Last 12 months
Inside the activity.
1 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 1 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 13, 2022 Filed Apr 15, 2022 17:41 UTC |
Sauer DirkDirector
|
GrantStock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001209191-22-024529 · doc4.xml · derivative · entry 1 Sauer Dirk · CIK 0001921165 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2032-04-13 F1 · derivative.exercise_date: The stock option vests as to 1/36 of the total shares on May 13, 2022 and each month thereafter until option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 17:41 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-022591 · doc4.xml · derivative · entry 3 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 5,000 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 RSU represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 1/12 of the total shares on March 4, 2022, but were not settled and issued until March 31, 2022. 1/12 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on September 4, 2024, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F4 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 17:41 UTC |
BREUIL ROBERT SChief Financial Officer
|
SaleCommon Stock | 2,188 | $1.25 | $2,735.00 |
DisclosureSEC source: 0001209191-22-022591 · doc4.xml · nonDerivative · entry 2 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,529 F2 · kind: Represents the aggregate number of shares sold by the Reporting Person to cover taxes and fees due upon the release and settlement of the Restricted Stock Units ("RSUs"). The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 17:41 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-022591 · doc4.xml · nonDerivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,717 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 RSU represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 18:55 UTC |
BREUIL ROBERT SChief Financial Officer
|
GrantRestricted Stock Unit · Derivative | 83,155 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-015048 · doc4.xml · derivative · entry 2 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,155 Underlying: Common Stock · 83,155 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. F3 · derivative.expiration_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 18:55 UTC |
BREUIL ROBERT SChief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 63,845 | $0.00 Strike: $1.33 | $0.00 |
DisclosureSEC source: 0001209191-22-015048 · doc4.xml · derivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,845 Underlying: Common Stock · 63,845 shares Expires 2032-02-27 F1 · derivative.exercise_date: The stock option vests as to 100% of the total shares on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:58 UTC |
Zamiri ParisaChief Medical Officer
|
GrantRestricted Stock Unit · Derivative | 83,155 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-015052 · doc4.xml · derivative · entry 2 Zamiri Parisa · CIK 0001824806 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,155 Underlying: Common Stock · 83,155 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. F3 · derivative.expiration_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:58 UTC |
Zamiri ParisaChief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 63,845 | $0.00 Strike: $1.33 | $0.00 |
DisclosureSEC source: 0001209191-22-015052 · doc4.xml · derivative · entry 1 Zamiri Parisa · CIK 0001824806 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,845 Underlying: Common Stock · 63,845 shares Expires 2032-02-27 F1 · derivative.exercise_date: The stock option vests as to 100% of the total shares on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:56 UTC |
Guerard FredericDirector · Chief Executive Officer
|
GrantRestricted Stock Unit · Derivative | 221,746 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-015050 · doc4.xml · derivative · entry 2 Guerard Frederic · CIK 0001825009 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,746 Underlying: Common Stock · 221,746 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. F3 · derivative.expiration_date: The RSUs shall vests as to 100% of the total RSUs on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| February 28, 2022 Filed Mar 2, 2022 23:56 UTC |
Guerard FredericDirector · Chief Executive Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 170,054 | $0.00 Strike: $1.33 | $0.00 |
DisclosureSEC source: 0001209191-22-015050 · doc4.xml · derivative · entry 1 Guerard Frederic · CIK 0001825009 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,054 Underlying: Common Stock · 170,054 shares Expires 2032-02-27 F1 · derivative.exercise_date: The stock option vests as to 100% of the total shares on February 28, 2023, subject to the Reporting Person's provision of service to the Issuer on the vesting date. Read SEC document |
| December 04, 2021 Filed Dec 7, 2021 18:52 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-068421 · doc4.xml · derivative · entry 2 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 5,000 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 RSU represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The RSUs vested as to 1/4 of the total shares on September 4, 2021 but did not settle until September 22, 2021. 1/12 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on September 4, 2024, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F3 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| December 04, 2021 Filed Dec 7, 2021 18:52 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-068421 · doc4.xml · nonDerivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,717 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 RSU represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| September 22, 2021 Filed Sep 24, 2021 19:16 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057712 · doc4.xml · derivative · entry 3 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 20,000 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 RSU represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 1/4 of the total shares on September 4, 2021, but were not settled and issued until September 22, 2021. 1/12 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on September 4, 2024, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F5 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| September 22, 2021 Filed Sep 24, 2021 19:16 UTC |
BREUIL ROBERT SChief Financial Officer
|
SaleCommon Stock | 7,283 | $3.55 | $25,853.92 |
DisclosureSEC source: 0001209191-21-057712 · doc4.xml · nonDerivative · entry 2 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,717 F2 · kind: Represents the aggregate number of shares sold by the Reporting Person to cover taxes and fees due upon the release and settlement of the Restricted Stock Units ("RSUs"). The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees. F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.47 to $3.61 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 22, 2021 Filed Sep 24, 2021 19:16 UTC |
BREUIL ROBERT SChief Financial Officer
|
Exercise / conversionCommon Stock | 20,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057712 · doc4.xml · nonDerivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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 RSU represents a contingent right to receive one share of the Issuer's common stock. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 18:33 UTC |
SHAFFER CHRISTY LDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.07 | $0.00 |
DisclosureSEC source: 0001209191-21-038379 · doc4.xml · derivative · entry 1 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 18:36 UTC |
EASTLAND JULIA MARIEDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.07 | $0.00 |
DisclosureSEC source: 0001209191-21-038388 · doc4.xml · derivative · entry 1 EASTLAND JULIA MARIE · CIK 0001500189 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 22:34 UTC |
BJERKHOLT ERICDirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.07 | $0.00 |
DisclosureSEC source: 0001209191-21-038384 · doc4.xml · derivative · entry 1 BJERKHOLT ERIC · CIK 0001197350 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 22:37 UTC |
Cagle Gerald D.Director
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.07 | $0.00 |
DisclosureSEC source: 0001209191-21-038392 · doc4.xml · derivative · entry 1 Cagle Gerald D. · CIK 0001589991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 22:30 UTC |
ACKERMANN CHRISTINADirector
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $4.07 | $0.00 |
DisclosureSEC source: 0001209191-21-038372 · doc4.xml · derivative · entry 1 ACKERMANN CHRISTINA · CIK 0001681871 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-06-01 F1 · derivative.exercise_date: The option award will fully vest upon the earlier of 1) the Issuer's next annual stockholder meeting, or 2) June 2, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 16:21 UTC |
BREUIL ROBERT SChief Financial Officer
|
GrantRestricted Stock Units · Derivative | 159,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-034906 · doc4.xml · derivative · entry 2 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,000 Underlying: Common Stock · 159,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vest as to 1/4 of the total shares on May 19, 2022, and 1/16 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on May 19, 2025, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F4 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 16:21 UTC |
BREUIL ROBERT SChief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 232,000 | $0.00 Strike: $3.73 | $0.00 |
DisclosureSEC source: 0001209191-21-034906 · doc4.xml · derivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,000 Underlying: Common Stock · 232,000 shares Expires 2031-05-18 F1 · derivative.exercise_date: The stock option vests as to 1/4 of the total shares on May 19, 2022 and then 1/48 of the total shares monthly until the option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 20:25 UTC |
Guerard FredericDirector · Chief Executive Officer
|
GrantRestricted Stock Units · Derivative | 450,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-034912 · doc4.xml · derivative · entry 2 Guerard Frederic · CIK 0001825009 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vest as to 1/4 of the total shares on May 19, 2022, and 1/16 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on May 19, 2025, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F4 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 20:25 UTC |
Guerard FredericDirector · Chief Executive Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 660,000 | $0.00 Strike: $3.73 | $0.00 |
DisclosureSEC source: 0001209191-21-034912 · doc4.xml · derivative · entry 1 Guerard Frederic · CIK 0001825009 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 660,000 Underlying: Common Stock · 660,000 shares Expires 2031-05-18 F1 · derivative.exercise_date: The stock option vests as to 1/4 of the total shares on May 19, 2022 and then 1/48 of the total shares monthly until the option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 20:23 UTC |
Zamiri ParisaChief Medical Officer
|
GrantRestricted Stock Units · Derivative | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-034909 · doc4.xml · derivative · entry 2 Zamiri Parisa · CIK 0001824806 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs shall vest as to 1/4 of the total shares on May 19, 2022, and 1/16 of the remaining shares shall vest quarterly thereafter such that the RSUs shall be fully vested on May 19, 2025, subject to the continued service of the Reporting Person to the Issuer through each vesting date. F4 · derivative.expiration_date: The RSUs do not expire; they either vest or are canceled prior to vest date. Read SEC document |
| May 19, 2021 Filed May 21, 2021 20:23 UTC |
Zamiri ParisaChief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 219,000 | $0.00 Strike: $3.73 | $0.00 |
DisclosureSEC source: 0001209191-21-034909 · doc4.xml · derivative · entry 1 Zamiri Parisa · CIK 0001824806 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,000 Underlying: Common Stock · 219,000 shares Expires 2031-05-18 F1 · derivative.exercise_date: The stock option vests as to 1/4 of the total shares on May 19, 2022 and then 1/48 of the total shares monthly until the option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 17:08 UTC |
BREUIL ROBERT SChief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $23.66 | $0.00 |
DisclosureSEC source: 0001209191-20-062751 · doc4.xml · derivative · entry 1 BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-12-07 F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares on January 8, 2021 and each month thereafter until option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 22:11 UTC |
Zamiri ParisaChief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $23.66 | $0.00 |
DisclosureSEC source: 0001209191-20-062756 · doc4.xml · derivative · entry 1 Zamiri Parisa · CIK 0001824806 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2030-12-07 F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares on January 8, 2021 and each month thereafter until option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 22:09 UTC |
Guerard FredericDirector · Chief Executive Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $23.66 | $0.00 |
DisclosureSEC source: 0001209191-20-062752 · doc4.xml · derivative · entry 1 Guerard Frederic · CIK 0001825009 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2030-12-07 F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares on January 8, 2021 and each month thereafter until option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 22:10 UTC |
Salain DanielCTOO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $23.66 | $0.00 |
DisclosureSEC source: 0001209191-20-062754 · doc4.xml · derivative · entry 1 Salain Daniel · CIK 0001824804 · CTOO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2030-12-07 F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares on January 8, 2021 and each month thereafter until option is fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:41 UTC |
ORBIMED ADVISORS LLC10% owner
OrbiMed Capital GP VI LLC10% owner
|
ConversionSeries C Preferred Stock · Derivative | 846,574 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052342 · doc4.xml · derivative · entry 4 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 846,574 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. F2 · derivative.exercise_price: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · price: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · derivative.exercise_date: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · derivative.expiration_date: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, L.P. ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting power and investment power over the securities held by OPI VI and as a result, may be deemed to have beneficial ownership over such securities. Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI VI. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:41 UTC |
ORBIMED ADVISORS LLC10% owner
OrbiMed Capital GP VI LLC10% owner
|
ConversionSeries B Preferred Stock · Derivative | 2,754,273 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052342 · doc4.xml · derivative · entry 3 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,754,273 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. F2 · derivative.exercise_price: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · price: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · derivative.exercise_date: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · derivative.expiration_date: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, L.P. ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting power and investment power over the securities held by OPI VI and as a result, may be deemed to have beneficial ownership over such securities. Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI VI. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:41 UTC |
ORBIMED ADVISORS LLC10% owner
OrbiMed Capital GP VI LLC10% owner
|
ConversionCommon Stock | 3,600,847 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052342 · doc4.xml · nonDerivative · entry 2 ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner OrbiMed Capital GP VI LLC · CIK 0001682115 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,163,347 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. F2 · price: Each share of the Issuer's Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, L.P. ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting power and investment power over the securities held by OPI VI and as a result, may be deemed to have beneficial ownership over such securities. Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the shares held by OPI VI. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 16:42 UTC |
SHAFFER CHRISTY LDirector
|
ConversionSeries C Preferred Stock · Derivative | 151,146 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 5 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 151,146 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 the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 16:42 UTC |
SHAFFER CHRISTY LDirector
|
ConversionSeries B Preferred Stock · Derivative | 1,242,120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 4 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,242,120 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 the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 16:42 UTC |
SHAFFER CHRISTY LDirector
|
ConversionSeries A-2 Preferred Stock · Derivative | 193,224 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052343 · doc4.xml · derivative · entry 3 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 193,224 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 the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · price: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 16:42 UTC |
SHAFFER CHRISTY LDirector
|
PurchaseCommon Stock | 18,750 | $16.00 | $300,000.00 |
DisclosureSEC source: 0001209191-20-052343 · doc4.xml · nonDerivative · entry 2 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,605,240 F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 16:42 UTC |
SHAFFER CHRISTY LDirector
|
ConversionCommon Stock | 1,586,490 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052343 · doc4.xml · nonDerivative · entry 1 SHAFFER CHRISTY L · CIK 0001145929 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,586,490 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 the Issuer's Series A-2 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by Hatteras Venture Partners IV SBIC, L.P. ("HVP IV SBIC"). Hatteras Venture Advisors IV SBIC, L.L.C. ("HVA IV SBIC") is the general partner of HVP IV SBIC. The managing members of HVA IV SBIC include: Robert Ingram, Douglas Reed, Clay Thorp, John Crumpler and Kenneth Lee. These managing members share voting and dispositive power over the securities directly held by HVP IV SBIC. The Reporting Person is a partner of Hatteras Venture Partners and disclaims beneficial ownership of the securities held by HVP IV SBIC except to the extent of her pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:40 UTC |
Keyoung Hansoo MichaelDirector
|
ConversionSeries C Preferred Stock · Derivative | 1,133,596 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052340 · doc4.xml · derivative · entry 2 Keyoung Hansoo Michael · CIK 0001824764 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,133,596 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 the Issuer's Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · price: Each share of the Issuer's Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by AffaMed Project Limited ("AffaMed"). Mengjiao Jiang and the Reporting Person are the directors of AffaMed and each of them may be deemed to hold shared voting and dispositive power with respect to the shares held by AffaMed. The Reporting Person disclaims beneficial ownership of the securities held by AffaMed except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:40 UTC |
Keyoung Hansoo MichaelDirector
|
ConversionCommon Stock | 1,133,596 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052340 · doc4.xml · nonDerivative · entry 1 Keyoung Hansoo Michael · CIK 0001824764 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,133,596 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 the Issuer's Series C Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F2 · ownership.nature: These securities are held of record by AffaMed Project Limited ("AffaMed"). Mengjiao Jiang and the Reporting Person are the directors of AffaMed and each of them may be deemed to hold shared voting and dispositive power with respect to the shares held by AffaMed. The Reporting Person disclaims beneficial ownership of the securities held by AffaMed except to the extent of his pecuniary interest therein, if any. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:39 UTC |
Cagle Gerald D.Director
|
ConversionSeries B Preferred Stock · Derivative | 3,322 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052338 · doc4.xml · derivative · entry 2 Cagle Gerald D. · CIK 0001589991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,322 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 the Issuer's Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · price: Each share of the Issuer's Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.exercise_date: Each share of the Issuer's Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. F1 · derivative.expiration_date: Each share of the Issuer's Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. Read SEC document |
| September 29, 2020 Filed Sep 29, 2020 20:39 UTC |
Cagle Gerald D.Director
|
ConversionCommon Stock | 3,322 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-052338 · doc4.xml · nonDerivative · entry 1 Cagle Gerald D. · CIK 0001589991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,322 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 the Issuer's Series B Preferred Stock automatically converted into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering for no additional consideration and has no expiration date. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionSeries C Preferred Stock · Derivative | 2,624,901 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · derivative · entry 11 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 291,467 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. F2 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionSeries C Preferred Stock · Derivative | 2,624,901 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · derivative · entry 10 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 0 Underlying: Common Stock · 291,467 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. F2 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionSeries C Preferred Stock · Derivative | 2,624,901 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · derivative · entry 9 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Healthcare Innovations Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 291,467 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. F2 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F2 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionSeries B Preferred Stock · Derivative | 12,809,910 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · derivative · entry 8 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,422,406 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 B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · price: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionSeries B Preferred Stock · Derivative | 12,809,912 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · derivative · entry 7 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Healthcare Innovations Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,422,406 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 B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · price: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
PurchaseCommon Stock | 1,562,500 | $16.00 | $25,000,000.00 |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 6 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 1,853,967 F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionCommon Stock | 291,467 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 5 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Partners, L.P. Disclosed balance after: 291,467 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. F2 · price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:36 UTC |
Flynn James E10% owner · *Possible Member of 10% Group
Deerfield Mgmt HIF, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · *Possible Member of 10% Group
Deerfield Healthcare Innovations Fund, L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt L.P.10% owner · *Possible Member of 10% Group
Deerfield Mgmt III, L.P.10% owner · *Possible Member of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · *Possible Member of 10% Group
DEERFIELD PARTNERS, L.P.10% owner · *Possible Member of 10% Group
|
ConversionCommon Stock | 291,467 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 4 Flynn James E · CIK 0001352546 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt HIF, L.P. · CIK 0001665736 · 10% owner · *Possible Member of 10% Group DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · *Possible Member of 10% Group Deerfield Healthcare Innovations Fund, L.P. · CIK 0001646981 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · *Possible Member of 10% Group Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · *Possible Member of 10% Group Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · *Possible Member of 10% Group DEERFIELD PARTNERS, L.P. · CIK 0001301041 · 10% owner · *Possible Member of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Through Deerfield Private Design Fund III, L.P. Disclosed balance after: 1,713,873 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. F2 · price: Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020). F3 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P. F4 · ownership.nature: In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. 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.