Last 12 months
Inside the activity.
1 purchase rows · 65 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 7 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 14 |
| Mar 2026 | 0 | 23 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 6 |
| Jun 2026 | 0 | 2 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 8 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 25, 2016 Filed Oct 25, 2016 13:18 UTC |
Lathi Vijay KDirector · 10% owner
|
ConversionSeries E Convertible Preferred Stock · Derivative | 155,548 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032255 · doc4.xml · derivative · entry 5 Lathi Vijay K · CIK 0001340806 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 155,548 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. F3 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.nature: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:18 UTC |
Lathi Vijay KDirector · 10% owner
|
ConversionSeries D Convertible Preferred Stock · Derivative | 190,154 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032255 · doc4.xml · derivative · entry 4 Lathi Vijay K · CIK 0001340806 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 190,154 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F2 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F2 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.nature: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:18 UTC |
Lathi Vijay KDirector · 10% owner
|
ConversionSeries C Convertible Preferred Stock · Derivative | 610,136 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032255 · doc4.xml · derivative · entry 3 Lathi Vijay K · CIK 0001340806 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,370,887 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 C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F1 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F1 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.nature: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:18 UTC |
Lathi Vijay KDirector · 10% owner
|
PurchaseCommon Stock | 25,000 | $17.00 | $425,000.00 |
DisclosureSEC source: 0000899243-16-032255 · doc4.xml · nonDerivative · entry 2 Lathi Vijay K · CIK 0001340806 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,741,589 F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.nature: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:18 UTC |
Lathi Vijay KDirector · 10% owner
|
ConversionCommon Stock | 1,716,589 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-16-032255 · doc4.xml · nonDerivative · entry 1 Lathi Vijay K · CIK 0001340806 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,716,589 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 C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F2 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F3 · price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F5 · ownership.nature: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). The Reporting Person is an individual manager of New Leaf Venture Management II, L.L.C. ("Management II"). Management II is the general partner of New Leaf Venture Associates II, L.P. ("Associates II"). Associates II is the general partner of New Leaf Ventures II, L.P. ("NLV II"). As such, the Reporting Person shares voting and dispositive control with respect to the shares held by NLV II. The Reporting Person disclaims beneficial ownership of the shares held by NLV II, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries D Preferred Stock Warrant (Right to Buy) · Derivative | 49,581 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 11 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 49,581 shares Expires 2019-11-01 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. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries E Convertible Preferred Stock · Derivative | 56,506 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 10 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56,506 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. F5 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F5 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F5 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries E Convertible Preferred Stock · Derivative | 114,018 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 9 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 114,018 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. F5 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F5 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F5 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries D Convertible Preferred Stock · Derivative | 179,011 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 8 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 179,011 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: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F4 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries C Convertible Preferred Stock · Derivative | 81,174 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 7 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 182,387 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F3 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F3 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries C Convertible Preferred Stock · Derivative | 38,358 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 6 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 86,184 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F3 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F3 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries B Convertible Preferred Stock · Derivative | 67,768 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 5 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 135,833 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date. F2 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date. F2 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries A Convertible Preferred Stock · Derivative | 528,838 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 4 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 528,838 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 A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries A Convertible Preferred Stock · Derivative | 837,328 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 3 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 837,328 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 A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionSeries A Convertible Preferred Stock · Derivative | 264,419 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 2 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 264,419 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 A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 13:41 UTC |
SYNERGY LIFE SCIENCE PARTNERS L P10% owner
Synergy Venture Partners, LLC10% owner
Jain Mudit K.10% owner
Stack Richard S.10% owner
|
ConversionCommon Stock | 2,384,524 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-16-032260 · doc4.xml · nonDerivative · entry 1 SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner Jain Mudit K. · CIK 0001584404 · 10% owner Stack Richard S. · CIK 0001584403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,384,524 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 A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F2 · price: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date. F3 · price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date. F4 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F5 · price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. F6 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016. F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionSeries E Convertible Preferred Stock · Derivative | 397,883 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · derivative · entry 6 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 0 Underlying: Common Stock · 397,883 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. F5 · derivative.exercise_price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F5 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F5 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XII, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionSeries D Convertible Preferred Stock · Derivative | 786,864 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · derivative · entry 5 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 0 Underlying: Common Stock · 786,864 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: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F4 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F4 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XII, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionSeries E Convertible Preferred Stock · Derivative | 397,883 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · derivative · entry 4 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 0 Underlying: Common Stock · 397,883 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F2 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F2 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F3 · ownership.nature: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionSeries D Convertible Preferred Stock · Derivative | 786,864 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · derivative · entry 3 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 0 Underlying: Common Stock · 786,864 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 D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F1 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F1 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F3 · ownership.nature: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionCommon Stock | 1,184,747 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · nonDerivative · entry 2 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 1,184,747 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: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F5 · price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XII, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 25, 2016 23:55 UTC |
de Clercq Casper L.Director · 10% owner
|
ConversionCommon Stock | 1,184,747 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-146912 · doc4.xml · nonDerivative · entry 1 de Clercq Casper L. · CIK 0001614601 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Limited Partnership Disclosed balance after: 1,184,747 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 D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F2 · price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date. F3 · ownership.nature: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of his position as an officer of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Casper de Clercq may be deemed to share voting and dispositive power with respect to such securities. Mr. de Clercq disclaims beneficial ownership of all such securities, except to the extent of any pecuniary interest therein. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC |
NOVO HOLDINGS A/S10% owner
|
ConversionSeries E Preferred Stock · Derivative | 2,007,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · derivative · entry 3 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,007,449 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 Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.exercise_date: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. F1 · derivative.expiration_date: The Series E Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC |
NOVO HOLDINGS A/S10% owner
|
PurchaseCommon Stock | 100,000 | $17.00 | $1,700,000.00 |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · nonDerivative · entry 2 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,124,448 F2 · kind: Represents a purchase from the underwriters in the Issuer's public offering. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 20:46 UTC |
NOVO HOLDINGS A/S10% owner
|
ConversionCommon Stock | 2,007,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-147005 · doc4.xml · nonDerivative · entry 1 Novo A/S · CIK 0001388325 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,024,448 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 Preferred Stock (the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock. Read SEC document |
| October 19, 2016 Filed Oct 21, 2016 11:16 UTC |
Garrett Matthew C.Chief Financial Officer
|
GrantEmployee Stock Option (right to buy) · Derivative | 30,598 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032125 · doc4.xml · derivative · entry 1 Garrett Matthew C. · CIK 0001668499 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,598 Underlying: Common Stock · 30,598 shares Expires 2026-09-21 F1 · derivative.exercise_date: The option vests and the shares become exercisable according to the following schedule: 1/4 on September 21, 2017 and 1/36 of the remaining shares on each full calendar month thereafter. Read SEC document |
| October 19, 2016 Filed Oct 21, 2016 11:15 UTC |
Vort David AEVP, Sales
|
GrantEmployee Stock Option (right to buy) · Derivative | 25,498 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032124 · doc4.xml · derivative · entry 1 Vort David A · CIK 0001670676 · EVP, Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,498 Underlying: Common Stock · 25,498 shares Expires 2026-09-21 F1 · derivative.exercise_date: The option vests and the shares become exercisable according to the following schedule: 1/4 on September 21, 2017 and 1/36 of the remaining shares on each full calendar month thereafter. Read SEC document |
| October 19, 2016 Filed Oct 21, 2016 11:19 UTC |
King Kevin MDirector · President and CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 81,595 | $0.00 Strike: $17.00 | $0.00 |
DisclosureSEC source: 0000899243-16-032126 · doc4.xml · derivative · entry 1 King Kevin M · CIK 0001385014 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,595 Underlying: Common Stock · 81,595 shares Expires 2026-09-21 F1 · derivative.exercise_date: The option vests and the shares become exercisable according to the following schedule: 1/4 on September 21, 2017 and 1/36 of the remaining shares on each full calendar month thereafter. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.