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NUVB

Nuvation Bio Inc.

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4384
SEC CIK
0001811063
Parsed reports
184

Last 12 months

Inside the activity.

1 purchase rows · 16 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202508
Dec 202501
Jan 202600
Feb 202600
Mar 202600
Apr 202603
May 202600
Jun 202613
Jul 202600
Aug 202601
Sep 202600
Oct 202600

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
May 16, 2022 Filed Jun 28, 2022 23:11 UTC Amendment GrantStock Option (Right to Buy) · Derivative 140,713 $0.00 Strike: $4.05 $0.00
Disclosure

SEC source: 0001209191-22-039679 · doc4a.xml · derivative · entry 1

VERNON W ANTHONY · CIK 0001369091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,713

Underlying: Class A Common Stock · 140,713 shares

Expires 2032-05-15

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 16, 2023); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
May 16, 2022 Filed Jun 28, 2022 23:09 UTC Amendment GrantStock Option (Right to Buy) · Derivative 140,713 $0.00 Strike: $4.05 $0.00
Disclosure

SEC source: 0001209191-22-039678 · doc4a.xml · derivative · entry 1

FALBERG KATHRYN E · CIK 0001206977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,713

Underlying: Class A Common Stock · 140,713 shares

Expires 2032-05-15

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 16, 2023); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
May 16, 2022 Filed Jun 28, 2022 23:08 UTC Amendment GrantStock Option (Right to Buy) · Derivative 140,713 $0.00 Strike: $4.05 $0.00
Disclosure

SEC source: 0001209191-22-039677 · doc4a.xml · derivative · entry 1

BLICKENSTAFF KIM D · CIK 0001238913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,713

Underlying: Class A Common Stock · 140,713 shares

Expires 2032-05-15

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 16, 2023); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
May 16, 2022 Filed Jun 28, 2022 23:07 UTC Amendment GrantStock Option (Right to Buy) · Derivative 140,713 $0.00 Strike: $4.05 $0.00
Disclosure

SEC source: 0001209191-22-039676 · doc4a.xml · derivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,713

Underlying: Class A Common Stock · 140,713 shares

Expires 2032-05-15

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (May 16, 2023); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
April 05, 2022 Filed Apr 7, 2022 20:52 UTC SaleCommon Stock 2,500,000 $5.60 $14,000,000.00
Disclosure

SEC source: 0000899243-22-014279 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,457,340

F1 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
February 28, 2022 Filed Mar 2, 2022 17:00 UTC
Hanley David C.Chief Technical Operations
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001209191-22-014831 · doc4.xml · derivative · entry 1

Hanley David C. · CIK 0001865826 · Chief Technical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Class A Common Stock · 500,000 shares

Expires 2032-02-27

F1 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
February 28, 2022 Filed Mar 2, 2022 22:06 UTC
Hattersley GaryChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001209191-22-014872 · doc4.xml · derivative · entry 1

Hattersley Gary · CIK 0001521111 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Class A Common Stock · 500,000 shares

Expires 2032-02-27

F1 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
February 28, 2022 Filed Mar 2, 2022 21:57 UTC
Markel StacyChief People Officer
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001209191-22-014825 · doc4.xml · derivative · entry 2

Markel Stacy · CIK 0001734780 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Class A Common Stock · 500,000 shares

Expires 2032-02-27

F2 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date

Read SEC document
February 28, 2022 Filed Mar 2, 2022 19:32 UTC
Fox Jennifer A.Chief Financial Officer
GrantStock Option (Right to Buy) · Derivative 600,000 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001209191-22-014585 · doc4.xml · derivative · entry 2

Fox Jennifer A. · CIK 0001841557 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Class A Common Stock · 600,000 shares

Expires 2032-02-27

F2 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date

Read SEC document
February 28, 2022 Filed Mar 2, 2022 19:29 UTC
Hung DavidDirector · President and CEO · 10% owner
GrantStock Option (Right to Buy) · Derivative 2,000,000 $0.00 Strike: $5.06 $0.00
Disclosure

SEC source: 0001209191-22-014581 · doc4.xml · derivative · entry 2

Hung David · CIK 0001310880 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Class A Common Stock · 2,000,000 shares

Expires 2032-02-27

F2 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 2/28/2022, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
December 15, 2021 Filed Dec 17, 2021 22:13 UTC SaleCommon Stock 500,000 $10.07 $5,035,000.00
Disclosure

SEC source: 0000899243-21-048798 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund IV GP, L.P. · CIK 0001528383 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,957,340

F1 · price: The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
December 07, 2021 Filed Dec 9, 2021 20:59 UTC SaleCommon Stock 1,400,000 $9.80 $13,720,000.00
Disclosure

SEC source: 0000899243-21-047514 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,457,340

F1 · price: The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
November 24, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
PurchaseClass A Common Stock 21,758 $7.69 $167,229.81
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 6

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 4

Disclosed balance after: 1,169,241

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
November 24, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
PurchaseClass A Common Stock 163,268 $7.69 $1,254,861.52
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 5

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 3

Disclosed balance after: 7,361,675

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
November 23, 2021 Filed Nov 24, 2021 23:38 UTC SaleCommon Stock 36 $9.75 $351.00
Disclosure

SEC source: 0000899243-21-046103 · doc4.xml · nonDerivative · entry 2

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,857,376

F2 · price: The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
November 22, 2021 Filed Nov 24, 2021 23:38 UTC SaleCommon Stock 295,000 $9.76 $2,879,200.00
Disclosure

SEC source: 0000899243-21-046103 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,857,376

F1 · price: The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 21:31 UTC SaleCommon Stock 2,000,000 $9.25 $18,500,000.00
Disclosure

SEC source: 0000899243-21-043357 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,152,376

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.55 inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
October 29, 2021 Filed Nov 1, 2021 21:01 UTC SaleCommon Stock 45,000 $9.27 $417,150.00
Disclosure

SEC source: 0000899243-21-042174 · doc4.xml · nonDerivative · entry 2

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,152,376

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.26 to $9.28 inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:37 UTC
NODELMAN OLEGDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062590 · doc4.xml · derivative · entry 1

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:33 UTC GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062589 · doc4.xml · derivative · entry 1

BLICKENSTAFF KIM D · CIK 0001238913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:31 UTC GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062588 · doc4.xml · derivative · entry 1

WELCH DANIEL G · CIK 0001206199 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:30 UTC GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062587 · doc4.xml · derivative · entry 1

VERNON W ANTHONY · CIK 0001369091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:29 UTC GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062586 · doc4.xml · derivative · entry 1

FALBERG KATHRYN E · CIK 0001206977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 29, 2021 Filed Nov 3, 2021 01:29 UTC GrantStock Option (Right to Buy) · Derivative 45,229 $0.00 Strike: $9.17 $0.00
Disclosure

SEC source: 0001209191-21-062585 · doc4.xml · derivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,229

Underlying: Class A Common Stock · 45,229 shares

Expires 2031-10-28

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of: (i) the one-year anniversary of the grant date (October 29, 2022); or (ii) the next shareholder annual meeting, subject to the Reporting Person's continuous service through such applicable vesting date.

Read SEC document
October 28, 2021 Filed Nov 1, 2021 21:01 UTC SaleCommon Stock 1,015,000 $9.60 $9,744,000.00
Disclosure

SEC source: 0000899243-21-042174 · doc4.xml · nonDerivative · entry 1

Omega Fund V, L.P. · CIK 0001641354 · 10% owner

Omega Fund V GP, L.P. · CIK 0001641355 · 10% owner

Omega Fund V GP Manager, Ltd. · CIK 0001641348 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,197,376

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.50 to $9.65 inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.direct: The reported securities are held directly by Omega Fund V, L.P. ("Omega V"). The reported securities may be deemed to be beneficially owned by each of Omega Fund V GP, L.P. ("Omega V GP"), as the general partner of Omega V, and Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), as the general partner of Omega V GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of Omega V GP, Omega Fund V GP Manager and the Omega Directors disclaims beneficial ownership of the securities reported herein, except to the extent of its or their pecuniary interest therein, if any.

Read SEC document
July 31, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
SaleClass A Common Stock 56,598 $8.64 $489,006.72
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 4

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 4

Disclosed balance after: 1,147,483

F1 · kind: EcoR1 Capital Fund, L.P. ("Capital Fund") and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") are private investment funds managed by EcoR1 Capital, LLC ("EcoR1") on a parri passu basis. These securities were transferred from Capital Fund to Qualified Fund as part of a periodic rebalancing of the portfolios of the funds.

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
July 31, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
PurchaseClass A Common Stock 56,598 $8.64 $489,006.72
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 3

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 3

Disclosed balance after: 7,198,407

F1 · kind: EcoR1 Capital Fund, L.P. ("Capital Fund") and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") are private investment funds managed by EcoR1 Capital, LLC ("EcoR1") on a parri passu basis. These securities were transferred from Capital Fund to Qualified Fund as part of a periodic rebalancing of the portfolios of the funds.

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 18:36 UTC
Hanley David C.Chief Technical Operations
GrantStock Option (Right to Buy) · Derivative 187,500 $0.00 Strike: $13.60 $0.00
Disclosure

SEC source: 0001209191-21-037894 · doc4.xml · derivative · entry 2

Hanley David C. · CIK 0001865826 · Chief Technical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Class A Common Stock · 187,500 shares

Expires 2031-05-31

F2 · derivative.exercise_date: The shares subject to the Options will vest based on the satisfaction of both time-based and performance-based vesting criteria.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 18:36 UTC
Hanley David C.Chief Technical Operations
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $13.60 $0.00
Disclosure

SEC source: 0001209191-21-037894 · doc4.xml · derivative · entry 1

Hanley David C. · CIK 0001865826 · Chief Technical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Class A Common Stock · 250,000 shares

Expires 2031-05-31

F1 · derivative.exercise_date: 25% of the shares subject to the option vest on June 1, 2022 and 1/48 of the total number of shares subject to the option vest each month thereafter, subject to the Reporting Person's continuous service through each applicable vesting date.

Read SEC document
April 13, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 3,966 $10.27 $40,734.79
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 6

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 3

Disclosed balance after: 1,355,625

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
April 13, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 27,534 $10.27 $282,801.71
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 5

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 6,990,265

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F2 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
April 12, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 16,745 $9.49 $158,873.21
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 4

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 3

Disclosed balance after: 1,351,659

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
April 12, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 116,255 $9.49 $1,103,004.19
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 3

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 6,962,731

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F2 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
April 09, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 37,770 $10.03 $378,855.76
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 2

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 3

Disclosed balance after: 1,334,914

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
April 09, 2021 Filed Apr 13, 2021 17:55 UTC PurchaseClass A Common Stock 262,230 $10.03 $2,630,324.24
Disclosure

SEC source: 0001567619-21-007976 · doc1.xml · nonDerivative · entry 1

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 6,846,476

F1 · ownership.nature: EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F2 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
March 31, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
SaleClass A Common Stock 151,544 $10.45 $1,583,634.80
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 2

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 4

Disclosed balance after: 1,145,600

F1 · kind: EcoR1 Capital Fund, L.P. ("Capital Fund") and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") are private investment funds managed by EcoR1 Capital, LLC ("EcoR1") on a parri passu basis. These securities were transferred from Capital Fund to Qualified Fund as part of a periodic rebalancing of the portfolios of the funds.

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F4 · ownership.nature: Capital Fund is the record holder of these securities.

Read SEC document
March 31, 2021 Filed Nov 30, 2021 18:07 UTC
EcoR1 Capital, LLCAffiliate of Director
EcoR1 Capital Fund, L.P.Affiliate of Director
Biotech Opportunity GP, LLCAffiliate of Director
PurchaseClass A Common Stock 151,544 $10.45 $1,583,634.80
Disclosure

SEC source: 0001567619-21-021329 · doc1.xml · nonDerivative · entry 1

NODELMAN OLEG · CIK 0001454385 · Director

EcoR1 Capital, LLC · CIK 0001587114 · Affiliate of Director

EcoR1 Capital Fund, L.P. · CIK 0001567938 · Affiliate of Director

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · Affiliate of Director

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · Affiliate of Director

Biotech Opportunity GP, LLC · CIK 0001816370 · Affiliate of Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 2 and 3

Disclosed balance after: 6,735,790

F1 · kind: EcoR1 Capital Fund, L.P. ("Capital Fund") and EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") are private investment funds managed by EcoR1 Capital, LLC ("EcoR1") on a parri passu basis. These securities were transferred from Capital Fund to Qualified Fund as part of a periodic rebalancing of the portfolios of the funds.

F2 · ownership.nature: EcoR1 is the investment adviser to Capital Fund, Qualified Fund and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3 · ownership.nature: Qualified Fund is the record holder of these securities.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 21:16 UTC PurchaseClass A Common Stock 5,000 $9.98 $49,899.50
Disclosure

SEC source: 0001209191-21-024159 · doc4.xml · nonDerivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
March 09, 2021 Filed Mar 11, 2021 21:35 UTC
Hung DavidDirector · President and CEO · 10% owner
GrantStock Option (Right to Buy) · Derivative 224,760 $0.00 Strike: $12.66 $0.00
Disclosure

SEC source: 0001209191-21-019786 · doc4.xml · derivative · entry 2

Hung David · CIK 0001310880 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,760

Underlying: Common Stock · 224,760 shares

Expires 2031-03-08

F2 · derivative.exercise_date: Option vests upon the achievement of certain performance goals, including market-price goals, through the fifth anniversary of March 9, 2021, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 21:35 UTC
Hung DavidDirector · President and CEO · 10% owner
GrantStock Option (Right to Buy) · Derivative 165,465 $0.00 Strike: $12.66 $0.00
Disclosure

SEC source: 0001209191-21-019786 · doc4.xml · derivative · entry 1

Hung David · CIK 0001310880 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,465

Underlying: Common Stock · 165,465 shares

Expires 2031-03-08

F1 · derivative.exercise_date: Option vests as to 25% on the one year anniversary of 3/9/2021, and monthly thereafter over the following 36 months, subject to Reporting Person's continuous service on each such vesting date.

Read SEC document
March 02, 2021 Filed Mar 2, 2023 23:01 UTC
Hung DavidDirector · President and CEO · 10% owner
OtherClass A Common Stock 368,408 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-014890 · doc4.xml · nonDerivative · entry 1

Hung David · CIK 0001310880 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,281,054

F1 · shares: On March 2, 2021, the Reporting Person surrendered 368,408 shares of the Issuer's Class A Common Stock in connection with the satisfaction of the Issuer's obligations to GiraFpharma LLC.

F2 · balance_after: Includes 2,661 shares acquired on May 19, 2022 and 1 share acquired on November 18, 2022 under the Issuer's 2021 Employee Stock Purchase Plan.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantWarrant (Right to Buy) · Derivative 131,333 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · derivative · entry 12

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 131,333

Underlying: Class A Common Stock · 131,333 shares

Expires not disclosed

F3 · price: Acquired immediately prior to the closing of the Business Combination pursuant to the forward purchase agreement entered into with Panacea Acquisition Corp. ("Panacea") at the time of its initial public offering for a purchase price of $10.00 per one share of Class A common stock and one-third of one warrant to purchase one share of Class A common stock.

F9 · derivative.expiration_date: 5:00 p.m., New York City time, on February 10, 2026.

F5 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund, L.P. , which is the owner of record of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantWarrant (Right to Buy) · Derivative 702,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · derivative · entry 11

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 702,000

Underlying: Class A Common Stock · 702,000 shares

Expires not disclosed

F3 · price: Acquired immediately prior to the closing of the Business Combination pursuant to the forward purchase agreement entered into with Panacea Acquisition Corp. ("Panacea") at the time of its initial public offering for a purchase price of $10.00 per one share of Class A common stock and one-third of one warrant to purchase one share of Class A common stock.

F9 · derivative.expiration_date: 5:00 p.m., New York City time, on February 10, 2026.

F4 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund Qualified, L.P., which is the record owner of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantWarrant (Right to Buy) · Derivative 130,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · derivative · entry 10

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Liability Company

Disclosed balance after: 130,000

Underlying: Class A Common Stock · 130,000 shares

Expires not disclosed

F10 · price: Warrants included in units purchased in a private placement by EcoR1 Panacea Holdings, LLC for $10.00 per unit in connection with Panacea's initial public offering. Each unit consisted of one share of Class A common stock and one-third of one warrant to purchase one share of Class A common stock. Upon the closing of the Business Combination, the warrants may be deemed to be derivative securities for purposes of Section 16.

F9 · derivative.expiration_date: 5:00 p.m., New York City time, on February 10, 2026.

F2 · ownership.nature: EcoR1 Panacea Holdings, LLC, which is the owner of record of these securities, is managed by its managing members, EcoR1 Capital Fund, L.P., EcoR1 Capital Fund Qualified, L.P. and EcoR1 Venture Opportunity Fund, L.P. The general partner of EcoR1 Capital Fund, L.P. and EcoR1 Capital Fund Qualified, L.P. is EcoR1 Capital, LLC and the general partner of EcoR1 Venture Opportunity Fund, L.P. is Biotech Opportunity GP, LLC (together with EcoR1 Capital, LLC, the "General Partners"). Oleg Nodelman is the manager of each of the General Partners. Each of the Reporting Persons may be deemed a beneficial owner of shares held by EcoR1 Panacea Holdings, LLC but each (other than EcoR1 Panacea Holdings, LLC) disclaims beneficial ownership of any such shares except to the extent of its respective pecuniary interest therein.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
ConversionClass B Common Stock · Derivative 2,775,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · derivative · entry 9

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Liability Company

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,775,000 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 Class B Common Stock owned prior to the Business Combination (as defined below) was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of EcoR1 Panacea Holdings, LLC (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date.

F1 · derivative.exercise_date: Each share of Class B Common Stock owned prior to the Business Combination (as defined below) was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of EcoR1 Panacea Holdings, LLC (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date.

F1 · derivative.expiration_date: Each share of Class B Common Stock owned prior to the Business Combination (as defined below) was converted into one share of Class A Common Stock; the Class B Common Stock was convertible at any time at the election of EcoR1 Panacea Holdings, LLC (or would have automatically converted at the time of the issuer's initial business combination if not yet converted at such time) with no expiration date.

F2 · ownership.nature: EcoR1 Panacea Holdings, LLC, which is the owner of record of these securities, is managed by its managing members, EcoR1 Capital Fund, L.P., EcoR1 Capital Fund Qualified, L.P. and EcoR1 Venture Opportunity Fund, L.P. The general partner of EcoR1 Capital Fund, L.P. and EcoR1 Capital Fund Qualified, L.P. is EcoR1 Capital, LLC and the general partner of EcoR1 Venture Opportunity Fund, L.P. is Biotech Opportunity GP, LLC (together with EcoR1 Capital, LLC, the "General Partners"). Oleg Nodelman is the manager of each of the General Partners. Each of the Reporting Persons may be deemed a beneficial owner of shares held by EcoR1 Panacea Holdings, LLC but each (other than EcoR1 Panacea Holdings, LLC) disclaims beneficial ownership of any such shares except to the extent of its respective pecuniary interest therein.

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February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantClass A Common Stock 2,200,627 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · nonDerivative · entry 8

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 2,200,627

F7 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea, Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination").

F8 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Venture Opportunity Fund, LP, which is the owner of record of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantClass A Common Stock 515,879 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · nonDerivative · entry 7

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 1,297,144

F7 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea, Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination").

F5 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund, L.P. , which is the owner of record of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantClass A Common Stock 2,365,511 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · nonDerivative · entry 6

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 6,584,246

F7 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea, Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (such transaction, the "Business Combination").

F4 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund Qualified, L.P., which is the record owner of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantClass A Common Stock 387,265 $10.00 $3,872,650.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · nonDerivative · entry 5

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 781,265

F6 · price: Acquired pursuant to one of a number of subscription agreements that Panacea entered into with various investors pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination (as defined below), an aggregate of 47,655,000 shares of Class A Common Stock at a price of $10.00 per share.

F5 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund, L.P. , which is the owner of record of these securities.

Read SEC document
February 10, 2021 Filed Feb 12, 2021 20:59 UTC
NODELMAN OLEGDirector · 10% owner
GrantClass A Common Stock 2,112,735 $10.00 $21,127,350.00
Disclosure

SEC source: 0001209191-21-010503 · doc4.xml · nonDerivative · entry 4

NODELMAN OLEG · CIK 0001454385 · Director · 10% owner

EcoR1 Panacea Holdings, LLC · CIK 0001816134 · 10% owner

EcoR1 Capital Fund, L.P. · CIK 0001567938 · 10% owner

EcoR1 Capital Fund Qualified, L.P. · CIK 0001598292 · 10% owner

EcoR1 Venture Opportunity Fund, LP · CIK 0001778011 · 10% owner

EcoR1 Capital, LLC · CIK 0001587114 · 10% owner

Biotech Opportunity GP, LLC · CIK 0001816370 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 4,218,735

F6 · price: Acquired pursuant to one of a number of subscription agreements that Panacea entered into with various investors pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination (as defined below), an aggregate of 47,655,000 shares of Class A Common Stock at a price of $10.00 per share.

F4 · ownership.nature: Oleg Nodelman is the manager of EcoR1 Capital Fund Qualified, L.P., which is the record owner of these securities.

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.