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MRAM

EVERSPIN TECHNOLOGIES INC.

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Tapewire entity
5701
SEC CIK
0001438423
Parsed reports
350

Last 12 months

Inside the activity.

0 purchase rows · 32 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202500
Jan 202602
Feb 202600
Mar 202600
Apr 202604
May 2026015
Jun 202600
Jul 202606
Aug 202600
Sep 202600
Oct 202603

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 13, 2016 Filed Oct 17, 2016 20:47 UTC
Socolof StephenDirector · 10% owner
ConversionCommon Stock 503,625 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146060 · doc4.xml · nonDerivative · entry 1

Socolof Stephen · CIK 0001350862 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,231,740

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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The shares are held as follows: 1,071,079 by NV Partners IV, L.P. ("NV IV") and 160,661 by NV Partners IVC,L.P. ("NVI VC").

F3 · ownership.nature: NVPG IV LLC ("NVPG") is the general partner of NV IV and NV IVC. Mr. Socolof is an individual managing member of NVPG. Mr. Socolof disclaims beneficial ownership over the shares reported herein, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of his proportionate pecuniary interest therein.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC Conversion5% Convertible Subordinated Promissory Note · Derivative Not disclosed $0.00 Strike: $6.40 $58,018.72
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · derivative · entry 9

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,154 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.

F4 · reported_value: The note was issued in the original principal amount of $58,018.72. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $572.24 through October 12, 2016.

F4 · derivative.exercise_date: The note was issued in the original principal amount of $58,018.72. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $572.24 through October 12, 2016.

F4 · derivative.expiration_date: The note was issued in the original principal amount of $58,018.72. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $572.24 through October 12, 2016.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC Conversion5% Convertible Subordinated Promissory Note · Derivative Not disclosed $0.00 Strike: $6.40 $82,884.00
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · derivative · entry 8

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,406 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 · reported_value: The note was issued in the original principal amount of $82,884. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $2,917.97 through October 12, 2016.

F3 · derivative.exercise_date: The note was issued in the original principal amount of $82,884. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $2,917.97 through October 12, 2016.

F3 · derivative.expiration_date: The note was issued in the original principal amount of $82,884. The outstanding principal and accrued interest on such note automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The note bore interest at a rate of 5% per annum. The note had accrued interest of $2,917.97 through October 12, 2016.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionSeries B Preferred Stock · Derivative 12,071 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · derivative · entry 7

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,071 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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionSeries A Preferred Stock · Derivative 22,383 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · derivative · entry 6

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,383 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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC PurchaseCommon Stock 13,986 $8.00 $111,888.00
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · nonDerivative · entry 5

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 103,360

F2 · ownership.nature: The shares are held by the Tate Family Trust Dated 09/30/98, of which Mr. Tate is a trustee.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionCommon Stock 9,154 $6.40 $58,585.60
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · nonDerivative · entry 4

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 89,374

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 · ownership.nature: The shares are held by the Tate Family Trust Dated 09/30/98, of which Mr. Tate is a trustee.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionCommon Stock 13,406 $6.40 $85,798.40
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · nonDerivative · entry 3

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 80,220

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 · ownership.nature: The shares are held by the Tate Family Trust Dated 09/30/98, of which Mr. Tate is a trustee.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionCommon Stock 12,071 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · nonDerivative · entry 2

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 66,814

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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The shares are held by the Tate Family Trust Dated 09/30/98, of which Mr. Tate is a trustee.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:40 UTC ConversionCommon Stock 22,383 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146054 · doc4.xml · nonDerivative · entry 1

TATE GEOFFREY · CIK 0001192512 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 54,743

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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The shares are held by the Tate Family Trust Dated 09/30/98, of which Mr. Tate is a trustee.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
Conversion5% Convertible Subordinated Promissory Note · Derivative Not disclosed $0.00 Strike: $6.40 $570,037.52
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · derivative · entry 9

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 89,946 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.

F12 · reported_value: The notes were issued in the original principal amount of $547,094.52 to LVII and $22,943.00 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $5,396.00 for LVII and $226.29 for Sidecar through October 12, 2016.

F12 · derivative.exercise_date: The notes were issued in the original principal amount of $547,094.52 to LVII and $22,943.00 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $5,396.00 for LVII and $226.29 for Sidecar through October 12, 2016.

F12 · derivative.expiration_date: The notes were issued in the original principal amount of $547,094.52 to LVII and $22,943.00 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $5,396.00 for LVII and $226.29 for Sidecar through October 12, 2016.

F12 · ownership.nature: The notes were issued in the original principal amount of $547,094.52 to LVII and $22,943.00 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $5,396.00 for LVII and $226.29 for Sidecar through October 12, 2016.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
Conversion5% Convertible Subordinated Promissory Note · Derivative Not disclosed $0.00 Strike: $6.40 $814,399.00
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · derivative · entry 8

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 131,719 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.

F11 · reported_value: The notes were issued in the original principal amount of $781,563.56 to LVII and $32,775.44 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $27,515.32 for LVII and $1,153.88 for Sidecar through October 12, 2016.

F11 · derivative.exercise_date: The notes were issued in the original principal amount of $781,563.56 to LVII and $32,775.44 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $27,515.32 for LVII and $1,153.88 for Sidecar through October 12, 2016.

F11 · derivative.expiration_date: The notes were issued in the original principal amount of $781,563.56 to LVII and $32,775.44 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $27,515.32 for LVII and $1,153.88 for Sidecar through October 12, 2016.

F11 · ownership.nature: The notes were issued in the original principal amount of $781,563.56 to LVII and $32,775.44 to Sidecar. The outstanding principal and accrued interest on such notes automatically converted into shares of common stock of the Issuer immediately prior to the closing of the Issuer's initial public offering at a conversion rate equal to 80% of the initial public offering price. The notes bore interest at a rate of 5% per annum. The notes had accrued interest of $27,515.32 for LVII and $1,153.88 for Sidecar through October 12, 2016.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionSeries B Preferred Stock · Derivative 118,606 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · derivative · entry 7

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 118,606 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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F10 · ownership.nature: The shares were held as follows: 113,833 by LV II and 4,773 by Sidecar.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionSeries A Preferred Stock · Derivative 219,916 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · derivative · entry 6

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 219,916 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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F9 · ownership.nature: The shares were held as follows: 211,065 by LV II and 8,851 by Sidecar.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
PurchaseCommon Stock 137,420 $8.00 $1,099,360.00
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · nonDerivative · entry 5

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,015,550

F3 · ownership.nature: Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Joshua Wolfe and Peter Hebert are the individual managers of LCM LLC (the "Individual Managers"). LVPII and LCM LLC disclaim beneficial ownership of such shares, and this report shall not be deemed admission of beneficial ownership of such shares for purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F4 · ownership.nature: LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. As one of three individual managers, each Individual Manager disclaims beneficial ownership over the shares reported herein, and in all events disclaims beneficial ownership, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F8 · ownership.nature: The shares are held as follows: 974,678 by LV II and 40,872 by Sidecar.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionCommon Stock 89,946 $6.40 $575,654.40
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · nonDerivative · entry 4

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 878,130

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 · ownership.nature: Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Joshua Wolfe and Peter Hebert are the individual managers of LCM LLC (the "Individual Managers"). LVPII and LCM LLC disclaim beneficial ownership of such shares, and this report shall not be deemed admission of beneficial ownership of such shares for purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F4 · ownership.nature: LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. As one of three individual managers, each Individual Manager disclaims beneficial ownership over the shares reported herein, and in all events disclaims beneficial ownership, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F7 · ownership.nature: The shares are held as follows: 842,789 by LV II and 35,341 by Sidecar.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionCommon Stock 131,719 $6.40 $843,001.60
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · nonDerivative · entry 3

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 788,184

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 · ownership.nature: Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Joshua Wolfe and Peter Hebert are the individual managers of LCM LLC (the "Individual Managers"). LVPII and LCM LLC disclaim beneficial ownership of such shares, and this report shall not be deemed admission of beneficial ownership of such shares for purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F4 · ownership.nature: LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. As one of three individual managers, each Individual Manager disclaims beneficial ownership over the shares reported herein, and in all events disclaims beneficial ownership, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F6 · ownership.nature: The shares are held as follows: 756,463 by LV II and 31,721 by Sidecar.

Read SEC document
October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionCommon Stock 118,606 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · nonDerivative · entry 2

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 656,465

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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Joshua Wolfe and Peter Hebert are the individual managers of LCM LLC (the "Individual Managers"). LVPII and LCM LLC disclaim beneficial ownership of such shares, and this report shall not be deemed admission of beneficial ownership of such shares for purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F4 · ownership.nature: LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. As one of three individual managers, each Individual Manager disclaims beneficial ownership over the shares reported herein, and in all events disclaims beneficial ownership, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F5 · ownership.nature: The shares are held as follows: 630,045 by LV II and 26,420 by Sidecar.

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October 13, 2016 Filed Oct 17, 2016 20:25 UTC
Lux Ventures II, L.P.Former 10% Owner
ConversionCommon Stock 219,916 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146043 · doc4.xml · nonDerivative · entry 1

Lux Capital Management, LLC · CIK 0001592843 · Former 10% Owner

Lux Venture Associates II, LLC · CIK 0001592842 · Former 10% Owner

Lux Venture Partners II, L.P. · CIK 0001592756 · Former 10% Owner

Lux Ventures II Sidecar LP · CIK 0001343943 · Former 10% Owner

Lux Ventures II, L.P. · CIK 0001592755 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 537,859

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 reported securities converted into shares of the Issuer's common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: The shares are held as follows: 516,212 by Lux Ventures II, L.P. ("LVII") and 21,647 by Lux Ventures II Sidecar, L.P. ("Sidecar").

F3 · ownership.nature: Lux Venture Partners II, L.P. ("LVPII") is the general partner of LVII and Sidecar. Lux Venture Associates II, LLC ("LVAII") is the general partner of LVPII and Lux Capital Management, LLC ("LCM LLC") is the sole member of LVAII. Joshua Wolfe and Peter Hebert are the individual managers of LCM LLC (the "Individual Managers"). LVPII and LCM LLC disclaim beneficial ownership of such shares, and this report shall not be deemed admission of beneficial ownership of such shares for purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

F4 · ownership.nature: LCM LLC, as sole member of LVAII, may be deemed to share voting and investment powers for the shares held by LVII and Sidecar. As one of three individual managers, each Individual Manager disclaims beneficial ownership over the shares reported herein, and in all events disclaims beneficial ownership, and this report shall not be deemed an admission of beneficial ownership for the purposes of Section 16 or for any other purpose, except to the extent of their proportionate pecuniary interests therein.

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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.