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Nasdaq · USD

CLYM

Climb Bio, Inc.

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5064
SEC CIK
0001768446
Parsed reports
119

Last 12 months

Inside the activity.

3 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202520
Jan 202610
Feb 202604
Mar 202600
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202601
Oct 202600

Latest available

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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
June 04, 2025 Filed Jun 5, 2025 20:21 UTC
RA CAPITAL MANAGEMENT, L.P.Director · 10% owner
RA Capital Healthcare Fund LPDirector · 10% owner
Kolchinsky PeterDirector · 10% owner
Shah Rajeev M.Director · 10% owner
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.29 $0.00
Disclosure

SEC source: 0001415889-25-015766 · form4-06052025_080655.xml · derivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

RA Capital Nexus Fund, L.P. · CIK 0001780117 · Director

RA Capital Nexus Fund II, L.P. · CIK 0001825376 · Director

RA Capital Nexus Fund III, L.P. · CIK 0001883840 · Director

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-06-03

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 4, 2026 or the day immediately prior to the next annual meeting of stockholders, subject to Dr. Andrew Levin's continuous service through such date.

F2 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for RA Capital Healthcare Fund, L.P. (the "Fund"), RA Capital Nexus Fund, L.P. (the "Nexus Fund"), RA Capital Nexus Fund II, L.P. (the "Nexus Fund II"), RA Capital Nexus Fund III, L.P. (the "Nexus Fund III"),and a separately managed account (the "Account"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. Each of the Adviser, the Adviser GP, the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, Dr. Kolchinsky and Mr. Shah disclaims beneficial ownership of any of the reported securities, except to the extent of its or his respective pecuniary interest therein.

F3 · ownership.nature: Dr. Andrew Levin is a Partner and Managing Director of the Adviser who serves on the Issuer's board of directors. Under Dr. Levin's arrangement with the Adviser, Dr. Levin holds the option for the benefit of the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, and the Account. Dr. Levin is obligated to turn over to the Adviser any net cash or stock received upon exercise of the option, which will offset advisory fees owed by the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, and the Account to the Adviser. The Reporting Persons therefore disclaim beneficial ownership of the option and underlying common stock.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:14 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.29 $0.00
Disclosure

SEC source: 0000950170-25-082335 · ownership.xml · derivative · entry 1

Drapkin Kimberlee C · CIK 0001340881 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-06-03

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 4, 2026 or the date immediately prior to the date of the next annual meeting of stockholders, subject to the reporting person's continued service through such date.

Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:10 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $1.29 $0.00
Disclosure

SEC source: 0000950170-25-082321 · ownership.xml · derivative · entry 1

Levin Andrew David · CIK 0001867539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-06-03

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 4, 2026 or the date immediately prior to the date of the next annual meeting of stockholders, subject to the reporting person's continued service through such date.

F2 · ownership.direct: Under the reporting person's arrangement with RA Capital Management, L.P. (the "Adviser"), the reporting person holds the stock option for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund"), RA Capital Nexus Fund, L.P. (the "Nexus Fund"), RA Capital Nexus Fund II, L.P. (the "Nexus Fund II"), RA Capital Nexus Fund III, L.P. (the "Nexus Fund III"), and a separately managed account (the "Account"). The reporting person is obligated to turn over to the Adviser any net cash or stock received upon exercise of the stock option, which will offset advisory fees owed by the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, and the Account to the Adviser. The reporting person therefore disclaims beneficial ownership of the stock option and underlying common stock.

Read SEC document
March 31, 2025 Filed Apr 1, 2025 16:23 UTC GrantStock Option (Right to Buy) · Derivative 78,873 $0.00 Strike: $1.22 $0.00
Disclosure

SEC source: 0000950170-25-048558 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,873

Underlying: Common Stock · 78,873 shares

Expires 2035-03-30

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from November 8, 2024 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

Read SEC document
March 28, 2025 Filed Apr 1, 2025 16:19 UTC GrantStock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0000950170-25-048549 · ownership.xml · derivative · entry 1

Cumbo Alexander · CIK 0001685994 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2035-03-27

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from March 28, 2025 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

Read SEC document
March 28, 2025 Filed Apr 1, 2025 20:21 UTC GrantStock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $1.28 $0.00
Disclosure

SEC source: 0000950170-25-048555 · ownership.xml · derivative · entry 1

Drapkin Kimberlee C · CIK 0001340881 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2035-03-27

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from March 28, 2025 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

Read SEC document
March 27, 2025 Filed Mar 27, 2025 20:15 UTC Exercise / conversionRestricted Stock Units · Derivative 25,093 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-046083 · ownership.xml · derivative · entry 2

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,094

Underlying: Common Stock · 25,093 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: The RSUs were granted on June 27, 2024 and vested as to 50% of the shares on January 1, 2025, vested as to 25% of the shares on March 27, 2025 and will vest as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs were granted on June 27, 2024 and vested as to 50% of the shares on January 1, 2025, vested as to 25% of the shares on March 27, 2025 and will vest as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

Read SEC document
March 27, 2025 Filed Mar 27, 2025 20:15 UTC Exercise / conversionCommon Stock 25,093 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-046083 · ownership.xml · nonDerivative · entry 1

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,188

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 restricted stock unit ("RSU") converted into one share of the Issuer's Common Stock.

Read SEC document
March 20, 2025 Filed Mar 20, 2025 21:21 UTC
Pimblett EmilySVP, Finance & CAO
SaleCommon Stock 1,199 $1.31 $1,570.69
Disclosure

SEC source: 0000950170-25-042777 · ownership.xml · nonDerivative · entry 2

Pimblett Emily · CIK 0001969365 · SVP, Finance & CAO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,130

F2 · kind: The sale reported on this Form 4 was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on April 27, 2024 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices within the range of $1.31 to $1.325, 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 Form 4.

Read SEC document
March 18, 2025 Filed Mar 20, 2025 21:21 UTC
Pimblett EmilySVP, Finance & CAO
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-042777 · ownership.xml · derivative · entry 3

Pimblett Emily · CIK 0001969365 · SVP, Finance & CAO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,000

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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

F5 · derivative.expiration_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

Read SEC document
March 18, 2025 Filed Mar 20, 2025 21:21 UTC
Pimblett EmilySVP, Finance & CAO
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-042777 · ownership.xml · nonDerivative · entry 1

Pimblett Emily · CIK 0001969365 · SVP, Finance & CAO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,329

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 restricted stock unit ("RSU") converted into one share of the Issuer's Common Stock.

Read SEC document
January 13, 2025 Filed Jan 15, 2025 21:15 UTC
Brennan AoifeDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 1,150,000 $0.00 Strike: $1.92 $0.00
Disclosure

SEC source: 0000950170-25-005840 · ownership.xml · derivative · entry 1

Brennan Aoife · CIK 0001714563 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,150,000

Underlying: Common Stock · 1,150,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: This option was granted on January 13, 2025 (the "Grant Date"). The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the Grant Date and the remainder are scheduled to vest in 36 equal monthly installments through January 13, 2029, subject to the Reporting Person's continued service.

Read SEC document
January 13, 2025 Filed Jan 15, 2025 21:15 UTC
Kaplan BrettChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $1.92 $0.00
Disclosure

SEC source: 0000950170-25-005836 · ownership.xml · derivative · entry 1

Kaplan Brett · CIK 0001778763 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: This option was granted on January 13, 2025 (the "Grant Date"). The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the Grant Date and the remainder are scheduled to vest in 36 equal monthly installments through January 13, 2029, subject to the Reporting Person's continued service.

Read SEC document
January 13, 2025 Filed Jan 15, 2025 21:15 UTC
Pimblett EmilySVP, Finance and CAO
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $1.92 $0.00
Disclosure

SEC source: 0000950170-25-005839 · ownership.xml · derivative · entry 1

Pimblett Emily · CIK 0001969365 · SVP, Finance and CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: This option was granted on January 13, 2025 (the "Grant Date"). The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the Grant Date and the remainder are scheduled to vest in 36 equal monthly installments through January 13, 2029, subject to the Reporting Person's continued service.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 21:15 UTC Exercise / conversionRestricted Stock Units · Derivative 50,188 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-001176 · ownership.xml · derivative · entry 2

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,187

Underlying: Common Stock · 50,188 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: The RSUs were granted on June 27, 2024 and will vest as to 50% of the shares on January 1, 2025, as to 25% of the shares on March 27, 2025 and as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs were granted on June 27, 2024 and will vest as to 50% of the shares on January 1, 2025, as to 25% of the shares on March 27, 2025 and as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

Read SEC document
January 01, 2025 Filed Jan 3, 2025 21:15 UTC Exercise / conversionCommon Stock 50,188 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-25-001176 · ownership.xml · nonDerivative · entry 1

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,095

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 restricted stock unit ("RSU") converted into one share of the Issuer's Common Stock.

Read SEC document
December 19, 2024 Filed Dec 20, 2024 21:15 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
SaleCommon Stock 1,235 $2.02 $2,494.70
Disclosure

SEC source: 0000950170-24-139052 · ownership.xml · nonDerivative · entry 2

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,329

F2 · kind: The sale reported on this Form 4 was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on April 27, 2024 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs.

Read SEC document
December 18, 2024 Filed Dec 20, 2024 21:15 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-139052 · ownership.xml · derivative · entry 3

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,000

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.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

F4 · derivative.expiration_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

Read SEC document
December 18, 2024 Filed Dec 20, 2024 21:15 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-139052 · ownership.xml · nonDerivative · entry 1

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,564

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 restricted stock unit ("RSU") converted into one share of the Issuer's Common Stock.

Read SEC document
November 11, 2024 Filed Nov 12, 2024 17:47 UTC GrantStock Option (Right to Buy) · Derivative 6,291 $0.00 Strike: $4.06 $0.00
Disclosure

SEC source: 0000950170-24-125717 · ownership.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,291

Underlying: Common Stock · 6,291 shares

Expires 2034-11-10

F2 · derivative.exercise_date: The shares underlying the option vest on the earlier of June 26, 2025 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continued service.

Read SEC document
November 11, 2024 Filed Nov 12, 2024 17:47 UTC GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $4.06 $0.00
Disclosure

SEC source: 0000950170-24-125717 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-11-10

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from November 8, 2024 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

Read SEC document
September 20, 2024 Filed Sep 21, 2024 01:53 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
SaleCommon Stock 9 $8.06 $72.54
Disclosure

SEC source: 0000950170-24-108582 · ownership.xml · nonDerivative · entry 3

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,564

F2 · kind: The sale reported on this Form 4 was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on April 27, 2024 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs.

Read SEC document
September 20, 2024 Filed Sep 21, 2024 01:53 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
SaleCommon Stock 1,182 $8.18 $9,668.76
Disclosure

SEC source: 0000950170-24-108582 · ownership.xml · nonDerivative · entry 2

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,573

F2 · kind: The sale reported on this Form 4 was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on April 27, 2024 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs.

Read SEC document
September 18, 2024 Filed Sep 21, 2024 01:53 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-108582 · ownership.xml · derivative · entry 4

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,000

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.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

F4 · derivative.expiration_date: The shares subject to this RSU shall vest at a rate of 1/8th of the total number of shares on the three-month anniversary of March 18, 2024 (the "March 2024 Vesting Commencement Date") and 1/8th of the total number of shares each three-month anniversary of the March 2024 Vesting Commencement Date thereafter for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the two-year anniversary of the March 2024 Vesting Commencement Date.

Read SEC document
September 18, 2024 Filed Sep 21, 2024 01:53 UTC
Pimblett EmilyCHIEF ACCOUNTING OFFICER
Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-108582 · ownership.xml · nonDerivative · entry 1

Pimblett Emily · CIK 0001969365 · CHIEF ACCOUNTING OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,755

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 restricted stock unit ("RSU") converted into one share of the Issuer's Common Stock.

Read SEC document
August 26, 2024 Filed Aug 26, 2024 21:47 UTC
Kaplan BrettChief Operating Officer
GrantRestricted Stock Units · Derivative 77,500 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-100633 · ownership.xml · derivative · entry 2

Kaplan Brett · CIK 0001778763 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,500

Underlying: Common Stock · 77,500 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 upon vesting.

F3 · derivative.exercise_date: The RSUs were granted on the Grant Date and are scheduled to vest over four years, with 25% of the shares vesting on each of the first four anniversaries of the Grant Date, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs were granted on the Grant Date and are scheduled to vest over four years, with 25% of the shares vesting on each of the first four anniversaries of the Grant Date, subject to the Reporting Person's continued service.

Read SEC document
August 26, 2024 Filed Aug 26, 2024 21:47 UTC
Kaplan BrettChief Operating Officer
GrantStock Option (Right to Buy) · Derivative 465,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0000950170-24-100633 · ownership.xml · derivative · entry 1

Kaplan Brett · CIK 0001778763 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 465,000

Underlying: Common Stock · 465,000 shares

Expires 2034-08-25

F1 · derivative.exercise_date: This option was granted on August 26, 2024 (the "Grant Date"). The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the Grant Date and the remainder are scheduled to vest in 36 equal monthly installments through August 26, 2028, subject to the Reporting Person's continued service.

Read SEC document
July 22, 2024 Filed Jul 23, 2024 21:04 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 30,000 $7.98 $239,400.00
Disclosure

SEC source: 0001415889-24-019946 · form4-07232024_090751.xml · nonDerivative · entry 4

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,317

Read SEC document
July 22, 2024 Filed Jul 23, 2024 21:04 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 39,005 $8.07 $314,770.35
Disclosure

SEC source: 0001415889-24-019946 · form4-07232024_090751.xml · nonDerivative · entry 3

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,317

Read SEC document
July 19, 2024 Filed Jul 23, 2024 21:04 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $7.24 $362,000.00
Disclosure

SEC source: 0001415889-24-019946 · form4-07232024_090751.xml · nonDerivative · entry 2

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,322

Read SEC document
July 19, 2024 Filed Jul 23, 2024 21:04 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 10,201 $7.09 $72,325.09
Disclosure

SEC source: 0001415889-24-019946 · form4-07232024_090751.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,322

Read SEC document
July 18, 2024 Filed Jul 19, 2024 15:12 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 38,576 $6.93 $267,331.68
Disclosure

SEC source: 0001415889-24-019814 · form4-07192024_030734.xml · nonDerivative · entry 2

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,523

Read SEC document
July 17, 2024 Filed Jul 19, 2024 15:12 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 3,207 $6.91 $22,160.37
Disclosure

SEC source: 0001415889-24-019814 · form4-07192024_030734.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 199,099

Read SEC document
July 16, 2024 Filed Jul 17, 2024 22:11 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $7.13 $356,500.00
Disclosure

SEC source: 0001415889-24-019706 · form4-07172024_100719.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 202,306

Read SEC document
July 15, 2024 Filed Jul 16, 2024 22:14 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 42,377 $7.01 $297,062.77
Disclosure

SEC source: 0001415889-24-019610 · form4-07162024_100734.xml · nonDerivative · entry 2

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,306

Read SEC document
July 12, 2024 Filed Jul 16, 2024 22:14 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $7.07 $353,500.00
Disclosure

SEC source: 0001415889-24-019610 · form4-07162024_100734.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 294,683

Read SEC document
July 11, 2024 Filed Jul 12, 2024 00:45 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $7.11 $355,500.00
Disclosure

SEC source: 0001415889-24-019504 · form4-07122024_120744.xml · nonDerivative · entry 3

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 344,683

Read SEC document
July 10, 2024 Filed Jul 12, 2024 00:45 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $6.83 $341,500.00
Disclosure

SEC source: 0001415889-24-019504 · form4-07122024_120744.xml · nonDerivative · entry 2

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 394,683

Read SEC document
July 09, 2024 Filed Jul 12, 2024 00:45 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 5,931 $6.66 $39,500.46
Disclosure

SEC source: 0001415889-24-019504 · form4-07122024_120744.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 444,683

Read SEC document
July 05, 2024 Filed Jul 9, 2024 20:46 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 12,342 $7.06 $87,134.52
Disclosure

SEC source: 0001415889-24-019433 · form4-07092024_080757.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,614

Read SEC document
July 03, 2024 Filed Jul 3, 2024 18:42 UTC
Morisset ValerieEVP, R&D AND CSO
SaleCommon Stock 50,000 $6.76 $338,000.00
Disclosure

SEC source: 0001415889-24-019147 · form4-07032024_060700.xml · nonDerivative · entry 2

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 462,956

Read SEC document
July 01, 2024 Filed Jul 3, 2024 18:42 UTC
Morisset ValerieEVP, R&D AND CSO
Exercise / conversionStock Option (Right to Buy) · Derivative 7,649 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019147 · form4-07032024_060700.xml · derivative · entry 3

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,198

Underlying: Common Stock · 7,649 shares

Expires 2031-02-25

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_date: The shares subject to this option shall vest at a rate of 12/48ths of the total number of shares on the one-year anniversary of February 26, 2021 (the "February 2021 Vesting Commencement Date") and 1/48thof the total number of shares each monthly anniversary of the February 2021 Vesting Commencement Date thereafter (or if there is no corresponding day, on the last day of the month) for so long as the Reporting Person remains an officer, director, employee, consultant and/or advisor of the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the February 2021Vesting Commencement Date.

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July 01, 2024 Filed Jul 3, 2024 18:42 UTC
Morisset ValerieEVP, R&D AND CSO
Exercise / conversionCommon Stock 7,649 $0.00 $1.53
Disclosure

SEC source: 0001415889-24-019147 · form4-07032024_060700.xml · nonDerivative · entry 1

Morisset Valerie · CIK 0001868517 · EVP, R&D AND CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 512,956

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.

Read SEC document
June 27, 2024 Filed Jun 27, 2024 23:03 UTC GrantRestricted Stock Units · Derivative 100,375 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-078685 · ownership.xml · derivative · entry 2

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,375

Underlying: Common Stock · 100,375 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 upon vesting.

F3 · derivative.exercise_date: The RSUs were granted on June 27, 2024 and will vest as to 50% of the shares on January 1, 2025, as to 25% of the shares on March 27, 2025 and as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs were granted on June 27, 2024 and will vest as to 50% of the shares on January 1, 2025, as to 25% of the shares on March 27, 2025 and as to the remaining 25% of the shares on June 27, 2025, subject to the Reporting Person's continued service.

Read SEC document
June 27, 2024 Filed Jun 27, 2024 23:03 UTC GrantCommon Stock 103,907 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-078685 · ownership.xml · nonDerivative · entry 1

Thomas Stephen Basil · CIK 0002027962 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,907

F1 · price: The Reporting Person acquired 103,907 shares of the issuer's common stock in exchange for 838,000 shares of common stock of Tenet Medicines, Inc. ("Tenet") in connection with the issuer's acquisition of all of the outstanding common stock of Tenet on June 27, 2024 (the "Acquisition"). On the effective date of the Acquisition, the closing price of the issuer's common stock was $7.53 per share.

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June 27, 2024 Filed Jun 27, 2024 23:05 UTC
Brennan AoifeDirector · President and CEO
GrantRestricted Stock Units · Derivative 275,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-078688 · ownership.xml · derivative · entry 2

Brennan Aoife · CIK 0001714563 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 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 upon vesting.

F3 · derivative.exercise_date: The RSUs were granted on the Grant Date and are scheduled to vest over four years, with 25% of the shares vesting on each of the first four anniversaries of the Grant Date, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs were granted on the Grant Date and are scheduled to vest over four years, with 25% of the shares vesting on each of the first four anniversaries of the Grant Date, subject to the Reporting Person's continued service.

Read SEC document
June 27, 2024 Filed Jun 27, 2024 23:05 UTC
Brennan AoifeDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 550,000 $0.00 Strike: $7.53 $0.00
Disclosure

SEC source: 0000950170-24-078688 · ownership.xml · derivative · entry 1

Brennan Aoife · CIK 0001714563 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2034-06-26

F1 · derivative.exercise_date: This option was granted on June 27, 2024 (the "Grant Date"). The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the Grant Date and the remainder are scheduled to vest in 36 equal monthly installments through June 27, 2028, subject to the Reporting Person's continued service.

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June 27, 2024 Filed Jul 2, 2024 01:29 UTC
RA CAPITAL MANAGEMENT, L.P.Director · 10% owner
RA Capital Healthcare Fund LPDirector · 10% owner
Kolchinsky PeterDirector · 10% owner
Shah Rajeev M.Director · 10% owner
PurchaseCommon Stock 1,059,375 $3.84 $4,068,000.00
Disclosure

SEC source: 0001415889-24-018708 · form4-07022024_010700.xml · nonDerivative · entry 5

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

RA Capital Nexus Fund, L.P. · CIK 0001780117 · Director

RA Capital Nexus Fund II, L.P. · CIK 0001825376 · Director

RA Capital Nexus Fund III, L.P. · CIK 0001883840 · Director

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 2,866,375

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, RA Capital Nexus Fund, L.P. (the "Nexus Fund"), RA Capital Nexus II Fund, L.P. (the "Nexus Fund II"), RA Capital Nexus III Fund, L.P. (the "Nexus Fund III") and a separately managed account (the "Account"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Fund and the Nexus Fund III collectively own approximately 81% of the outstanding equity interests of Sera Medicines, LLC ("Sera"). Accordingly, each of the Fund, the Nexus Fund III and the Adviser may be deemed to beneficially own the securities held by Sera. The Adviser, the Adviser GP, the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, Dr. Kolchinsky and Mr. Shah disclaim beneficial ownership of the reported securities, except to the extent of their respective pecuniary interest therein.

F5 · ownership.nature: These securities are held directly by Nexus Fund III.

Read SEC document
June 27, 2024 Filed Jul 2, 2024 01:29 UTC
RA CAPITAL MANAGEMENT, L.P.Director · 10% owner
RA Capital Healthcare Fund LPDirector · 10% owner
Kolchinsky PeterDirector · 10% owner
Shah Rajeev M.Director · 10% owner
PurchaseCommon Stock 11,949,171 $3.84 $45,884,816.64
Disclosure

SEC source: 0001415889-24-018708 · form4-07022024_010700.xml · nonDerivative · entry 4

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

RA Capital Nexus Fund, L.P. · CIK 0001780117 · Director

RA Capital Nexus Fund II, L.P. · CIK 0001825376 · Director

RA Capital Nexus Fund III, L.P. · CIK 0001883840 · Director

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 23,521,757

F2 · ownership.nature: These securities are held directly by RA Capital Healthcare Fund, L.P. (the "Fund").

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, RA Capital Nexus Fund, L.P. (the "Nexus Fund"), RA Capital Nexus II Fund, L.P. (the "Nexus Fund II"), RA Capital Nexus III Fund, L.P. (the "Nexus Fund III") and a separately managed account (the "Account"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Fund and the Nexus Fund III collectively own approximately 81% of the outstanding equity interests of Sera Medicines, LLC ("Sera"). Accordingly, each of the Fund, the Nexus Fund III and the Adviser may be deemed to beneficially own the securities held by Sera. The Adviser, the Adviser GP, the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, Dr. Kolchinsky and Mr. Shah disclaim beneficial ownership of the reported securities, except to the extent of their respective pecuniary interest therein.

Read SEC document
June 27, 2024 Filed Jul 2, 2024 01:29 UTC
RA CAPITAL MANAGEMENT, L.P.Director · 10% owner
RA Capital Healthcare Fund LPDirector · 10% owner
Kolchinsky PeterDirector · 10% owner
Shah Rajeev M.Director · 10% owner
GrantCommon Stock 1,807,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-018708 · form4-07022024_010700.xml · nonDerivative · entry 3

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

RA Capital Nexus Fund, L.P. · CIK 0001780117 · Director

RA Capital Nexus Fund II, L.P. · CIK 0001825376 · Director

RA Capital Nexus Fund III, L.P. · CIK 0001883840 · Director

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 1,807,000

F1 · price: Received in exchange for equity of Tenet Medicines, Inc. ("Tenet") pursuant to an Agreement and Plan of Merger and Reorganization, dated April 10, 2024, by and among the Issuer, Tango Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Tango Merger Sub") and Tenet (the "Acquisition Agreement"). Under the terms of the Acquisition Agreement, on June 27, 2024, Tenet was acquired by the Issuer through the merged of Tango Merger Sub with and into Tenet (the "Acquisition"), with Tenet surviving the Acquisition as a wholly-owned subsidiary of the Issuer.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund, RA Capital Nexus Fund, L.P. (the "Nexus Fund"), RA Capital Nexus II Fund, L.P. (the "Nexus Fund II"), RA Capital Nexus III Fund, L.P. (the "Nexus Fund III") and a separately managed account (the "Account"). The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Fund and the Nexus Fund III collectively own approximately 81% of the outstanding equity interests of Sera Medicines, LLC ("Sera"). Accordingly, each of the Fund, the Nexus Fund III and the Adviser may be deemed to beneficially own the securities held by Sera. The Adviser, the Adviser GP, the Fund, the Nexus Fund, the Nexus Fund II, the Nexus Fund III, Dr. Kolchinsky and Mr. Shah disclaim beneficial ownership of the reported securities, except to the extent of their respective pecuniary interest therein.

F5 · ownership.nature: These securities are held directly by Nexus Fund III.

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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.