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Nasdaq · USD

BOLT

Bolt Biotherapeutics, Inc.

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Tapewire entity
8082
SEC CIK
0001641281
Parsed reports
138

Last 12 months

Inside the activity.

4 purchase rows · 9 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202520
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202620
Jul 202600
Aug 202600
Sep 202609
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 09, 2021 Filed Feb 9, 2021 20:33 UTC ConversionSeries B Preferred Stock · Derivative 472,296 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · derivative · entry 6

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 472,296 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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February 09, 2021 Filed Feb 9, 2021 20:33 UTC ConversionSeries A- 1 Preferred Stock · Derivative 944,056 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · derivative · entry 5

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 944,056 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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February 09, 2021 Filed Feb 9, 2021 20:33 UTC SaleCommon Stock 62 $20.00 $1,240.00
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · nonDerivative · entry 4

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 1,448,286

F4 · kind: Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock.

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

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February 09, 2021 Filed Feb 9, 2021 20:33 UTC OtherCommon Stock 17,711 $0.07 $1,239.77
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · nonDerivative · entry 3

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 1,448,348

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:33 UTC ConversionCommon Stock 472,296 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · nonDerivative · entry 2

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 1,430,637

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:33 UTC ConversionCommon Stock 944,056 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008753 · doc4.xml · nonDerivative · entry 1

SHAH MAHENDRA · CIK 0001255449 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo PANDA Fund, L.P.

Disclosed balance after: 958,341

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:29 UTC
HEALY JAMESDirector
ConversionSeries C-2 Preferred Stock · Derivative 1,200,228 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008750 · doc4.xml · derivative · entry 5

HEALY JAMES · CIK 0001245624 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sofinnova Venture Partners X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,200,228 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. The Reporting Person is one of three managing members of SM X and may be deemed to have shared voting and dispositive power over the shares held by SVP X. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:29 UTC
HEALY JAMESDirector
ConversionSeries C-1 Preferred Stock · Derivative 1,104,209 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008750 · doc4.xml · derivative · entry 4

HEALY JAMES · CIK 0001245624 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sofinnova Venture Partners X, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,104,209 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. The Reporting Person is one of three managing members of SM X and may be deemed to have shared voting and dispositive power over the shares held by SVP X. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:29 UTC
HEALY JAMESDirector
PurchaseCommon Stock 450,000 $20.00 $9,000,000.00
Disclosure

SEC source: 0001209191-21-008750 · doc4.xml · nonDerivative · entry 3

HEALY JAMES · CIK 0001245624 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sofinnova Venture Partners X, L.P.

Disclosed balance after: 2,754,437

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:29 UTC
HEALY JAMESDirector
ConversionCommon Stock 1,200,228 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008750 · doc4.xml · nonDerivative · entry 2

HEALY JAMES · CIK 0001245624 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sofinnova Venture Partners X, L.P.

Disclosed balance after: 2,304,437

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. The Reporting Person is one of three managing members of SM X and may be deemed to have shared voting and dispositive power over the shares held by SVP X. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:29 UTC
HEALY JAMESDirector
ConversionCommon Stock 1,104,209 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008750 · doc4.xml · nonDerivative · entry 1

HEALY JAMES · CIK 0001245624 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sofinnova Venture Partners X, L.P.

Disclosed balance after: 1,104,209

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Sofinnova Venture Partners X, L.P. ("SVP X"). Sofinnova Management X, L.L.C. ("SM X") is the general partner of SVP X. The Reporting Person is one of three managing members of SM X and may be deemed to have shared voting and dispositive power over the shares held by SVP X. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:20 UTC
Schatzman Randall CDirector · Chief Executive Officer
PurchaseCommon Stock 1,500 $20.00 $30,000.00
Disclosure

SEC source: 0001209191-21-008739 · doc4.xml · nonDerivative · entry 1

Schatzman Randall C · CIK 0001604763 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
OtherWarrant (Right to Buy) · Derivative 5,655 $0.00 Strike: $0.07 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 23

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 5,655 shares

Expires 2028-07-26

F11 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries C- 2 Preferred Stock · Derivative 47,718 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 22

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 47,718 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F4 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F4 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries C- 1 Preferred Stock · Derivative 43,901 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 21

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 43,901 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries B Preferred Stock · Derivative 150,802 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 20

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 150,802 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
OtherWarrant (Right to Buy) · Derivative 40,953 $0.00 Strike: $0.07 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 19

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 40,953 shares

Expires 2028-07-26

F11 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries C- 2 Preferred Stock · Derivative 345,568 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 18

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 345,568 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F4 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F4 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries C- 1 Preferred Stock · Derivative 317,922 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 17

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 317,922 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F3 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionSeries B Preferred Stock · Derivative 1,092,080 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · derivative · entry 16

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,092,080 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
PurchaseCommon Stock 24,267 $20.00 $485,340.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 12

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 275,789

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
SaleCommon Stock 20 $20.00 $400.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 11

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 251,522

F7 · kind: Upon closing of the Issuer's IPO, Vivo Capital Surplus Fund VIII, L.P. exercised a warrant to purchase 5,655 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Surplus Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 20 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Surplus Fund VIII, L.P. the remaining 5,635 shares of Common Stock.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
OtherCommon Stock 5,655 $0.07 $395.85
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 10

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 251,542

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 47,718 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 9

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 245,887

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 43,901 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 8

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 198,169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 150,802 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 7

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P.

Disclosed balance after: 154,268

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F6 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
PurchaseCommon Stock 175,733 $20.00 $3,514,660.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 6

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,997,216

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
SaleCommon Stock 144 $20.00 $2,880.00
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 5

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,821,483

F5 · kind: Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
OtherCommon Stock 40,953 $0.07 $2,866.71
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 4

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,821,627

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 345,568 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 3

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,780,674

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 317,922 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 2

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,435,106

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:25 UTC
ENGLEMAN EDGARDirector · 10% owner
ConversionCommon Stock 1,092,080 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-008744 · doc4.xml · nonDerivative · entry 1

ENGLEMAN EDGAR · CIK 0001227162 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Capital Fund VIII, L.P.

Disclosed balance after: 1,117,184

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.

F2 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:27 UTC PurchaseCommon Stock 1,200 $20.00 $24,000.00
Disclosure

SEC source: 0001209191-21-008747 · doc4.xml · nonDerivative · entry 2

Khanna Ashish Siri Ram · CIK 0001821342 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 1,200

Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:27 UTC PurchaseCommon Stock 1,000 $20.00 $20,000.00
Disclosure

SEC source: 0001209191-21-008747 · doc4.xml · nonDerivative · entry 1

Khanna Ashish Siri Ram · CIK 0001821342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC ConversionSERIES C-2 PREFERRED STOCK · Derivative 458,337 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · derivative · entry 6

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 458,337 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC ConversionSERIES C-1 PREFERRED STOCK · Derivative 421,670 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · derivative · entry 5

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 421,670 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC ConversionSERIES B PREFERRED STOCK · Derivative 2,050,758 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · derivative · entry 4

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 2,050,758 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC ConversionSERIES A-1 PREFERRED STOCK · Derivative 1,096,323 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · derivative · entry 3

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 1,096,323 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.exercise_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC PurchaseCOMMON STOCK 400,000 $20.00 $8,000,000.00
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · nonDerivative · entry 2

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,503,991

F2 · price: Represents a purchase from the underwriters in the Issuer's initial public offering.

Read SEC document
February 09, 2021 Filed Feb 11, 2021 21:39 UTC ConversionCOMMON STOCK 4,027,088 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-21-009720 · doc4.xml · nonDerivative · entry 1

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,103,991

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series A-1 Preferred Stock, Series B Preferred Stock, Series C-1 Preferred Stock and Series C-2 Preferred Stock (collectively, the "Preferred Stock") converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

Read SEC document
February 04, 2021 Filed Feb 8, 2021 17:02 UTC
Quinn William P.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-008521 · doc4.xml · derivative · entry 1

Quinn William P. · CIK 0001724190 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: For so long as the Reporting Person continuously provides services to the Issuer this option will vest with respect to the shares as follows: 1/48th of the Shares will vest upon the Reporting Person completing each month of continuous service following February 4, 2021.

Read SEC document
February 04, 2021 Filed Feb 8, 2021 22:09 UTC
Yonehiro GrantChief Business Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-008533 · doc4.xml · derivative · entry 1

Yonehiro Grant · CIK 0001428666 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: For so long as the Reporting Person continuously provides services to the Issuer this option will vest with respect to the shares as follows: 1/48th of the Shares will vest upon the Reporting Person completing each month of continuous service following February 4, 2021.

Read SEC document
February 04, 2021 Filed Feb 8, 2021 22:06 UTC
Perez Edith A.Chief Medical Officer
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-008529 · doc4.xml · derivative · entry 1

Perez Edith A. · CIK 0001821419 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: For so long as the Reporting Person continuously provides services to the Issuer this option will vest with respect to the shares as follows: 1/48th of the Shares will vest upon the Reporting Person completing each month of continuous service following February 4, 2021.

Read SEC document
February 04, 2021 Filed Feb 8, 2021 22:04 UTC
Dornan DavidChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 110,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-008527 · doc4.xml · derivative · entry 1

Dornan David · CIK 0001821353 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: For so long as the Reporting Person continuously provides services to the Issuer this option will vest with respect to the shares as follows: 1/48th of the Shares will vest upon the Reporting Person completing each month of continuous service following February 4, 2021.

Read SEC document
February 04, 2021 Filed Feb 8, 2021 21:59 UTC
Schatzman Randall CDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 340,000 $0.00 Strike: $20.00 $0.00
Disclosure

SEC source: 0001209191-21-008516 · doc4.xml · derivative · entry 1

Schatzman Randall C · CIK 0001604763 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,000

Underlying: Common Stock · 340,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: For so long as the Reporting Person continuously provides services to the Issuer this option will vest with respect to the shares as follows: 1/48th of the Shares will vest upon the Reporting Person completing each month of continuous service following February 4, 2021.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.