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CALC

CalciMedica, Inc.

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7804
SEC CIK
0001534133
Parsed reports
265

Last 12 months

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1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202610
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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
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
Disclosure

SEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 3

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: 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.

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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 1,422,406 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 2

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: 1,422,406

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 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.

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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 1,422,406 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-20-001220 · e619972_4-gray.xml · nonDerivative · entry 1

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: 1,422,406

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 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.

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September 29, 2020 Filed Oct 1, 2020 22:30 UTC ConversionSeries C Preferred Stock · Derivative 395,068 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-026702 · doc4.xml · derivative · entry 5

Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner

Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner

Blackstone Clarus III L.L.C. · CIK 0001762202 · 10% owner

Blackstone Holdings II L.P. · CIK 0001484870 · 10% owner

Blackstone Holdings I/II GP L.L.C. · CIK 0001464695 · 10% owner

Blackstone Group Inc · CIK 0001393818 · 10% owner

Blackstone Group Management L.L.C. · CIK 0001404071 · 10% owner

SCHWARZMAN STEPHEN A · CIK 0001070844 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 395,068 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 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 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 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 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: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F3 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F4 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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September 29, 2020 Filed Oct 1, 2020 22:30 UTC ConversionSeries B Preferred Stock · Derivative 1,285,327 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-026702 · doc4.xml · derivative · entry 4

Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner

Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner

Blackstone Clarus III L.L.C. · CIK 0001762202 · 10% owner

Blackstone Holdings II L.P. · CIK 0001484870 · 10% owner

Blackstone Holdings I/II GP L.L.C. · CIK 0001464695 · 10% owner

Blackstone Group Inc · CIK 0001393818 · 10% owner

Blackstone Group Management L.L.C. · CIK 0001404071 · 10% owner

SCHWARZMAN STEPHEN A · CIK 0001070844 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 1,285,327 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 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 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 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 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: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F3 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F4 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 29, 2020 Filed Oct 1, 2020 22:30 UTC PurchaseCommon Stock 250,000 $16.00 $4,000,000.00
Disclosure

SEC source: 0000899243-20-026702 · doc4.xml · nonDerivative · entry 3

Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner

Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner

Blackstone Clarus III L.L.C. · CIK 0001762202 · 10% owner

Blackstone Holdings II L.P. · CIK 0001484870 · 10% owner

Blackstone Holdings I/II GP L.L.C. · CIK 0001464695 · 10% owner

Blackstone Group Inc · CIK 0001393818 · 10% owner

Blackstone Group Management L.L.C. · CIK 0001404071 · 10% owner

SCHWARZMAN STEPHEN A · CIK 0001070844 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,930,395

F2 · ownership.nature: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F3 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F4 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 29, 2020 Filed Oct 1, 2020 22:30 UTC ConversionCommon Stock 395,068 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-026702 · doc4.xml · nonDerivative · entry 2

Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner

Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner

Blackstone Clarus III L.L.C. · CIK 0001762202 · 10% owner

Blackstone Holdings II L.P. · CIK 0001484870 · 10% owner

Blackstone Holdings I/II GP L.L.C. · CIK 0001464695 · 10% owner

Blackstone Group Inc · CIK 0001393818 · 10% owner

Blackstone Group Management L.L.C. · CIK 0001404071 · 10% owner

SCHWARZMAN STEPHEN A · CIK 0001070844 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,680,395

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 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: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F3 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F4 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Read SEC document
September 29, 2020 Filed Oct 1, 2020 22:30 UTC ConversionCommon Stock 1,285,327 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-026702 · doc4.xml · nonDerivative · entry 1

Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner

Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner

Blackstone Clarus III L.L.C. · CIK 0001762202 · 10% owner

Blackstone Holdings II L.P. · CIK 0001484870 · 10% owner

Blackstone Holdings I/II GP L.L.C. · CIK 0001464695 · 10% owner

Blackstone Group Inc · CIK 0001393818 · 10% owner

Blackstone Group Management L.L.C. · CIK 0001404071 · 10% owner

SCHWARZMAN STEPHEN A · CIK 0001070844 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,285,327

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 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: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F3 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F4 · ownership.nature: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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September 25, 2020 Filed Sep 29, 2020 20:41 UTC PurchaseCommon Stock 562,500 $16.00 $9,000,000.00
Disclosure

SEC source: 0001209191-20-052342 · doc4.xml · nonDerivative · entry 1

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: 562,500

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.

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September 24, 2020 Filed Sep 28, 2020 17:40 UTC GrantDirector Stock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001209191-20-052242 · doc4.xml · derivative · entry 1

EASTLAND JULIA MARIE · CIK 0001500189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-09-23

F1 · derivative.exercise_date: The option shall vest as to 1/36th of the total shares on October 24, 2020 and on each monthly anniversary thereafter such that the option shall be fully vested on September 24, 2023, subject to the continued service of the Reporting Person to the Issuer through each vesting date.

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September 24, 2020 Filed Sep 28, 2020 17:38 UTC
BREUIL ROBERT SChief Financial Officer
GrantRestricted Stock Units · Derivative 80,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052240 · doc4.xml · derivative · entry 1

BREUIL ROBERT S · CIK 0001241009 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSUs shall vest as to 1/4 of the total shares on September 4, 2021, and 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.

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September 24, 2020 Filed Sep 28, 2020 21:37 UTC GrantDirector Stock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001209191-20-052239 · doc4.xml · derivative · entry 1

BJERKHOLT ERIC · CIK 0001197350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-09-23

F1 · derivative.exercise_date: The option shall vest as to 1/36th of the total shares on October 24, 2020 and on each monthly anniversary thereafter such that the option shall be fully vested on September 24, 2023, subject to the continued service of the Reporting Person to the Issuer through each vesting date.

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September 24, 2020 Filed Sep 28, 2020 21:39 UTC GrantDirector Stock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001209191-20-052241 · doc4.xml · derivative · entry 1

Cagle Gerald D. · CIK 0001589991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-09-23

F1 · derivative.exercise_date: The option shall vest as to 1/36th of the total shares on October 24, 2020 and on each monthly anniversary thereafter such that the option shall be fully vested on September 24, 2023, subject to the continued service of the Reporting Person to the Issuer through each vesting date.

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September 24, 2020 Filed Sep 28, 2020 21:37 UTC GrantDirector Stock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001209191-20-052238 · doc4.xml · derivative · entry 1

ACKERMANN CHRISTINA · CIK 0001681871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-09-23

F1 · derivative.exercise_date: The option shall vest as to 1/36th of the total shares on October 24, 2020 and on each monthly anniversary thereafter such that the option shall be fully vested on September 24, 2023, subject to the continued service of the Reporting Person to the Issuer through each vesting date.

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