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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
HBM Healthcare Investments (Cayman) Ltd.

(Last) (First) (Middle)
GOVERNORS SQUARE, SUITE #4-212-2
23 LIME TREE BAY AVE., WEST BAY

(Street)
GRAND CAYMAN E9 00000

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/24/2013
3. Issuer Name and Ticker or Trading Symbol
Ophthotech Corp. [ OPHT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
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)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) (1) Common Stock 2,436,346 (1) D
Series B Preferred Stock (2) (2) Common Stock 353,107 (2) D
Series C Preferred Stock (3) (3) Common Stock 204,974 (3) D
Series A Warrant (Right to Buy) (4) 06/18/2017 Common Stock 11,864(5) 0.059 D
Explanation of Responses:
1. Each share of Series A Preferred Stock will be automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the issuer's firm commitment underwritten public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended (the "IPO") and has no expiration date.
2. Each share of Series B Preferred Stock will be automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the issuer's IPO and has no expiration date.
3. Each share of Series C Preferred Stock will be automatically converted into Common Stock on a 1 for 5.9 reverse split basis upon the closing of the issuer's IPO and has no expiration date.
4. Immediately exercisable.
5. Represents the shares of common stock issuable upon the exercise of the warrant, including the conversion of shares of Series A Preferred Stock issuable upon the exercise of the warrant.
/s/ Jean-Marc Lesieur, Director 09/24/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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