Last 12 months
Inside the activity.
0 purchase rows · 4 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 20, 2020 Filed May 23, 2020 00:09 UTC |
TULLIS JAMES L LDirector · 10% owner
|
OtherCommon Stock | 1,162 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-031883 · doc4.xml · nonDerivative · entry 1 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,624,003 F1 · kind: Tullis Growth (as defined in Footnote 2 below) distributed in the aggregate 1,162 shares of Common Stock of Exagen Inc. (the "Shares") to its general partner, and its general partner then distributed the Shares to its members on a pro rata basis, for no consideration, including 582 of such Shares to James L.L. Tullis. F1 · shares: Tullis Growth (as defined in Footnote 2 below) distributed in the aggregate 1,162 shares of Common Stock of Exagen Inc. (the "Shares") to its general partner, and its general partner then distributed the Shares to its members on a pro rata basis, for no consideration, including 582 of such Shares to James L.L. Tullis. F2 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 17:06 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
OtherCommon Stock | 7,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-20-001148 · es2000648_4-hhlp.xml · nonDerivative · entry 1 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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: 1,486,518 F1 · kind: Pro rata distribution from a limited partnership. F2 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each disclaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| April 13, 2020 Filed Apr 16, 2020 00:34 UTC |
PALLARES EBETUELDirector
|
OtherCommon Stock | 1,185 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-024575 · doc4.xml · nonDerivative · entry 2 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,185 F3 · kind: Dr. Pallares received shares distributed by PCM on a pro rata basis for no consideration to its limited partners. Read SEC document |
| April 13, 2020 Filed Apr 16, 2020 00:34 UTC |
PALLARES EBETUELDirector
|
OtherCommon Stock | 144,033 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-024575 · doc4.xml · nonDerivative · entry 1 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: PCM/Exagen, L.P. (PCM) distributed 144,033 shares of Common Stock of the Issuer to its limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: The shares reported on this form are held of record by PCM/Exgen, L.P. Ebetuel Palleres is co-manager of PCM. As a result, each of PCM and Dr. Palleres may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 24, 2020 Filed Mar 26, 2020 23:17 UTC |
Zack DebraChief Medical Officer
|
GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $13.44 | $0.00 |
DisclosureSEC source: 0001209191-20-021345 · doc4.xml · derivative · entry 1 Zack Debra · CIK 0001807743 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-03-23 F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on March 24, 2021, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 19:49 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
OtherCommon Stock | 164,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-021042 · doc4.xml · nonDerivative · entry 1 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 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: 1,625,165 F1 · kind: Tullis and Tullis Growth, respectively, (as each is defined in Footnote (2) below) distributed in the aggregate 164,420 shares of Common Stock of Exagen Inc. to their respective non-affiliate limited partners on a pro rata basis, for no consideration. F1 · shares: Tullis and Tullis Growth, respectively, (as each is defined in Footnote (2) below) distributed in the aggregate 164,420 shares of Common Stock of Exagen Inc. to their respective non-affiliate limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. Read SEC document |
| March 20, 2020 Filed Mar 24, 2020 23:50 UTC |
TULLIS JAMES L LDirector · 10% owner
|
OtherCommon Stock | 164,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-021043 · doc4.xml · nonDerivative · entry 1 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,625,165 F1 · kind: Tullis and Tullis Growth, respectively, (as each is defined in Footnote (2) below) distributed in the aggregate 164,420 shares of Common Stock of Exagen Inc. to their respective non-affiliate limited partners on a pro rata basis, for no consideration. F1 · shares: Tullis and Tullis Growth, respectively, (as each is defined in Footnote (2) below) distributed in the aggregate 164,420 shares of Common Stock of Exagen Inc. to their respective non-affiliate limited partners on a pro rata basis, for no consideration. F2 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Exercise / conversionWarrants · Derivative | 2,265 | $0.00 Strike: $1.84 | $0.00 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · derivative · entry 6 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 2,265 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The warrants are currently exercisable and will expire on March 31, 2026. F4 · derivative.expiration_date: The warrants are currently exercisable and will expire on March 31, 2026. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Exercise / conversionWarrants · Derivative | 22,427 | $0.00 Strike: $1.84 | $0.00 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · derivative · entry 5 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 22,427 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The warrants are currently exercisable and will expire on January 19, 2026. F3 · derivative.expiration_date: The warrants are currently exercisable and will expire on January 19, 2026. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Tax withholdingCommon Stock | 214 | $19.51 | $4,174.50 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · nonDerivative · entry 4 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 144,033 F3 · shares: The warrants are currently exercisable and will expire on January 19, 2026. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Exercise / conversionCommon Stock | 2,265 | $1.84 | $4,167.60 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · nonDerivative · entry 3 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 144,247 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 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Tax withholdingCommon Stock | 2,112 | $19.51 | $41,198.78 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · nonDerivative · entry 2 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 141,982 F2 · shares: Represents the cashless net exercise of a warrant through the surrender of shares to the Issuer based on a fair market value of $19.507 per share, as determined by the average closing price of the Issuer's common stock for the ten trading days immediately preceding the date of exercise. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| March 11, 2020 Filed Mar 27, 2020 22:07 UTC |
PALLARES EBETUELDirector
|
Exercise / conversionCommon Stock | 22,427 | $1.84 | $41,265.68 |
DisclosureSEC source: 0001209191-20-021486 · doc4.xml · nonDerivative · entry 1 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 144,094 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 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| January 09, 2020 Filed Jan 9, 2020 22:09 UTC |
Rocca Fortunato R.Director · President and CEO
|
GrantStock Option(right to buy) · Derivative | 155,000 | $0.00 Strike: $24.19 | $0.00 |
DisclosureSEC source: 0001274737-20-000013 · wf-form4_157860776060573.xml · derivative · entry 1 Rocca Fortunato R. · CIK 0001492734 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,000 Underlying: Stock Option(right to buy) · 155,000 shares Expires 2030-01-08 F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on January 1, 2021, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| January 09, 2020 Filed Jan 9, 2020 22:08 UTC |
Adawi KamalChief Financial Officer
|
GrantStock Option(right to buy) · Derivative | 52,500 | $0.00 Strike: $24.19 | $0.00 |
DisclosureSEC source: 0001274737-20-000012 · wf-form4_157860767626977.xml · derivative · entry 1 Adawi Kamal · CIK 0001788393 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 Underlying: Stock Option(right to buy) · 52,500 shares Expires 2030-01-08 F1 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on January 1, 2021, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:43 UTC |
H.I.G. Bio-Exagen, L.P.10% owner
H.I.G.-GPII, Inc.10% owner
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 233,446,519 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024078 · doc4.xml · derivative · entry 3 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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 · 1,271,252 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F2 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:43 UTC |
H.I.G. Bio-Exagen, L.P.10% owner
H.I.G.-GPII, Inc.10% owner
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
|
PurchaseCommon Stock | 425,000 | $14.00 | $5,950,000.00 |
DisclosureSEC source: 0000899243-19-024078 · doc4.xml · nonDerivative · entry 2 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 1,696,252 F1 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:43 UTC |
H.I.G. Bio-Exagen, L.P.10% owner
H.I.G.-GPII, Inc.10% owner
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
|
ConversionCommon Stock | 1,271,252 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024078 · doc4.xml · nonDerivative · entry 1 H.I.G. Bio-Exagen, L.P. · CIK 0001788396 · 10% owner H.I.G.-GPII, Inc. · CIK 0001788482 · 10% owner TAMER ANTHONY · CIK 0001050045 · 10% owner MNAYMNEH SAMI · CIK 0001050046 · 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: 1,271,252 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 · ownership.nature: The shares reported on this form are held of record by H.I.G. Bio-Exagen, L.P. ("H.I.G."). H.I.G.-GPII, Inc. ("H.I.G. GP") is the general partner of H.I.G. and has sole voting and investment control over the shares owned by H.I.G. Anthony Tamer and Sami Mnaymneh are the sole shareholders of H.I.G. GP and may be deemed to share beneficial ownership of the shares held by H.I.G. Bio-Exagen, L.P. Each of Mr. Tamer and Mr. Mnaymneh disclaims beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 58,359,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · derivative · entry 9 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 317,804 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 · derivative.exercise_price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F13 · ownership.nature: Includes 106,897 shares, 105,453 shares and 105,453 shares of common stock underlying the Series H shares held by Tullis, Tullis Growth and Tullis Growth II, respectively. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 81,166,266 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · derivative · entry 8 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 441,998 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. F10 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F11 · ownership.nature: Includes 242,226 and 199,771 shares of common stock underlying the Series F shares held by Tullis and Tullis Growth, respectively. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 53,251,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · derivative · entry 7 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 929,432 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. F8 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F9 · ownership.nature: Includes 656,282 and 273,150 shares of common stock underlying the Series E shares held by Tullis and Tullis Growth, respectively. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 5,446,902 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · derivative · entry 6 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 95,069 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. F7 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F2 · ownership.nature: Represents securities held of record by Tullis. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 468,321 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · derivative · entry 5 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,550 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. F6 · derivative.exercise_price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F2 · ownership.nature: Represents securities held of record by Tullis. Read SEC document |
| September 23, 2019 Filed Sep 23, 2019 21:50 UTC |
Tullis Growth Fund, L.P.10% owner
TULLIS GROWTH FUND II, L.P.10% owner
|
ConversionCommon Stock | 1,786,853 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024086 · doc4.xml · nonDerivative · entry 3 TULLIS DICKERSON CAPITAL FOCUS III, L.P. · CIK 0001144359 · 10% owner Tullis Growth Fund, L.P. · CIK 0001606950 · 10% owner TULLIS GROWTH FUND II, L.P. · CIK 0001746842 · 10% owner TULLIS DICKERSON PARTNERS III, L.L.C. · CIK 0001144364 · 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: 1,789,585 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 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
PALLARES EBETUELDirector
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 7,970,686 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024082 · doc4.xml · derivative · entry 6 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 43,405 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F5 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F5 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F5 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
PALLARES EBETUELDirector
|
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 4,423,371 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024082 · doc4.xml · derivative · entry 5 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 77,204 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F4 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
PALLARES EBETUELDirector
|
ConversionCommon Stock | 120,609 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024082 · doc4.xml · nonDerivative · entry 3 PALLARES EBETUEL · CIK 0001614597 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 121,667 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 · ownership.nature: The shares reported on this form are held of record by PCM/Exagen, L.P. ("PCM"). Ebetuel Pallares is a co-manager of PCM. As a result, each of PCM and Dr. Pallares may be deemed to share beneficial ownership of the shares held of record by PCM. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 54,145,517 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · derivative · entry 12 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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 · 294,854 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. F10 · derivative.exercise_price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 60,028,640 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · derivative · entry 11 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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 · 326,891 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. F9 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 37,096,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · derivative · entry 10 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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 · 647,476 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. F8 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 1,330,416 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · derivative · entry 9 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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 · 23,221 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. F7 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 219,548 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · derivative · entry 8 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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 · 1,195 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. F6 · derivative.exercise_price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
Hunt Holdings Limited Partnership10% owner
HuntVest, LLC10% owner
Hunt Guaranty Inc.10% owner
Hunt Woody L10% owner
|
ConversionCommon Stock | 1,293,637 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024084 · doc4.xml · nonDerivative · entry 4 Hunt Holdings Limited Partnership · CIK 0001788338 · 10% owner HuntVest, LLC · CIK 0001788613 · 10% owner Hunt Guaranty Inc. · CIK 0001788612 · 10% owner Hunt Woody L · CIK 0001339890 · 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: 1,478,815 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 · ownership.nature: Represents securities held of record by Hunt Holdings Limited Partnership. Woody L. Hunt is the majority shareholder of Hunt Guaranty Inc., which is the sole member of HuntVest, LLC, which is the general partner of Hunt Holdings Limited Partnership. As a result, Mr. Hunt and each of the foregoing entities may be deemed to beneficially own the securities held by Hunt Holdings Limited Partnership, but each dislcaims beneficial ownership of such securities except to the extent of his or its respective pecuniary interest therein, if any. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 53,054,485 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 13 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 288,913 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 · derivative.exercise_price: Includes 448,921 and 672,308 shares of common stock underlying the Series E shares held by NMSIC and NMSIC Focused, respectively. F14 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F14 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F14 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 112,958,220 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 12 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 615,123 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 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F13 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F6 · ownership.nature: Represents securities held of record by NMSIC Focused. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 64,239,884 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 11 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,121,230 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. F9 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F11 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F12 · ownership.nature: Includes 448,921 and 672,308 shares of common stock underlying the Series E shares held by NMSIC and NMSIC Focused, respectively. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries D Redeemable Convertible Preferred Stock · Derivative | 3,373,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 10 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 58,882 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. F8 · derivative.exercise_price: Represents securities held of record by NMSIC. F10 · price: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series D Redeemable Convertible Preferred Stock (the "Series D") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series D automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 8,081,136 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 9 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 141,046 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. F7 · derivative.exercise_price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F9 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 607,168 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · derivative · entry 8 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 3,306 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Represents warrants that previously entitled the holders to purchase Series E Redeemable Convertible Preferred Stock, which, pursuant to their terms, were settled in shares of the Issuer's Common Stock. F7 · price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. F8 · ownership.nature: Represents securities held of record by NMSIC. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
NMSIC Co-Investment Fund, L.P.10% owner
NMSIC Focused LLC10% owner
Sun Mountain Capital Partners LLC10% owner
|
ConversionCommon Stock | 2,228,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024083 · doc4.xml · nonDerivative · entry 4 NMSIC Co-Investment Fund, L.P. · CIK 0001788331 · 10% owner NMSIC Focused LLC · CIK 0001788394 · 10% owner Sun Mountain Capital Partners LLC · CIK 0001788530 · 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: 2,560,362 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 · ownership.nature: The shares reported on this form are held of record by NMSIC Co-Investment Fund, L.P. ("NMSIC") and NMSIC Focused, LLC ("NMSIC Focused"). NMSIC is the sole member of NMSIC Focused. Sun Mountain Capital Partners LLC ("Sun Mountain") is the general partner of NMSIC. The controlling members of Sun Mountain are Brian Birk, Sally Coming and Lee Rand. As such, each of these entities and individuals may be deemed to share beneficial ownership of the shares held of record by NMSIC and NMSIC Focused. Each of Sun Mountain, Mr. Birk, Ms. Coming and Mr. Rand disclaims beneficial ownership of the securities held of record by NMSIC and NMSIC Focused. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 58,359,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 16 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 317,804 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 · derivative.exercise_price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F13 · ownership.nature: Includes 106,897 shares, 105,453 shares and 105,453 shares of common stock underlying the Series H shares held by Tullis, Tullis Growth and Tullis Growth II, respectively. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative | 742,761 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 15 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,045 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 · derivative.exercise_price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · price: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.exercise_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F12 · derivative.expiration_date: The Series H Redeemable Convertible Preferred Stock ("Series H") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series H automatically converted into Common Stock upon the closing of the Issuer's initial public offering. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 81,166,226 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 14 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 441,998 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. F10 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F11 · ownership.nature: Includes 242,226 and 199,771 shares of common stock underlying the Series F shares held by Tullis and Tullis Growth, respectively. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 833,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 13 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 4,537 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. F10 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 262,821 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 12 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 1,431 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. F10 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative | 6,895,096 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 11 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,547 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. F10 · derivative.exercise_price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · price: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.exercise_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F10 · derivative.expiration_date: The Series F Redeemable Convertible Preferred Stock ("Series F") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series F automatically converted into Common Stock upon the closing of the Issuer's initial public offering. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative | 53,251,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 10 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 929,432 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. F8 · derivative.exercise_price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · price: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.exercise_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F8 · derivative.expiration_date: The Series E Redeemable Convertible Preferred Stock (the "Series E") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series E automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F9 · ownership.nature: Includes 656,282 and 273,150 shares of common stock underlying the Series E shares held by Tullis and Tullis Growth, respectively. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 5,446,902 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 9 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 95,069 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. F7 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · price: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F7 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock (the "Series C") is convertible into the Issuer's Common Stock on a 57.294-for-one basis at the holder's election and has no expiration date. The Series C automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F2 · ownership.nature: Represents securities held of record by Tullis. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative | 468,321 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · derivative · entry 8 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,550 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. F6 · derivative.exercise_price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · price: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.exercise_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F6 · derivative.expiration_date: The Series A-3 Redeemable Convertible Preferred Stock (the "Series A-3") is convertible into the Issuer's Common Stock on a 183.635-for-one basis at the holder's election and has no expiration date. The Series A-3 automatically converted into Common Stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. F2 · ownership.nature: Represents securities held of record by Tullis. Read SEC document |
| September 23, 2019 Filed Sep 24, 2019 01:45 UTC |
TULLIS JAMES L LDirector · 10% owner
|
ConversionCommon Stock | 1,786,853 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-024081 · doc4.xml · nonDerivative · entry 6 TULLIS JAMES L L · CIK 0001230641 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,789,585 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 · ownership.nature: The shares reported on this form are held of record by Tullis-Dickerson Capital Focus III, L.P. ("Tullis"), Tullis Growth Fund, L.P. ("Tullis Growth") and Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis-Dickerson Partners III, LLC ("Tullis Partners") is the general partner of Tullis and may be deemed to beneficially own the securities held by Tullis. Tullis Growth Partners, LLC and Tullis Growth Partners II, LLC are the general partners of Tullis Growth and Tullis Growth II, respectively, and may be deemed to beneficially own the securities held by Tullis Growth and Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis, Tullis Growth and Tullis Growth II. 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.