Statement of Changes in Beneficial Ownership (4)
March 12 2020 - 2:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Battery Ventures IX, L.P. |
2. Issuer Name and Ticker or Trading Symbol
CHAMPIONS ONCOLOGY, INC.
[
CSBR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BATTERY VENTURES, ONE MARINA PARK DRIVE, SUITE 1100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2020 |
(Street)
BOSTON, MA 02210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/11/2020 | | X | | 123333 | A | $4.80 | 2135215 (1) | I | By Funds (2) |
Common Stock | 3/11/2020 | | X | | 286458 | A | $5.76 | 2421673 (3) | I | By Funds (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant to purchase shares of Common Stock | $4.80 (4) | 3/11/2020 | | X | | | 123333 (4) | 3/13/2015 | 3/13/2020 | Common Stock | 123333 | $0 | 0 | I | By Funds (2) |
Warrant to purchase shares of Common Stock | $5.76 (4) | 3/11/2020 | | X | | | 286458 (4) | 3/13/2015 | 3/13/2020 | Common Stock | 286458 | $0 | 0 | I | By Funds (2) |
Explanation of Responses: |
(1) | Consists of 2,114,077 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 21,138 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX |
(2) | The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
(3) | Consists of 2,397,699 shares of the Issuer's Common Stock held by BVIX and 23,974 shares of the Issuer's Common Stock held by BIPIX. |
(4) | Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Battery Ventures IX, L.P. C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Battery Investment Partners IX, LLC C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Battery Partners IX, LLC C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Battery Management Corp. ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Agrawal Neeraj C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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BROWN MICHAEL MAURICE C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Feldman Jesse C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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Lee Roger H C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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TABORS R DAVID C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
| X |
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TOBIN SCOTT R C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 | X | X |
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Signatures
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/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Ventures IX, L.P.) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Investment Partners IX, LLC) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Partners IX, LLC) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Management Corp.) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Neeraj Agrawal) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Michael M. Brown) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Jesse R. Feldman) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Roger H. Lee) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of R. David Tabors) | | 3/12/2020 |
**Signature of Reporting Person | Date |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Scott R. Tobin) | | 3/12/2020 |
**Signature of Reporting Person | Date |
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