Initial Statement of Beneficial Ownership (3)

Date : 08/22/2019 @ 8:21PM
Source : Edgar (US Regulatory)
Stock : Dynavax Technologies Corp (DVAX)
Quote : 5.83  0.0 (0.00%) @ 5:00AM
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Last Trade
Last $ 5.83 ◊ 0.00 (0.00%)

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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
                      

1. Name and Address of Reporting Person *

Hack Andrew A. F.

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/12/2019 

3. Issuer Name and Ticker or Trading Symbol

DYNAVAX TECHNOLOGIES CORP [DVAX]

(Last)        (First)        (Middle)

C/O BAIN CAPITAL LIFE SCIENCES INVESTORS, 200 CLARENDON STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                          _____ 10% Owner
_____ Officer (give title below)        _____ Other (specify below)

(Street)

BOSTON, MA 02116      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)

 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 7525000 I See Footnotes (3)(4)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Series B Convertible Preferred Stock 8/12/2019  (1)Common Stock 4140000 (1)$0.00 I See Footnotes (3)(4)
Warrants (Right to Buy) 8/12/2019 2/12/2022 Common Stock 2916250 (2)$4.50 I See Footnotes (3)(4)

Explanation of Responses:
(1) Each share of Series B Convertible Preferred Stock is convertible, at the option of the holder, into 1,000 shares of the Issuer's common stock and has no expiration date. The Series B Convertible Preferred Stock is not convertible if, as a result of such conversion, the holder, together with its affiliates, would beneficially own more than 9.99% of the total number of shares of the Issuer's common stock then issued and outstanding immediately after giving effect to the conversion.
(2) The warrants cannot be exercised if, as a result of such exercise, the holder, together with its affiliates, would beneficially own more than 9.99% of the total number of shares of the Issuer's common stock then issued and outstanding immediately after giving effect to the exercise.
(3) Bain Capital Life Sciences Fund, L.P. ("BC LS") holds 6,826,266 shares of the Issuer's common stock, 3,756 shares of the Issuer's Series B Convertible Preferred Stock and warrants to purchase 2,645,566 shares of the Issuer's common stock. BCIP Life Sciences Associates, LP ("BCIP LS" and, together with BC LS, the "Bain Life Sciences Entities") holds 698,734 shares of the Issuer's common stock, 384 shares of the Issuer's Series B Convertible Preferred Stock and warrants to purchase 270,684 shares of the Issuer's common stock.
(4) Bain Capital Life Sciences Investors, LLC ("BCI LS") (i) is the general partner of Bain Capital Life Sciences Partners, LP, which is the general partner of BC LS, and (ii) governs the investment strategy and decision-making process with respect to investments held by BCIP LS. Dr. Hack is a Managing Director of BCI LS. By virtue of the relationships described in this footnote, Dr. Hack may be deemed to share voting and dispositive power with respect to the securities held by the Bain Life Sciences Entities. Dr. Hack disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Hack Andrew A. F.
C/O BAIN CAPITAL LIFE SCIENCES INVESTORS
200 CLARENDON STREET
BOSTON, MA 02116
X



Signatures
/s/ Andrew A.F. Hack8/22/2019
**Signature of Reporting PersonDate

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