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Nasdaq · USD

FDMT

4D Molecular Therapeutics, Inc.

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Tapewire entity
2419
SEC CIK
0001650648
Parsed reports
169

Last 12 months

Inside the activity.

0 purchase rows · 24 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202503
Jan 202600
Feb 202600
Mar 202602
Apr 202600
May 202600
Jun 202604
Jul 202603
Aug 202606
Sep 202603
Oct 202602

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 05, 2026 Filed Jan 8, 2026 02:12 UTC GrantStock Option (Right to Buy) · Derivative 45,000 $0.00 Strike: $7.30 $0.00
Disclosure

SEC source: 0001193125-26-006809 · ownership.xml · derivative · entry 1

SBLENDORIO GLENN · CIK 0001277478 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2036-01-04

F1 · derivative.exercise_date: One-third of the shares subject to the option vest on the first anniversary measured from January 5 2026 (the "Vesting Commencement Date"), and 1/36th of the total number of shares vest in twenty-four (24) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
Exercise / conversionRestricted Stock Units · Derivative 220 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · derivative · entry 6

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,308

Underlying: Common Stock · 220 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: Restricted Stock Units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The shares underlying the restricted stock unit award shall vest as to 1/16th of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.

F4 · derivative.expiration_date: The shares underlying the restricted stock unit award shall vest as to 1/16th of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
Exercise / conversionRestricted Stock Units · Derivative 866 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · derivative · entry 5

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,984

Underlying: Common Stock · 866 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: Restricted Stock Units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The shares underlying the restricted stock unit award shall vest as to 25% of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.

F3 · derivative.expiration_date: The shares underlying the restricted stock unit award shall vest as to 25% of the shares on June 20, 2025 and as to 1/16th of the underlying shares on each quarterly anniversary of such date thereafter, while the grantee remains a service provider to the Company.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
SaleCommon Stock 79 $8.68 $685.72
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · nonDerivative · entry 4

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,359

F2 · kind: The transaction represents an automatic sale to satisfy the tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
Exercise / conversionCommon Stock 220 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · nonDerivative · entry 3

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,438

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

F1 · price: Restricted Stock Units convert into common stock on a one-for-one basis.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
SaleCommon Stock 310 $8.68 $2,690.80
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · nonDerivative · entry 2

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,218

F2 · kind: The transaction represents an automatic sale to satisfy the tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

Read SEC document
December 20, 2025 Filed Dec 23, 2025 21:05 UTC
Gupta AshooVP, Finance and Controller
Exercise / conversionCommon Stock 866 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-331299 · ownership.xml · nonDerivative · entry 1

Gupta Ashoo · CIK 0002091461 · VP, Finance and Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,528

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

F1 · price: Restricted Stock Units convert into common stock on a one-for-one basis.

Read SEC document
December 16, 2025 Filed Dec 19, 2025 21:10 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,635 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001193125-25-326851 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 73,595

Underlying: Common Stock · 1,635 shares

Expires 2035-03-05

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
December 16, 2025 Filed Dec 19, 2025 21:10 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 1,635 $10.90 $17,821.50
Disclosure

SEC source: 0001193125-25-326851 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,594

Read SEC document
December 16, 2025 Filed Dec 19, 2025 21:10 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 1,635 $4.14 $6,768.90
Disclosure

SEC source: 0001193125-25-326851 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,229

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

Read SEC document
December 12, 2025 Filed Dec 16, 2025 21:35 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 9,333 $0.00 Strike: $1.14 $0.00
Disclosure

SEC source: 0001193125-25-320992 · ownership.xml · derivative · entry 2

THEUER CHARLES · CIK 0001631338 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,333 shares

Expires 2026-03-09

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

F1 · derivative.exercise_date: Fully vested.

Read SEC document
December 12, 2025 Filed Dec 16, 2025 21:35 UTC Exercise / conversionCommon Stock 9,333 $1.14 $10,639.62
Disclosure

SEC source: 0001193125-25-320992 · ownership.xml · nonDerivative · entry 1

THEUER CHARLES · CIK 0001631338 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,684

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

Read SEC document
December 09, 2025 Filed Dec 11, 2025 16:18 UTC
Humer KristianChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 480,000 $0.00 Strike: $10.51 $0.00
Disclosure

SEC source: 0001193125-25-315989 · ownership.xml · derivative · entry 1

Humer Kristian · CIK 0001872280 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Common Stock · 480,000 shares

Expires 2035-12-08

F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest on the first anniversary measured from November 17, 2025 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
November 17, 2025 Filed Nov 20, 2025 02:53 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,635 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001193125-25-288632 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 75,230

Underlying: Common Stock · 1,635 shares

Expires 2035-03-05

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
November 17, 2025 Filed Nov 20, 2025 02:53 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 1,635 $10.59 $17,314.65
Disclosure

SEC source: 0001193125-25-288632 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,594

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

Read SEC document
November 17, 2025 Filed Nov 20, 2025 02:53 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 1,635 $4.14 $6,768.90
Disclosure

SEC source: 0001193125-25-288632 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,229

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

Read SEC document
October 24, 2025 Filed Oct 27, 2025 22:19 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,084 $0.00 Strike: $6.49 $0.00
Disclosure

SEC source: 0001193125-25-251874 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,295

Underlying: Common Stock · 1,084 shares

Expires 2032-06-17

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of June 16, 2022 (the "Vesting Commencement Date") such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
October 24, 2025 Filed Oct 27, 2025 22:19 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 2,678 $12.00 $32,136.00
Disclosure

SEC source: 0001193125-25-251874 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,594

Read SEC document
October 24, 2025 Filed Oct 27, 2025 22:19 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 1,084 $6.49 $7,035.16
Disclosure

SEC source: 0001193125-25-251874 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,272

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

Read SEC document
October 16, 2025 Filed Oct 20, 2025 23:51 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 1,635 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0001193125-25-243946 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 76,865

Underlying: Common Stock · 1,635 shares

Expires 2035-03-05

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
October 16, 2025 Filed Oct 20, 2025 23:51 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 1,635 $10.17 $16,627.95
Disclosure

SEC source: 0001193125-25-243946 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,188

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

Read SEC document
October 16, 2025 Filed Oct 20, 2025 23:51 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 1,635 $4.14 $6,768.90
Disclosure

SEC source: 0001193125-25-243946 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,823

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

Read SEC document
October 09, 2025 Filed Oct 14, 2025 20:04 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 2,408 $10.00 $24,080.00
Disclosure

SEC source: 0001193125-25-238995 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,188

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

Read SEC document
September 23, 2025 Filed Sep 27, 2025 01:50 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 2,407 $8.00 $19,256.00
Disclosure

SEC source: 0001193125-25-221028 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,596

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 6, 2025.

F2 · balance_after: Reflects 3,222 shares of the Issuer's common stock purchased under the Issuer's Employee Stock Purchase Plan in a transaction exempt under Rule 16b-3.

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:05 UTC
Chacko JacobDirector
GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088497 · ownership.xml · derivative · entry 1

Chacko Jacob · CIK 0001608936 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:03 UTC GrantStock Option (Right to Buy) · Derivative 33,750 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088484 · ownership.xml · derivative · entry 1

MILLIGAN JOHN F · CIK 0001191589 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,750

Underlying: Common Stock · 33,750 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:04 UTC GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088489 · ownership.xml · derivative · entry 1

Tomasello Shawn · CIK 0001617239 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:04 UTC GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088487 · ownership.xml · derivative · entry 1

THEUER CHARLES · CIK 0001631338 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088496 · ownership.xml · derivative · entry 1

GRAY SUSANNAH · CIK 0001833453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
June 17, 2025 Filed Jun 20, 2025 20:04 UTC GrantStock Option (Right to Buy) · Derivative 22,500 $0.00 Strike: $4.15 $0.00
Disclosure

SEC source: 0000950170-25-088486 · ownership.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-16

F1 · kind: Automatically granted pursuant to the terms of the Company's non-employee director compensation program.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on June 17, 2026 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on June 17, 2028. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan).

Read SEC document
March 06, 2025 Filed Mar 11, 2025 00:00 UTC
Bizily ScottChief Legal Officer
GrantStock Option (Right to Buy) · Derivative 78,500 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0000950170-25-036696 · ownership.xml · derivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,500

Underlying: Common Stock · 78,500 shares

Expires 2035-03-05

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 23:57 UTC
Mehra UneekSee Remarks
GrantStock Option (Right to Buy) · Derivative 130,000 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0000950170-25-036685 · ownership.xml · derivative · entry 1

Mehra Uneek · CIK 0001881504 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2035-03-05

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 23:58 UTC
Kim Robert YoungChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 92,300 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0000950170-25-036686 · ownership.xml · derivative · entry 1

Kim Robert Young · CIK 0001971608 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,300

Underlying: Common Stock · 92,300 shares

Expires 2035-03-05

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

Read SEC document
March 06, 2025 Filed Mar 10, 2025 23:58 UTC
Kirn DavidDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 267,500 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0000950170-25-036688 · ownership.xml · derivative · entry 1

Kirn David · CIK 0001834021 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,500

Underlying: Common Stock · 267,500 shares

Expires 2035-03-05

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

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March 06, 2025 Filed Mar 10, 2025 23:56 UTC
Kamal FariborzPresident & COO
GrantStock Option (Right to Buy) · Derivative 178,400 $0.00 Strike: $4.14 $0.00
Disclosure

SEC source: 0000950170-25-036683 · ownership.xml · derivative · entry 1

Kamal Fariborz · CIK 0001834020 · President & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,400

Underlying: Common Stock · 178,400 shares

Expires 2035-03-05

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 6, 2025 (the "Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

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December 09, 2024 Filed Dec 10, 2024 21:28 UTC OtherPre-Funded Warrants (Right to Buy) · Derivative 535,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001415889-24-028837 · form4-12102024_091224.xml · derivative · entry 2

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

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

Kolchinsky Peter · CIK 0001384859 · 10% owner

Shah Rajeev M. · CIK 0001619841 · 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: 3,610,000

Underlying: Common Stock · 535,000 shares

Expires not disclosed

F1 · kind: On December 9, 2024, RA Capital Healthcare Fund, L.P. (the "Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Fund exchanged, for no additional consideration, 535,000 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 535,000 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share.

F1 · price: On December 9, 2024, RA Capital Healthcare Fund, L.P. (the "Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Fund exchanged, for no additional consideration, 535,000 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 535,000 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share.

F4 · derivative.exercise_date: The Pre-Funded Warrants have no expiration date and are exercisable immediately. Notwithstanding the foregoing, the Reporting Persons shall not be entitled to exercise the Pre-Funded Warrant if it would cause the aggregate number of shares of Common Stock beneficially owned by the Reporting Persons, their affiliates and any persons who are members of a Section 13(d) group with the Reporting Persons or their affiliates to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise.

F4 · derivative.expiration_date: The Pre-Funded Warrants have no expiration date and are exercisable immediately. Notwithstanding the foregoing, the Reporting Persons shall not be entitled to exercise the Pre-Funded Warrant if it would cause the aggregate number of shares of Common Stock beneficially owned by the Reporting Persons, their affiliates and any persons who are members of a Section 13(d) group with the Reporting Persons or their affiliates to exceed 9.99% of the total number of issued and outstanding shares of Common Stock of the Issuer following such exercise.

F2 · ownership.nature: Held directly by the Fund.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. Each of the Adviser, the Adviser GP, the Fund, Dr. Kolchinsky and Mr. Shah disclaims beneficial ownership of any of the reported securities, except to the extent of its or his respective pecuniary interest therein.

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December 09, 2024 Filed Dec 10, 2024 21:28 UTC OtherCommon Stock 535,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028837 · form4-12102024_091224.xml · nonDerivative · entry 1

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

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

Kolchinsky Peter · CIK 0001384859 · 10% owner

Shah Rajeev M. · CIK 0001619841 · 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: 4,563,211

F1 · kind: On December 9, 2024, RA Capital Healthcare Fund, L.P. (the "Fund") entered into an Exchange Agreement with the Issuer pursuant to which the Fund exchanged, for no additional consideration, 535,000 shares of the Issuer's Common Stock for a pre-funded warrant exercisable for up to 535,000 shares of the Issuer's Common Stock at an exercise price of $0.0001 per share.

F2 · ownership.nature: Held directly by the Fund.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. Each of the Adviser, the Adviser GP, the Fund, Dr. Kolchinsky and Mr. Shah disclaims beneficial ownership of any of the reported securities, except to the extent of its or his respective pecuniary interest therein.

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November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherPre-Funded Warrant · Derivative 240,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · derivative · entry 6

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock, $0.0001 par value · 240,000 shares

Expires not disclosed

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F6 · derivative.exercise_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F6 · derivative.expiration_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F1 · derivative.underlying: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F5 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherPre-Funded Warrant · Derivative 2,378,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · derivative · entry 5

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,378,000

Underlying: Common Stock, $0.0001 par value · 2,378,000 shares

Expires not disclosed

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F6 · derivative.exercise_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F6 · derivative.expiration_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F1 · derivative.underlying: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F4 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

Read SEC document
November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherPre-Funded Warrant · Derivative 3,062,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · derivative · entry 4

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,062,000

Underlying: Common Stock, $0.0001 par value · 3,062,000 shares

Expires not disclosed

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F6 · derivative.exercise_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F6 · derivative.expiration_date: Each Pre-Funded Warrant may be exercised for one share of common stock. The Pre-Funded Warrants are exercisable at any time and do not expire. A holder of Pre-Funded Warrants may not exercise such Pre-Funded Warrants if, after giving effect or immediately prior to to such exercise, such holder, its Attribution Parties (as defined in the Warrant To Purchase Shares of Common Stock) and any other persons whose beneficial ownership of shares of common stock would be aggregated with such holder's for purposes of Section 13(d) of the Exchange Act, would beneficially own (i) in excess of 9.99% of the total number of issued and outstanding shares of common stock, or (ii) securities representing voting power in excess of 9.99% of the combined voting power of all of the securities of the Issuer then outstanding, in each case, following such exercise.

F1 · derivative.underlying: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F3 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

Read SEC document
November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherCommon Stock, $0.0001 par value 240,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · nonDerivative · entry 3

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,911

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F5 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

Read SEC document
November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherCommon Stock, $0.0001 par value 2,378,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · nonDerivative · entry 2

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 662,970

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F4 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

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November 08, 2024 Filed Nov 13, 2024 21:33 UTC
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BVF I GP LLCSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF II GP LLCSee Explanation of Responses
Biotechnology Value Trading Fund OS LPSee Explanation of Responses
BVF Partners OS Ltd.See Explanation of Responses
BVF GP HOLDINGS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
OtherCommon Stock, $0.0001 par value 3,062,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-24-002631 · form407422010_11132024.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 830,237

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · kind: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F2 · price: On November 8, 2024, certain of the Reporting Persons entered into an Exchange Agreement with the Issuer (the "Exchange Agreement"), pursuant to which such Reporting Persons agreed to exchange an aggregate of 5,775,000 shares of common stock of the Issuer for a total of 5,775,000 Pre-Funded Warrants (the "Pre-Funded Warrants"). Pursuant to the Exchange Agreement, BVF exchanged 3,062,000 shares for 3,062,000 Pre-Funded Warrants, BVF2 exchanged 2,378,000 shares for 2,378,000 Pre-Funded Warrants and Trading Fund OS exchanged 240,000 shares for 240,000 Pre-Funded Warrants.

F3 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

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September 16, 2024 Filed Sep 18, 2024 21:46 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right To Buy) · Derivative 500 $0.00 Strike: $6.49 $0.00
Disclosure

SEC source: 0000950170-24-107903 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,379

Underlying: Common Stock · 500 shares

Expires 2032-06-17

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of June 16, 2022 (the "Vesting Commencement Date") such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

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September 16, 2024 Filed Sep 18, 2024 21:46 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 500 $16.33 $8,165.00
Disclosure

SEC source: 0000950170-24-107903 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,781

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

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September 16, 2024 Filed Sep 18, 2024 21:46 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 500 $6.49 $3,245.00
Disclosure

SEC source: 0000950170-24-107903 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,281

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

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August 19, 2024 Filed Aug 21, 2024 20:28 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right To Buy) · Derivative 500 $0.00 Strike: $6.49 $0.00
Disclosure

SEC source: 0000950170-24-099505 · ownership.xml · derivative · entry 3

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,879

Underlying: Common Stock · 500 shares

Expires 2032-06-17

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

F2 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of June 16, 2022 (the "Vesting Commencement Date") such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

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August 19, 2024 Filed Aug 21, 2024 20:28 UTC
Bizily ScottChief Legal Officer
SaleCommon Stock 500 $15.00 $7,500.00
Disclosure

SEC source: 0000950170-24-099505 · ownership.xml · nonDerivative · entry 2

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,781

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

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August 19, 2024 Filed Aug 21, 2024 20:28 UTC
Bizily ScottChief Legal Officer
Exercise / conversionCommon Stock 500 $6.49 $3,245.00
Disclosure

SEC source: 0000950170-24-099505 · ownership.xml · nonDerivative · entry 1

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,281

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

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July 16, 2024 Filed Jul 19, 2024 00:22 UTC
Bizily ScottChief Legal Officer
Exercise / conversionStock Option (Right To Buy) · Derivative 1,250 $0.00 Strike: $8.04 $0.00
Disclosure

SEC source: 0000950170-24-084725 · ownership.xml · derivative · entry 5

Bizily Scott · CIK 0001920738 · Chief Legal Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 32,502

Underlying: Common Stock · 1,250 shares

Expires 2032-08-31

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on October 10, 2023.

F3 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of September 1, 2022 (the "Vesting Commencement Date") such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, while the grantee remains a service provider to the Company.

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