Last 12 months
Inside the activity.
0 purchase rows · 7 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 3 |
| Jan 2026 | 0 | 1 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 1 |
| 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 |
|---|---|---|---|---|---|---|
| July 29, 2026 Filed Jul 31, 2026 20:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 464 | $2.70 | $1,252.80 |
DisclosureSEC source: 0001760395-26-000008 · form4-07312026_040701.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,531 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1380 to EURO 1.00 as of July 29, 2026. Read SEC document |
| January 29, 2026 Filed Feb 2, 2026 21:30 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 534 | $4.86 | $2,595.24 |
DisclosureSEC source: 0001760395-26-000002 · form4-02022026_040211.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,995 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · shares: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1974 to EURO 1.00 as of January 29, 2026. Read SEC document |
| January 12, 2026 Filed Jan 14, 2026 21:33 UTC |
BAKER BROS. ADVISORS LPDirector
Baker Bros. Advisors (GP) LLCDirector
667, L.P.Director
Baker Brothers Life Sciences LPDirector
BAKER FELIXDirector
BAKER JULIANDirector
|
Exercise / conversionSecond Pre-Funded Warrant · Derivative | 25,005,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-012991 · ownership.xml · derivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director 667, L.P. · CIK 0001551139 · Director Baker Brothers Life Sciences LP · CIK 0001363364 · Director BAKER FELIX · CIK 0001087940 · Director BAKER JULIAN · CIK 0001087939 · Director 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: 25,005,240 Underlying: Ordinary Shares · 43,759,170 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: On January 12, 2026, 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds") exercised, respectively, 2,299,656 and 25,005,240 warrants (each, a "BS Warrant") of DBV Technologies S.A. (the "Issuer"), at a strike price of EUR 1.5764, on a one-for-one basis into pre-funded warrants (each, a "Second Pre-Funded Warrant"), each of which are exercisable for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR 0.0175. F7 · derivative.exercise_price: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.exercise_price: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.exercise_price: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F7 · derivative.exercise_date: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.exercise_date: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.exercise_date: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F7 · derivative.expiration_date: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F4 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F6 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Read SEC document |
| January 12, 2026 Filed Jan 14, 2026 21:33 UTC |
BAKER BROS. ADVISORS LPDirector
Baker Bros. Advisors (GP) LLCDirector
667, L.P.Director
Baker Brothers Life Sciences LPDirector
BAKER FELIXDirector
BAKER JULIANDirector
|
Exercise / conversionSecond Pre-Funded Warrant · Derivative | 2,299,656 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-012991 · ownership.xml · derivative · entry 3 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director 667, L.P. · CIK 0001551139 · Director Baker Brothers Life Sciences LP · CIK 0001363364 · Director BAKER FELIX · CIK 0001087940 · Director BAKER JULIAN · CIK 0001087939 · Director 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: 2,299,656 Underlying: Ordinary Shares · 4,024,398 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: On January 12, 2026, 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds") exercised, respectively, 2,299,656 and 25,005,240 warrants (each, a "BS Warrant") of DBV Technologies S.A. (the "Issuer"), at a strike price of EUR 1.5764, on a one-for-one basis into pre-funded warrants (each, a "Second Pre-Funded Warrant"), each of which are exercisable for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR 0.0175. F7 · derivative.exercise_price: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.exercise_price: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.exercise_price: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F7 · derivative.exercise_date: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.exercise_date: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.exercise_date: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F7 · derivative.expiration_date: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F3 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F4 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 12, 2026 Filed Jan 14, 2026 21:33 UTC |
BAKER BROS. ADVISORS LPDirector
Baker Bros. Advisors (GP) LLCDirector
667, L.P.Director
Baker Brothers Life Sciences LPDirector
BAKER FELIXDirector
BAKER JULIANDirector
|
Exercise / conversionBS Warrant · Derivative | 25,005,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-012991 · ownership.xml · derivative · entry 2 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director 667, L.P. · CIK 0001551139 · Director Baker Brothers Life Sciences LP · CIK 0001363364 · Director BAKER FELIX · CIK 0001087940 · Director BAKER JULIAN · CIK 0001087939 · Director 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: 0 Underlying: Second Pre-Funded Warrant · 25,005,240 shares Expires 2026-01-15 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: On January 12, 2026, 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds") exercised, respectively, 2,299,656 and 25,005,240 warrants (each, a "BS Warrant") of DBV Technologies S.A. (the "Issuer"), at a strike price of EUR 1.5764, on a one-for-one basis into pre-funded warrants (each, a "Second Pre-Funded Warrant"), each of which are exercisable for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR 0.0175. F2 · derivative.exercise_date: The BS Warrants were exercisable until January 15, 2026, which is 30 days following the publication by the Issuer that the VITESSE Phase 3 study met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F2 · derivative.expiration_date: The BS Warrants were exercisable until January 15, 2026, which is 30 days following the publication by the Issuer that the VITESSE Phase 3 study met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F7 · derivative.underlying: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.underlying: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.underlying: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F4 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F6 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Read SEC document |
| January 12, 2026 Filed Jan 14, 2026 21:33 UTC |
BAKER BROS. ADVISORS LPDirector
Baker Bros. Advisors (GP) LLCDirector
667, L.P.Director
Baker Brothers Life Sciences LPDirector
BAKER FELIXDirector
BAKER JULIANDirector
|
Exercise / conversionBS Warrant · Derivative | 2,299,656 | $0.00 | $0.00 |
DisclosureSEC source: 0001193125-26-012991 · ownership.xml · derivative · entry 1 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director 667, L.P. · CIK 0001551139 · Director Baker Brothers Life Sciences LP · CIK 0001363364 · Director BAKER FELIX · CIK 0001087940 · Director BAKER JULIAN · CIK 0001087939 · Director 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: 0 Underlying: Second Pre-Funded Warrant · 2,299,656 shares Expires 2026-01-15 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: On January 12, 2026, 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds") exercised, respectively, 2,299,656 and 25,005,240 warrants (each, a "BS Warrant") of DBV Technologies S.A. (the "Issuer"), at a strike price of EUR 1.5764, on a one-for-one basis into pre-funded warrants (each, a "Second Pre-Funded Warrant"), each of which are exercisable for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR 0.0175. F2 · derivative.exercise_date: The BS Warrants were exercisable until January 15, 2026, which is 30 days following the publication by the Issuer that the VITESSE Phase 3 study met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F2 · derivative.expiration_date: The BS Warrants were exercisable until January 15, 2026, which is 30 days following the publication by the Issuer that the VITESSE Phase 3 study met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F7 · derivative.underlying: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR 0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 8) F8 · derivative.underlying: (continued from Note 7) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 9) F9 · derivative.underlying: (continued from Note 9) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Pre-funded Warrant Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F3 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F4 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| December 18, 2025 Filed Dec 19, 2025 21:04 UTC |
EPIC BpifranceMember of 10% owner group
Bpifrance Participations SAMember of 10% owner group
Bpifrance SAMember of 10% owner group
Bpifrance Investissement S.A.S.Member of 10% owner group
CAISSE DES DEPOTS ET CONSIGNATIONSMember of 10% owner group
|
SaleOrdinary Shares | 1,292,103 | $4.19 | $5,413,911.57 |
DisclosureSEC source: 0001104659-25-123104 · tm2533970-1_4seq1.xml · nonDerivative · entry 3 EPIC Bpifrance · CIK 0001731121 · Member of 10% owner group Bpifrance Participations SA · CIK 0001581835 · Member of 10% owner group Bpifrance SA · CIK 0001731118 · Member of 10% owner group Bpifrance Investissement S.A.S. · CIK 0002065260 · Member of 10% owner group CAISSE DES DEPOTS ET CONSIGNATIONS · CIK 0001056947 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Bpifrance Participations S.A. Disclosed balance after: 7,303,369 F4 · price: The price reported in Column 4 is a weighted average price in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1727 to EURO 1.00 as of December 18, 2025 . The shares were sold in multiple transactions at prices ranging from $3.79 to $4.32 per share, inclusive. F2 · ownership.nature: Bpifrance Participations S.A. ("Bpifrance Participations") directly owns the reported shares. Bpifrance Participations is a subsidiary owned at 99.99% by Bpifrance S.A. ("Bpifrance"). Bpifrance is jointly owned by Caisse des Depots et Consignations ("CDC") at 49.2% and EPIC Bpifrance ("EPIC") at 49.2%. CDC and EPIC jointly control Bpifrance. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 21:04 UTC |
EPIC BpifranceMember of 10% owner group
Bpifrance Participations SAMember of 10% owner group
Bpifrance SAMember of 10% owner group
Bpifrance Investissement S.A.S.Member of 10% owner group
CAISSE DES DEPOTS ET CONSIGNATIONSMember of 10% owner group
|
SaleOrdinary Shares | 40,000 | $5.28 | $211,200.00 |
DisclosureSEC source: 0001104659-25-123104 · tm2533970-1_4seq1.xml · nonDerivative · entry 2 EPIC Bpifrance · CIK 0001731121 · Member of 10% owner group Bpifrance Participations SA · CIK 0001581835 · Member of 10% owner group Bpifrance SA · CIK 0001731118 · Member of 10% owner group Bpifrance Investissement S.A.S. · CIK 0002065260 · Member of 10% owner group CAISSE DES DEPOTS ET CONSIGNATIONS · CIK 0001056947 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Bpifrance Participations S.A. Disclosed balance after: 8,595,472 F3 · price: The price reported in Column 4 reflects the conversion of EURO to USD at an exchange rate of $1.1741 to EURO 1.00 as of December 17, 2025. F2 · ownership.nature: Bpifrance Participations S.A. ("Bpifrance Participations") directly owns the reported shares. Bpifrance Participations is a subsidiary owned at 99.99% by Bpifrance S.A. ("Bpifrance"). Bpifrance is jointly owned by Caisse des Depots et Consignations ("CDC") at 49.2% and EPIC Bpifrance ("EPIC") at 49.2%. CDC and EPIC jointly control Bpifrance. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 21:04 UTC |
EPIC BpifranceMember of 10% owner group
Bpifrance Participations SAMember of 10% owner group
Bpifrance SAMember of 10% owner group
Bpifrance Investissement S.A.S.Member of 10% owner group
CAISSE DES DEPOTS ET CONSIGNATIONSMember of 10% owner group
|
SaleOrdinary Shares | 2,036,990 | $4.84 | $9,859,031.60 |
DisclosureSEC source: 0001104659-25-123104 · tm2533970-1_4seq1.xml · nonDerivative · entry 1 EPIC Bpifrance · CIK 0001731121 · Member of 10% owner group Bpifrance Participations SA · CIK 0001581835 · Member of 10% owner group Bpifrance SA · CIK 0001731118 · Member of 10% owner group Bpifrance Investissement S.A.S. · CIK 0002065260 · Member of 10% owner group CAISSE DES DEPOTS ET CONSIGNATIONS · CIK 0001056947 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Bpifrance Participations S.A. Disclosed balance after: 8,635,472 F1 · price: The price reported in Column 4 is a weighted average price in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1741 to EURO 1.00 as of December 17, 2025. The shares were sold in multiple transactions at prices ranging from $4.24 to $5.23 per share, inclusive. The reporting person unterakes to provide DBV Technologies S.A., any security holder of DBV Technologies S.A., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes 1 and 4 of this Form 4. F2 · ownership.nature: Bpifrance Participations S.A. ("Bpifrance Participations") directly owns the reported shares. Bpifrance Participations is a subsidiary owned at 99.99% by Bpifrance S.A. ("Bpifrance"). Bpifrance is jointly owned by Caisse des Depots et Consignations ("CDC") at 49.2% and EPIC Bpifrance ("EPIC") at 49.2%. CDC and EPIC jointly control Bpifrance. Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 19:05 UTC |
Trapp Kevin MichaelChief Commercial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 316,250 | $0.00 Strike: $2.90 | $0.00 |
DisclosureSEC source: 0002096014-25-000004 · form4-11242025_071103.xml · derivative · entry 2 Trapp Kevin Michael · CIK 0002096014 · Chief Commercial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 316,250 Underlying: Ordinary Shares · 316,250 shares Expires 2035-11-21 F3 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15154 to EURO 1.00 as of November 21, 2025. F4 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 19:05 UTC |
Trapp Kevin MichaelChief Commercial Officer
|
GrantOrdinary Shares | 55,000 | $0.00 | $0.00 |
DisclosureSEC source: 0002096014-25-000004 · form4-11242025_071103.xml · nonDerivative · entry 1 Trapp Kevin Michael · CIK 0002096014 · Chief Commercial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,000 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 19:05 UTC |
Boucinha VirginieChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 192,000 | $0.00 Strike: $2.90 | $0.00 |
DisclosureSEC source: 0001999496-25-000003 · form4-11242025_071105.xml · derivative · entry 2 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 192,000 Underlying: Ordinary Shares · 192,000 shares Expires 2035-11-21 F3 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15154 to EURO 1.00 as of November 21, 2025. F4 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 24, 2025 19:05 UTC |
Boucinha VirginieChief Financial Officer
|
GrantOrdinary Shares | 32,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001999496-25-000003 · form4-11242025_071105.xml · nonDerivative · entry 1 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,000 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 00:05 UTC |
Tasse DanielDirector · CHIEF EXECUTIVE OFFICER
|
GrantEmployee Stock Option (right to buy) · Derivative | 964,000 | $0.00 Strike: $2.90 | $0.00 |
DisclosureSEC source: 0001502785-25-000004 · form4-11242025_071101.xml · derivative · entry 1 Tasse Daniel · CIK 0001502785 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 964,000 Underlying: Ordinary Shares · 964,000 shares Expires 2035-11-21 F1 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15154 to EURO 1.00 as of November 21, 2025. F2 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:15 UTC |
Mohideen PharisChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 253,000 | $0.00 Strike: $2.90 | $0.00 |
DisclosureSEC source: 0001760395-25-000003 · form4-11252025_041101.xml · derivative · entry 4 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 253,000 Underlying: Ordinary Shares · 253,000 shares Expires 2035-11-21 F4 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15154 to EURO 1.00 as of November 21, 2025. F6 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:15 UTC |
Mohideen PharisChief Medical Officer
|
GrantOrdinary Shares | 44,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001760395-25-000003 · form4-11252025_041101.xml · nonDerivative · entry 3 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,529 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F5 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 21, 2026, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2025 Filed Nov 25, 2025 21:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 1,624 | $2.77 | $4,498.48 |
DisclosureSEC source: 0001760395-25-000003 · form4-11252025_041101.xml · nonDerivative · entry 2 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,529 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F4 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15154 to EURO 1.00 as of November 21, 2025. Read SEC document |
| November 20, 2025 Filed Nov 25, 2025 21:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 6,496 | $2.88 | $18,708.48 |
DisclosureSEC source: 0001760395-25-000003 · form4-11252025_041101.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 103,153 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.15268 to EURO 1.00 as of November 20, 2025. Read SEC document |
| July 29, 2025 Filed Jul 31, 2025 20:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 464 | $2.22 | $1,030.08 |
DisclosureSEC source: 0001415889-25-020722 · form4-07312025_040708.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 109,649 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents five ordinary shares. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This sales price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1549 to EURO 1.00 as of July 29, 2025. Read SEC document |
| May 22, 2025 Filed May 27, 2025 20:10 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 397 | $1.84 | $730.48 |
DisclosureSEC source: 0001415889-25-014602 · form4-05272025_040501.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,113 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This sales price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.1303 to EURO 1.00 as of May 22, 2025. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 22:56 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
667, L.P.Director · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantBS Warrant · Derivative | 25,005,240 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-047967 · ownership.xml · derivative · entry 4 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 25,005,240 Underlying: Second Pre-Funded Warrant · 25,005,240 shares Expires not disclosed F1 · security: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · security: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · derivative.exercise_price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.exercise_price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F10 · derivative.exercise_date: The BS Warrants will be exercisable until the earlier of April 7, 2027, or 30 days following the publication by the Issuer that the VITESSE Phase 3 study has met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F10 · derivative.expiration_date: The BS Warrants will be exercisable until the earlier of April 7, 2027, or 30 days following the publication by the Issuer that the VITESSE Phase 3 study has met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F11 · derivative.underlying: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 12) F12 · derivative.underlying: (continued from Note 11) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 13) F13 · derivative.underlying: (continued from Note 12) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F7 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F8 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F9 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 22:56 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
667, L.P.Director · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantBS Warrant · Derivative | 2,299,656 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-047967 · ownership.xml · derivative · entry 3 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 2,299,656 Underlying: Second Pre-Funded Warrant · 2,299,656 shares Expires not disclosed F1 · security: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · security: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · derivative.exercise_price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.exercise_price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F10 · derivative.exercise_date: The BS Warrants will be exercisable until the earlier of April 7, 2027, or 30 days following the publication by the Issuer that the VITESSE Phase 3 study has met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F10 · derivative.expiration_date: The BS Warrants will be exercisable until the earlier of April 7, 2027, or 30 days following the publication by the Issuer that the VITESSE Phase 3 study has met its primary endpoint as further described in the Terms and Conditions of the BS Warrants. F11 · derivative.underlying: Each Second Pre-Funded Warrant is exercisable initially for 1.75 Ordinary Shares per Second Pre-Funded Warrant. The Second Pre-Funded Warrants bear an unpaid exercise price per Ordinary Share issuable pursuant to such Second Pre-Funded Warrants (a "Second Pre-Funded Warrant Share") of EUR0.01. The Second Pre-Funded Warrants may be exercised until April 7, 2035. (continued in Note 12) F12 · derivative.underlying: (continued from Note 11) The Second Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Exchange Act, no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "Second Pre-Funded Warrant Beneficial Ownership Limitation"). A holder, upon notice to the Issuer, may increase or decrease the Second Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the Second Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the Second Pre-Funded Warrants and (continued in Note 13) F13 · derivative.underlying: (continued from Note 12) (b) the Second Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the Second Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the Second Pre-Funded Warrants held by the holder. Any increase in the Second Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F6 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F7 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F8 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 22:56 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
667, L.P.Director · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantFirst Pre-Funded Warrant · Derivative | 25,005,240 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-047967 · ownership.xml · derivative · entry 2 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 25,005,240 Underlying: Ordinary Shares · 25,005,240 shares Expires not disclosed F1 · security: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · security: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · derivative.exercise_price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.exercise_price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F3 · derivative.exercise_date: The First Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "First Pre-Funded Warrant Beneficial Ownership Limitation"). (continued in Note 4) F4 · derivative.exercise_date: (continued from Note 3) A holder, upon notice to the Issuer, may increase or decrease the First Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the First Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the First Pre-Funded Warrants and (b) the First Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the First Pre-Funded Warrants), (continued in Note 5) F5 · derivative.exercise_date: (continued from Note 4) does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder. and (b) the First Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the First Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder. Any increase in the First Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F1 · derivative.expiration_date: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.expiration_date: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F7 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F8 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. F9 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences. Read SEC document |
| March 27, 2025 Filed Mar 31, 2025 22:56 UTC |
BAKER BROS. ADVISORS LPDirector · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
667, L.P.Director · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
|
GrantFirst Pre-Funded Warrant · Derivative | 2,299,656 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-047967 · ownership.xml · derivative · entry 1 BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner 667, L.P. · CIK 0001551139 · Director · 10% owner Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner BAKER FELIX · CIK 0001087940 · Director · 10% owner BAKER JULIAN · CIK 0001087939 · 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: 2,299,656 Underlying: Ordinary Shares · 2,299,656 shares Expires not disclosed F1 · security: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · security: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · derivative.exercise_price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.exercise_price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F1 · price: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · price: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F3 · derivative.exercise_date: The First Pre-Funded Warrants are only exercisable to the extent that immediately prior to or after giving effect to such exercise the holders thereof, their affiliates and any persons who are members of a Section 13(d) group with the holders or one of their affiliates would beneficially own in the aggregate, for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), no more than 9.99% of the Issuer's outstanding Ordinary Shares (the "First Pre-Funded Warrant Beneficial Ownership Limitation"). (continued in Note 4) F4 · derivative.exercise_date: (continued from Note 3) A holder, upon notice to the Issuer, may increase or decrease the First Pre-Funded Warrant Beneficial Ownership Limitation, provided that (a) to the extent required by law, in cases of the First Pre-Funded Warrant Beneficial Ownership Limitation being increased above 9.99%, the holder has obtained certain French regulatory approvals as described in the Terms and Conditions of the First Pre-Funded Warrants and (b) the First Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the First Pre-Funded Warrants), (continued in Note 5) F5 · derivative.exercise_date: (continued from Note 4) does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder. and (b) the First Pre-Funded Warrant Beneficial Ownership Limitation in no event exceeds 19.99% of the number of Ordinary Shares outstanding immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder, and with respect to the French FDI Regime (as defined in the Terms and Conditions of the First Pre-Funded Warrants), does not exceed 24.99% of the voting rights immediately after giving effect to the issuance of shares upon exercise of the First Pre-Funded Warrants held by the holder. Any increase in the First Beneficial Ownership Limitation will not be effective until the sixty-first (61st) day after such notice is delivered to the Issuer. F1 · derivative.expiration_date: 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences" and together with 667, the "Funds"), pursuant to a Securities Purchase Agreement with DBV Technologies S.A. (the "Issuer") signed on March 27, 2025, purchased in a private placement that is expected to close on or around April 7, 2025 (the "Offering"), respectively, 2,299,656 and 25,005,240 units, ("Pre-Funded Warrant Units") at price of EUR1.1136 (of which EUR1.1036 will have been pre-funded on the issue date) per Pre-Funded Warrant Unit, each consisting of (i) a pre-funded warrant to purchase an Ordinary Share of the Issuer with an exercise price of EUR0.01 with an expiration date of April 7, 2035 ("First Pre-Funded Warrant") (continued in Note 2) F2 · derivative.expiration_date: (continued from Note 1) and (ii) a warrant (a "BS Warrant") to subscribe for one pre-funded warrant at an exercise price of EUR0.9008 (each, a "Second Pre-Funded Warrant") that once acquired allows the holder to subscribe initially for 1.75 Ordinary Shares of the Issuer at an exercise price of EUR0.0175 per Second Pre-Funded Warrant. F6 · ownership.nature: After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the securities reported in column 9 of Table II held directly by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667. F7 · ownership.nature: Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds. F8 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose. Read SEC document |
| January 30, 2025 Filed Jan 31, 2025 21:59 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 600 | $0.85 | $510.00 |
DisclosureSEC source: 0001415889-25-002509 · form4-01312025_090106.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,510 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This sales price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0419 to EURO 1.00 as of January 30, 2025. Read SEC document |
| December 04, 2024 Filed Dec 5, 2024 21:15 UTC |
Tasse DanielDirector · CHIEF EXECUTIVE OFFICER
|
GrantEmployee Stock Option (right to buy) · Derivative | 813,200 | $0.00 Strike: $0.89 | $0.00 |
DisclosureSEC source: 0001415889-24-028393 · form4-12052024_041202.xml · derivative · entry 1 Tasse Daniel · CIK 0001502785 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 813,200 Underlying: Ordinary Shares · 813,200 shares Expires 2034-12-04 F1 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0511 to EURO 1.00 as of December 4, 2024. F2 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on December 4, 2025, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 25, 2024 Filed Nov 27, 2024 21:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 565 | $0.57 | $322.05 |
DisclosureSEC source: 0001415889-24-027850 · form4-11272024_041114.xml · nonDerivative · entry 2 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,110 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F4 · price: This sales price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.048 to EURO 1.00 as of November 25, 2024. Read SEC document |
| November 22, 2024 Filed Nov 27, 2024 21:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 342 | $0.53 | $181.26 |
DisclosureSEC source: 0001415889-24-027850 · form4-11272024_041114.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,675 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This sales price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0469 to EURO 1.00 as of November 22, 2024. Read SEC document |
| November 21, 2024 Filed Nov 25, 2024 17:12 UTC |
Boucinha VirginieChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 113,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001415889-24-027646 · form4-11252024_101137.xml · derivative · entry 2 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 113,000 Underlying: Ordinary Shares · 113,000 shares Expires 2034-11-21 F2 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0546 to EURO 1.00 as of November 21, 2024. F3 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2025, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2024 Filed Nov 25, 2024 17:12 UTC |
Boucinha VirginieChief Financial Officer
|
GrantOrdinary Shares | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-027646 · form4-11252024_101137.xml · nonDerivative · entry 1 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,000 F1 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 21, 2025, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2024 Filed Nov 25, 2024 22:13 UTC |
Mohideen PharisChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 215,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001415889-24-027648 · form4-11252024_101142.xml · derivative · entry 3 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 215,000 Underlying: Ordinary Shares · 215,000 shares Expires 2034-11-21 F4 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0546 to EURO 1.00 as of November 21, 2024. F5 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 21, 2025, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2024 Filed Nov 25, 2024 22:13 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 2,350 | $0.54 | $1,269.00 |
DisclosureSEC source: 0001415889-24-027648 · form4-11252024_101142.xml · nonDerivative · entry 2 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,017 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F3 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F4 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0546 to EURO 1.00 as of November 21, 2024. Read SEC document |
| November 21, 2024 Filed Nov 25, 2024 22:13 UTC |
Mohideen PharisChief Medical Officer
|
GrantOrdinary Shares | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-027648 · form4-11252024_101142.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 114,367 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 21, 2025, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| July 29, 2024 Filed Jul 31, 2024 21:32 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 1,785 | $0.98 | $1,749.30 |
DisclosureSEC source: 0001415889-24-020466 · form4-07312024_090711.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,367 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. F2 · kind: Shares sold to satisfy withholding tax obligations upon the vesting of restricted stock units. F3 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0823 to EURO 1.00 as of July 29, 2024. Read SEC document |
| May 24, 2024 Filed May 29, 2024 20:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 660 | $1.36 | $897.60 |
DisclosureSEC source: 0001415889-24-014759 · form4-05292024_040504.xml · nonDerivative · entry 2 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,152 F2 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0820 to EURO 1.00 as of May 24, 2024. Read SEC document |
| May 22, 2024 Filed May 29, 2024 20:15 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 382 | $1.38 | $527.16 |
DisclosureSEC source: 0001415889-24-014759 · form4-05292024_040504.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,812 F1 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0819 to EURO 1.00 as of May 22, 2024. Read SEC document |
| March 08, 2024 Filed Mar 11, 2024 20:15 UTC |
Tasse DanielDirector · CHIEF EXECUTIVE OFFICER
|
PurchaseOrdinary Shares | 17,094 | $0.83 | $14,188.02 |
DisclosureSEC source: 0001415889-24-007503 · form4-03112024_040312.xml · nonDerivative · entry 1 Tasse Daniel · CIK 0001502785 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,094 F1 · security: The Ordinary Shares may be represented by American Depositary Shares ("ADS"), each of which currently represents one-half of one Ordinary Share. F2 · price: Represent the ADS price. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8123 to $0.8612 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| February 06, 2024 Filed Feb 8, 2024 22:02 UTC |
Ndu AdoraDirector
|
PurchaseOrdinary Shares | 1,825 | $0.89 | $1,624.25 |
DisclosureSEC source: 0001415889-24-003031 · form4-02082024_100252.xml · nonDerivative · entry 1 Ndu Adora · CIK 0001865210 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,825 F1 · security: The Ordinary Shares may be represented by American Depositary Shares ("ADS"), each of which currently represents one-half of one Ordinary Share. F2 · price: Represent the ADS price. Read SEC document |
| November 22, 2023 Filed Dec 19, 2023 21:44 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 2,245 | $1.74 | $3,906.30 |
DisclosureSEC source: 0001209191-23-059182 · doc4.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82,194 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.71 to $1.79 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. F2 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0941 to EURO 1.00 as of November 22, 2023. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 07:05 UTC |
Boucinha VirginieChief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 113,000 | $0.00 Strike: $2.19 | $0.00 |
DisclosureSEC source: 0001209191-23-056410 · doc4.xml · derivative · entry 2 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 113,000 Underlying: Ordinary Shares · 113,000 shares Expires 2033-11-20 F2 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0928 to EURO 1.00 as of November 20, 2023. F3 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 20, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 07:05 UTC |
Boucinha VirginieChief Financial Officer
|
GrantOrdinary Shares | 19,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-056410 · doc4.xml · nonDerivative · entry 1 Boucinha Virginie · CIK 0001999496 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,000 F1 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 20, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 12:04 UTC |
Tasse DanielDirector · Chief Executive Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 806,672 | $0.00 Strike: $2.19 | $0.00 |
DisclosureSEC source: 0001209191-23-056409 · doc4.xml · derivative · entry 1 Tasse Daniel · CIK 0001502785 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 806,672 Underlying: Ordinary Shares · 806,672 shares Expires 2033-11-20 F1 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0928 to EURO 1.00 as of November 20, 2023. F2 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 20, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 12:03 UTC |
Mohideen PharisChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 215,000 | $0.00 Strike: $2.19 | $0.00 |
DisclosureSEC source: 0001209191-23-056408 · doc4.xml · derivative · entry 2 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 215,000 Underlying: Ordinary Shares · 215,000 shares Expires 2033-11-20 F2 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0928 to EURO 1.00 as of November 20, 2023. F3 · derivative.exercise_date: The option shall vest in four equal annual installments commencing on November 20, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 20, 2023 Filed Nov 22, 2023 12:03 UTC |
Mohideen PharisChief Medical Officer
|
GrantOrdinary Shares | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-056408 · doc4.xml · nonDerivative · entry 1 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 84,439 F1 · kind: Represents the Issuer's ordinary shares underlying a restricted stock unit ("RSU") award. Each RSU represents a contingent right to receive one ordinary share. The RSUs shall vest in four equal annual installments commencing on November 20, 2024, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 16:35 UTC |
MORRIS TIMOTHY EDirector
|
PurchaseOrdinary Shares | 12,000 | $1.52 | $18,240.00 |
DisclosureSEC source: 0001209191-23-047517 · doc4.xml · nonDerivative · entry 1 MORRIS TIMOTHY E · CIK 0001191286 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| August 01, 2023 Filed Aug 3, 2023 16:40 UTC |
SOLAND DANIEL BDirector
|
PurchaseOrdinary Shares | 15,000 | $1.62 | $24,300.00 |
DisclosureSEC source: 0001209191-23-044458 · doc4.xml · nonDerivative · entry 1 SOLAND DANIEL B · CIK 0001318485 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 F1 · security: The Ordinary Shares may be represented by American Depositary Shares ("ADS"), each of which currently represents one-half of one Ordinary Share. F2 · price: Represent the ADS price. Read SEC document |
| May 24, 2023 Filed Aug 14, 2023 20:32 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 469 | $3.54 | $1,660.26 |
DisclosureSEC source: 0001209191-23-045641 · doc4.xml · nonDerivative · entry 4 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,439 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one-half of one ordinary share. F4 · kind: Shares sold to satisfy withholding tax obligations upon the the vesting of RSUs. F6 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0746 to EURO 1.00 as of May 24, 2023. Read SEC document |
| November 24, 2022 Filed Aug 14, 2023 20:32 UTC |
Mohideen PharisChief Medical Officer
|
SaleOrdinary Shares | 1,792 | $2.88 | $5,160.96 |
DisclosureSEC source: 0001209191-23-045641 · doc4.xml · nonDerivative · entry 3 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,908 F1 · security: The ordinary shares may be represented by American Depositary Shares, each of which currently represents one-half of one ordinary share. F4 · kind: Shares sold to satisfy withholding tax obligations upon the the vesting of RSUs. F5 · price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0409 to EURO 1.00 as of November 24, 2022. Read SEC document |
| November 21, 2022 Filed Aug 14, 2023 20:32 UTC |
Tasse DanielDirector · Chief Executive Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 764,386 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-23-045642 · doc4.xml · derivative · entry 1 Tasse Daniel · CIK 0001502785 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 764,386 Underlying: Ordinary Shares · 764,386 shares Expires 2032-11-21 F1 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0242 to EURO 1.00 as of November 21, 2022. F2 · derivative.exercise_date: 25% of the shares subject to the option vest on November 21, 2023, with the remaining shares vesting in six equal semi-annual installments thereafter, subject to the Reporting Person continuing to provide service through each such date. Read SEC document |
| November 21, 2022 Filed Aug 14, 2023 20:32 UTC |
Mohideen PharisChief Medical Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 115,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-23-045641 · doc4.xml · derivative · entry 6 Mohideen Pharis · CIK 0001760395 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,000 Underlying: Ordinary Shares · 115,000 shares Expires 2032-11-21 F9 · derivative.exercise_price: This exercise price is in US Dollars and reflects the conversion of EURO to USD at an exchange rate of $1.0242 to EURO 1.00 as of November 21, 2022. F10 · derivative.exercise_date: 25% of the shares subject to the option vest on November 21, 2023, with the remaining shares vesting in six equal semi-annual installments thereafter, subject to the Reporting Person continuing to provide service through each such date. 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.