SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Schroder Adveq Technology IX S.C.S.

(Last) (First) (Middle)
AFFOLTERNSTRASSE 56

(Street)
ZURICH V8 CH-8050

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Decibel Therapeutics, Inc. [ DBTX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/17/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/17/2021 C 524,328 A (1) 524,328 I See footnote(2)
Common Stock 02/17/2021 C 524,328 A (1) 524,328 I See footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Series C Preferred Stock (1) 02/17/2021 C 6,625,001 (1) (1) Common Stock 524,328 (1) 0 I See footnote(2)
Series C Preferred Stock (1) 02/17/2021 C 6,625,001 (1) (1) Common Stock 524,328 (1) 0 I See footnote(3)
1. Name and Address of Reporting Person*
Schroder Adveq Technology IX S.C.S.

(Last) (First) (Middle)
AFFOLTERNSTRASSE 56

(Street)
ZURICH V8 CH-8050

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Schroder Adveq Management Luxembourg Sarl

(Last) (First) (Middle)
AFFOLTERNSTRASSE 56

(Street)
ZURICH V8 CH-8050

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Schroder Adveq cPl Global 2017 - 2019 C.V.

(Last) (First) (Middle)
AFFOLTERNSTRASSE 56

(Street)
ZURICH V8 CH-8050

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Schroder Adveq cPl Global Management III L.P.

(Last) (First) (Middle)
AFFOLTERNSTRASSE 56

(Street)
ZURICH V8 CH-8050

(City) (State) (Zip)
Explanation of Responses:
1. The Series C Preferred Stock converted into shares of the Issuer's common stock, $0.001 par value per share, on an approximately 12.635:1 basis automatically immediately prior to the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date.
2. Held directly by Schroder Adveq Technology IX S.C.S. Schroder Adveq Management Luxembourg S.a.r.l. is the general partner of Schroder Adveq Technology IX S.C.S. Schroder Adveq Management Luxembourg S.a.r.l. disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
3. Held directly by Schroder Adveq cPl Global 2017 - 2019 C.V. Schroder Adveq cPl Global Management III L.P. is the general partner of Schroder Adveq cPl Global 2017 - 2019 C.V. Schroder Adveq cPl Global Management III L.P. disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq Technology IX S.C.S. 03/08/2021
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq Management Luxembourg S.a.r.l. 03/08/2021
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq cPl Global 2017 - 2019 C.V. 03/08/2021
/s/ Manual Mouget and Paul de Haan, for Schroder Adveq cPl Global Management III L.P. 03/08/2021
** Signature of Reporting Person Date
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