Holdings A/S Novo - Oct 21, 2021 Form 3 Insider Report for MINERVA SURGICAL INC (UTRS)

Role
10%+ Owner
Signature
/s/ Barbara Fiorini Due, General Counsel of Novo Holdings A/S
Stock symbol
UTRS
Transactions as of
Oct 21, 2021
Transactions value $
$0
Form type
3
Date filed
10/21/2021, 07:33 PM
Previous filing
Jun 23, 2021
Next filing
Oct 27, 2021

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding UTRS SERIES D REDEEMABLE CONVERTIBLE PREFERRED STOCK Oct 21, 2021 COMMON STOCK 884K Direct F1
holding UTRS SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTES Oct 21, 2021 COMMON STOCK 593K Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series D Redeemable Convertible Preferred Stock is convertible into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 3, which gives effect to the issuer's reverse stock split effected October 14, 2021, at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. These shares have no expiration date.
F2 The Subordinated Secured Convertible Promissory Notes convert into preferred stock, which converts into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 3, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The notes have a maturity date of June 30, 2023.