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FRACTYL HEALTH, INC.

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6700
SEC CIK
0001572616
Parsed reports
90

Last 12 months

Inside the activity.

7 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202510
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202650
Jul 202600
Aug 202600
Sep 202610
Oct 202600

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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 30, 2025 Filed Feb 3, 2025 23:04 UTC
Rajagopalan HarithDirector · Chief Executive Officer
SaleCommon Stock 20,948 $1.95 $40,798.32
Disclosure

SEC source: 0000950170-25-012531 · ownership.xml · nonDerivative · entry 2

Rajagopalan Harith · CIK 0001667672 · Director · Chief Executive Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 491,329

F1 · kind: Represents sales pursuant to a Rule 10b5-1 plan that the Reporting Person entered into on September 12, 2024.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.9100 to $2.0400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
January 30, 2025 Filed Feb 3, 2025 23:04 UTC
Rajagopalan HarithDirector · Chief Executive Officer
Exercise / conversionCommon Stock 20,948 $1.70 $35,611.60
Disclosure

SEC source: 0000950170-25-012531 · ownership.xml · nonDerivative · entry 1

Rajagopalan Harith · CIK 0001667672 · Director · Chief Executive Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 512,277

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
January 30, 2025 Filed Feb 3, 2025 18:03 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionStock Option · Derivative 21,472 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0000950170-25-012530 · ownership.xml · derivative · entry 7

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,270

Underlying: Common Stock · 21,472 shares

Expires 2025-02-10

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

F4 · derivative.exercise_date: The option is fully vested and exercisable.

Read SEC document
January 30, 2025 Filed Feb 3, 2025 18:03 UTC
Caplan Jay DavidPresident, Chief Product Off.
SaleCommon Stock 21,472 $1.95 $41,801.69
Disclosure

SEC source: 0000950170-25-012530 · ownership.xml · nonDerivative · entry 2

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 153,544

F1 · kind: Represents sales pursuant to a Rule 10b5-1 plan that the Reporting Person entered into on September 13, 2024.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.9000 to $2.0400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Read SEC document
January 30, 2025 Filed Feb 3, 2025 18:03 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionCommon Stock 21,472 $1.70 $36,502.40
Disclosure

SEC source: 0000950170-25-012530 · ownership.xml · nonDerivative · entry 1

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 175,016

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
November 11, 2024 Filed Nov 13, 2024 23:26 UTC
Rajagopalan HarithDirector · Chief Executive Officer
SaleCommon Stock 96,517 $2.47 $238,358.38
Disclosure

SEC source: 0000950170-24-126560 · ownership.xml · nonDerivative · entry 2

Rajagopalan Harith · CIK 0001667672 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 491,329

F2 · kind: Represents shares sold for tax-withholding purposes due upon the vesting of the restricted stock units.

Read SEC document
November 11, 2024 Filed Nov 13, 2024 18:25 UTC
Caplan Jay DavidPresident, Chief Product Off.
SaleCommon Stock 64,197 $2.47 $158,540.91
Disclosure

SEC source: 0000950170-24-126558 · ownership.xml · nonDerivative · entry 2

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,544

F2 · kind: Represents shares sold for tax-withholding purposes due upon the vesting of the restricted stock units.

Read SEC document
November 10, 2024 Filed Nov 13, 2024 23:26 UTC
Rajagopalan HarithDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 216,924 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-126560 · ownership.xml · derivative · entry 6

Rajagopalan Harith · CIK 0001667672 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 216,924 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

Read SEC document
November 10, 2024 Filed Nov 13, 2024 23:26 UTC
Rajagopalan HarithDirector · Chief Executive Officer
Exercise / conversionCommon Stock 216,924 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-126560 · ownership.xml · nonDerivative · entry 1

Rajagopalan Harith · CIK 0001667672 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 587,846

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

Read SEC document
November 10, 2024 Filed Nov 13, 2024 18:25 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionRestricted Stock Unit · Derivative 187,257 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-126558 · ownership.xml · derivative · entry 5

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 187,257 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

Read SEC document
November 10, 2024 Filed Nov 13, 2024 18:25 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionCommon Stock 187,257 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-126558 · ownership.xml · nonDerivative · entry 1

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,741

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vested in full on November 10, 2024 and have no expiration date.

Read SEC document
September 12, 2024 Filed Sep 13, 2024 18:39 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionStock Option · Derivative 95,484 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0000950170-24-106530 · ownership.xml · derivative · entry 5

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 95,484 shares

Expires 2024-11-10

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

F2 · derivative.exercise_date: The option is fully vested and exercisable.

Read SEC document
September 12, 2024 Filed Sep 13, 2024 18:39 UTC
Caplan Jay DavidPresident, Chief Product Off.
SaleCommon Stock 65,000 $2.90 $188,474.00
Disclosure

SEC source: 0000950170-24-106530 · ownership.xml · nonDerivative · entry 2

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,484

F1 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $2.85 to $3.06. The Reporting Person undertakes to provide upon request the Staff of the Securities and Exchange Commission, the Issuer, or any stockholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

Read SEC document
September 12, 2024 Filed Sep 13, 2024 18:39 UTC
Caplan Jay DavidPresident, Chief Product Off.
Exercise / conversionCommon Stock 95,484 $1.70 $162,322.80
Disclosure

SEC source: 0000950170-24-106530 · ownership.xml · nonDerivative · entry 1

Caplan Jay David · CIK 0001419217 · President, Chief Product Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,484

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
April 01, 2024 Filed Apr 2, 2024 16:20 UTC
Kimber AdrianChief Commercial Officer
GrantStock Option · Derivative 250,000 $0.00 Strike: $7.45 $0.00
Disclosure

SEC source: 0000950170-24-040179 · ownership.xml · derivative · entry 1

Kimber Adrian · CIK 0002016940 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2034-03-31

F1 · derivative.exercise_date: The stock option vests and becomes exercisable as to 25% of the underlying shares on April 1, 2025 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionConvertible Promissory Note · Derivative 0 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · derivative · entry 7

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires 2024-12-31

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.

F2 · derivative.exercise_price: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · derivative.exercise_price: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F2 · shares: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · shares: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F2 · price: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · price: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F2 · derivative.exercise_date: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · derivative.exercise_date: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F2 · derivative.expiration_date: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · derivative.expiration_date: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F2 · derivative.underlying_shares: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · derivative.underlying_shares: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionSeries F Preferred Stock · Derivative 333,957 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · derivative · entry 6

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.exercise_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.expiration_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.underlying_shares: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionSeries E Preferred Stock · Derivative 2,914,228 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · derivative · entry 5

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.exercise_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.expiration_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.underlying_shares: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionSeries D Preferred Stock · Derivative 4,090,872 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · derivative · entry 4

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.exercise_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.expiration_date: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F1 · derivative.underlying_shares: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
PurchaseCommon Stock 333,333 $15.00 $4,999,995.00
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · nonDerivative · entry 3

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,673,870

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionCommon Stock 920,661 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · nonDerivative · entry 2

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,340,537

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

F2 · price: The Convertible Note automatically converts into shares of the Issuer's common stock upon the occurrence of certain additional issuances of the Issuer's capital stock, including in connection with an initial public offering of the Issuer's common stock with gross proceeds of at least $80,000,000 or a resulting market capitalization of the Issuer's common stock equal to at least $1,000,000,000. In the event of such an initial public offering, all of the outstanding principal and interest under the convertible note will automatically convert into shares of the Issuer's common stock at a price equal to the lessor of (a) 80% of the per share offering price of common stock in the initial public offering; and (b) the price per share that results when $770,000,000 is divided by the total number of shares of the Issuer's common stock then outstanding, calculated on a fully diluted basis.

F3 · price: (Continued from Footnote 2) Upon the closing of the Issuer's initial public offering on February 6, 2024 meeting the foregoing criteria, the aggregate principal amount of the Convertible Note of approximately $10.9 million, including accrued interest, automatically converted into 920,661 shares of the Issuer's common stock.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 6, 2024 20:39 UTC
CVF, LLC10% owner
ConversionCommon Stock 3,419,876 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-24-000153 · doc4.xml · nonDerivative · entry 1

CVF, LLC · CIK 0001112278 · 10% owner

HCC Manager LLC · CIK 0001844818 · (4)

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,419,876

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

F1 · price: Each share of the Issuer's preferred stock is convertible into shares of the Issuer's common stock at the holder's option, on a 1-1 basis, with such ratio being subject to adjustment from time to time for customary events affecting the preferred stock and common stock, and has no expiration date. On January 26, 2024, the Issuer's board approved a 1-for-2.146 reverse stock split of its issued and outstanding shares of common stock, as a result of which the conversion ratio for the Issuer's preferred stock was correspondingly adjusted to 1 share of common stock issuable for 2.146 shares of the preferred stock. The preferred stock automatically converted into common stock upon the closing of the Issuer's initial public offering on February 6, 2024 at such ratio.

F4 · ownership.direct: HCC Manager LLC, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. HCC Manager LLC disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of its pecuniary interest therein.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries F Preferred Shares · Derivative 80,741 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 12

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa.

Disclosed balance after: 0

Underlying: Common Stock · 37,623 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries F Preferred Shares · Derivative 74,046 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 11

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Lexington Insurance Company

Disclosed balance after: 0

Underlying: Common Stock · 34,504 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries F Preferred Shares · Derivative 115,030 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 10

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by American Home Assurance Company

Disclosed balance after: 0

Underlying: Common Stock · 53,602 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries F Preferred Shares · Derivative 272,863 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 9

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Corebridge DECO II, LLC

Disclosed balance after: 0

Underlying: Common Stock · 127,149 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries E Preferred Shares · Derivative 346,868 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 8

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa.

Disclosed balance after: 0

Underlying: Common Stock · 161,634 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries E Preferred Shares · Derivative 318,105 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 7

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Lexington Insurance Company

Disclosed balance after: 0

Underlying: Common Stock · 148,231 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries E Preferred Shares · Derivative 494,173 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 6

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by American Home Assurance Company

Disclosed balance after: 0

Underlying: Common Stock · 230,276 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionSeries E Preferred Shares · Derivative 1,172,236 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · derivative · entry 5

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Corebridge DECO II, LLC

Disclosed balance after: 0

Underlying: Common Stock · 546,242 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionCommon Stock 199,257 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 4

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by National Union Fire Insurance Company of Pittsburgh, Pa.

Disclosed balance after: 199,257

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F5 · ownership.nature: National Union Fire Insurance Company of Pittsburgh, Pa. is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionCommon Stock 182,735 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 3

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Lexington Insurance Company

Disclosed balance after: 182,735

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F4 · ownership.nature: Lexington Insurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionCommon Stock 283,878 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 2

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by American Home Assurance Company

Disclosed balance after: 283,878

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F3 · ownership.nature: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:53 UTC ConversionCommon Stock 673,391 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012332 · tm245543-3_4seq1.xml · nonDerivative · entry 1

AMERICAN INTERNATIONAL GROUP, INC. · CIK 0000005272 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Corebridge DECO II, LLC

Disclosed balance after: 673,391

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.nature: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 16:49 UTC ConversionSeries F Preferred Shares · Derivative 115,030 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012328 · tm245543-1_4seq1.xml · derivative · entry 3

AMERICAN HOME ASSURANCE CO · CIK 0000005181 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,602 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 16:49 UTC ConversionSeries E Preferred Shares · Derivative 494,173 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012328 · tm245543-1_4seq1.xml · derivative · entry 2

AMERICAN HOME ASSURANCE CO · CIK 0000005181 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 230,276 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

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February 06, 2024 Filed Feb 8, 2024 16:49 UTC ConversionCommon Stock 283,878 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012328 · tm245543-1_4seq1.xml · nonDerivative · entry 1

AMERICAN HOME ASSURANCE CO · CIK 0000005181 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,878

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: American Home Assurance Company is a wholly owned, indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 19:07 UTC
Flynn James E10% owner · Possible Members of 10% Group
Deerfield Mgmt III, L.P.10% owner · Possible Members of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · Possible Members of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · Possible Members of 10% Group
ConversionSeries D Preferred Stock · Derivative 164,612 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-24-000147 · e619233_4-flynn.xml · derivative · entry 4

Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Members of 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Members of 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Members of 10% Group

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 76,706 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of Series D Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F4 · price: Each share of Series D Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F4 · derivative.exercise_date: Each share of Series D Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F4 · derivative.expiration_date: Each share of Series D Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

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February 06, 2024 Filed Feb 8, 2024 19:07 UTC
Flynn James E10% owner · Possible Members of 10% Group
Deerfield Mgmt III, L.P.10% owner · Possible Members of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · Possible Members of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · Possible Members of 10% Group
ConversionSeries C-2 Preferred Stock · Derivative 1,625,699 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-24-000147 · e619233_4-flynn.xml · derivative · entry 3

Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Members of 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Members of 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Members of 10% Group

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 757,548 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series C-2 Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F1 · price: Each share of Series C-2 Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F1 · derivative.exercise_date: Each share of Series C-2 Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F1 · derivative.expiration_date: Each share of Series C-2 Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

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February 06, 2024 Filed Feb 8, 2024 19:07 UTC
Flynn James E10% owner · Possible Members of 10% Group
Deerfield Mgmt III, L.P.10% owner · Possible Members of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · Possible Members of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · Possible Members of 10% Group
ConversionCommon Stock 76,706 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-24-000147 · e619233_4-flynn.xml · nonDerivative · entry 2

Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Members of 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Members of 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Members of 10% Group

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 834,254

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

F4 · price: Each share of Series D Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 19:07 UTC
Flynn James E10% owner · Possible Members of 10% Group
Deerfield Mgmt III, L.P.10% owner · Possible Members of 10% Group
Deerfield Private Design Fund III, L.P.10% owner · Possible Members of 10% Group
DEERFIELD MANAGEMENT COMPANY, L.P.10% owner · Possible Members of 10% Group
ConversionCommon Stock 757,548 Not disclosed Not disclosed
Disclosure

SEC source: 0001193805-24-000147 · e619233_4-flynn.xml · nonDerivative · entry 1

Flynn James E · CIK 0001352546 · 10% owner · Possible Members of 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Members of 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Members of 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Members of 10% Group

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

10b5-1 filing: No plan indicated

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 757,548

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

F1 · price: Each share of Series C-2 Preferred Stock automatically converted into 0.46598 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis after giving effect to the 1-for-2.146 reverse split of the Issuer's common stock effected by the Issuer on January 26, 2024).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. (the "Fund"). Deerfield Management Company, L.P. is the investment manager of the Fund. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Fund is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 16:51 UTC ConversionSeries F Preferred Shares · Derivative 272,863 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012331 · tm245543-2_4seq1.xml · derivative · entry 3

Corebridge DECO II, LLC · CIK 0002010491 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 127,149 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 16:51 UTC ConversionSeries E Preferred Shares · Derivative 1,172,236 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-012331 · tm245543-2_4seq1.xml · derivative · entry 2

Corebridge DECO II, LLC · CIK 0002010491 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 546,242 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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 16:51 UTC ConversionCommon Stock 673,391 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-012331 · tm245543-2_4seq1.xml · nonDerivative · entry 1

Corebridge DECO II, LLC · CIK 0002010491 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 673,391

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: The Series E Convertible Preferred Stock and Series F Convertible Preferred Stock (together, the "Preferred Shares") automatically converted into shares of the Issuer's common stock, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering of common stock, at a conversion ratio of 1 share of Common Stock for 2.146 Preferred Shares. The Preferred Shares had no expiration date.

F2 · ownership.direct: Corebridge DECO II, LLC is an indirect subsidiary of American International Group, Inc.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
ConversionSeries F Preferred Stock · Derivative 1,598,225 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · derivative · entry 8

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 744,746 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: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · price: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F3 · ownership.nature: Represents securities held by Mithril II LP ("II LP"). Mithril II UGP LLC ("UGP II") is the general partner of Mithril II GP LP ("GP II"), which is the general partner of II LP, and each of UGP II and GP II may be deemed to have shared voting and dispositive power with respect to the securities held by II LP. The Reporting Person is the sole managing member of UGP II and a member of the investment committee of GP II, and in such capacity may be deemed to have beneficial ownership of the securities held by II LP. The Reporting Person disclaim such beneficial ownership except to the extent of his pecuniary interest therein, if any.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
ConversionSeries E Preferred Stock · Derivative 373,021 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · derivative · entry 7

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 173,821 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: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · price: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F3 · ownership.nature: Represents securities held by Mithril II LP ("II LP"). Mithril II UGP LLC ("UGP II") is the general partner of Mithril II GP LP ("GP II"), which is the general partner of II LP, and each of UGP II and GP II may be deemed to have shared voting and dispositive power with respect to the securities held by II LP. The Reporting Person is the sole managing member of UGP II and a member of the investment committee of GP II, and in such capacity may be deemed to have beneficial ownership of the securities held by II LP. The Reporting Person disclaim such beneficial ownership except to the extent of his pecuniary interest therein, if any.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
ConversionSeries D Preferred Stock · Derivative 545,450 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · derivative · entry 6

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 254,170 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: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · price: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F2 · ownership.nature: Represents securities held by Mithril LP ("LP"). Mithril GP LP ("GP LP") is the general partner of LP and may be deemed to have shared voting and dispositive power with respect to the securities held by LP. The Reporting Person is the authorized person of GP LP and a member of the investment committee of GP LP, and in such capacity may be deemed to have beneficial ownership of the securities held by LP. The Reporting Person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
ConversionSeries C-2 Preferred Stock · Derivative 6,502,796 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · derivative · entry 5

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,030,193 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: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · price: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F2 · ownership.nature: Represents securities held by Mithril LP ("LP"). Mithril GP LP ("GP LP") is the general partner of LP and may be deemed to have shared voting and dispositive power with respect to the securities held by LP. The Reporting Person is the authorized person of GP LP and a member of the investment committee of GP LP, and in such capacity may be deemed to have beneficial ownership of the securities held by LP. The Reporting Person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

Read SEC document
February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
ConversionSeries C-1 Preferred Stock · Derivative 4,025,764 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · derivative · entry 4

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,875,938 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: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · price: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 0.466 shares of the Issuer's common stock in accordance with the terms of such preferred stock.

F2 · ownership.nature: Represents securities held by Mithril LP ("LP"). Mithril GP LP ("GP LP") is the general partner of LP and may be deemed to have shared voting and dispositive power with respect to the securities held by LP. The Reporting Person is the authorized person of GP LP and a member of the investment committee of GP LP, and in such capacity may be deemed to have beneficial ownership of the securities held by LP. The Reporting Person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

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February 06, 2024 Filed Feb 8, 2024 21:37 UTC
Royan AjayDirector · 10% owner
PurchaseCommon Stock 333,333 $15.00 $4,999,995.00
Disclosure

SEC source: 0000950170-24-012838 · ownership.xml · nonDerivative · entry 3

Royan Ajay · CIK 0001875614 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,251,900

F3 · ownership.nature: Represents securities held by Mithril II LP ("II LP"). Mithril II UGP LLC ("UGP II") is the general partner of Mithril II GP LP ("GP II"), which is the general partner of II LP, and each of UGP II and GP II may be deemed to have shared voting and dispositive power with respect to the securities held by II LP. The Reporting Person is the sole managing member of UGP II and a member of the investment committee of GP II, and in such capacity may be deemed to have beneficial ownership of the securities held by II LP. The Reporting Person disclaim such beneficial ownership except to the extent of his pecuniary interest therein, if any.

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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.