that is convertible into shares of common stock of the Issuer. The principal amount of the convertible note together with accrued interest will be automatically converted into shares of common stock of the Issuer upon the closing of the Issuer's initial public offering ("IPO") at a conversion price equal to the lesser of: (i) $30 million divided by the number of shares of the Issuer's common stock issued and outstanding, on a fully diluted basis, immediately prior to the close of the IPO or (ii) 50% of the price per share issued in connection with the IPO. |
F2 | The number of shares represented reflects a forward stock split at a ratio of 7.1-for-1 which was effectuated upon the effectiveness of the Issuer's Form S-1 (File No. 333-269876). |
F3 | Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I") and Bios Fund I QP, LP ("Bios Fund I QP"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Azitra Co-invest I, LP ("Bios Azitra Co-invest"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). |
F4 | Cavu Management, LP, an entity managed and controlled by Mr. Les Kreis, and Bios Capital Management, LP, an entity managed and controlled by Mr. Aaron Fletcher, are the general partners of Bios Equity I, Bios Equity II and Bios Equity III. Cavu Advisors LLC, an entity that is managed and controlled by Mr. Kreis, is the general partner of Cavu Management LP. Bios Advisors GP, LLC, an entity that is managed and controlled by Mr. Fletcher, is the general partner of Bios Capital Management, LP. The shares owned by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Fund III, Bios Fund III QP, Bios Fund III NT and Bios Azitra Co-invest (collectively, the "Bios Equity Entities") are aggregated for purposes of reporting share ownership information. Mr. Kreis and Mr. Fletcher share voting and investment control with respect to shares held by the Bios Equity Entities. |
F5 | Each share of Series A Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series A Convertible Preferred Stock has no expiration date. |
F6 | Each share of Series A-1 Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series A-1 Convertible Preferred Stock has no expiration date. |
F7 | Each share of Series B Convertible Preferred Stock preferred stock will automatically convert into one share of common stock upon the closing of the Issuer's IPO. Each share of Series B Convertible Preferred Stock has no expiration date. |
F8 | The exercise price of the warrants reflects adjustment for a forward stock split at a ratio of 7.1-for-1 which was effectuated upon the effectiveness of the Issuer's Form S-1 (File No. 333-269876). |
F9 | The warrants expire upon the earlier of: (i) February 22, 2026 or (ii) the consummation of a sale of the Issuer. |
This Form 3 is the first of two Forms 3 filed relating to the same event. The Form 3 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 3 to a maximum of 10 reporting persons. The second Form 3 was filed by Aaron G.L. Fletcher as the designated filer.