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EXAGEN INC.

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935
SEC CIK
0001274737
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161

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202602
Mar 202601
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202601
Oct 202600

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2020 Filed May 23, 2020 00:09 UTC
TULLIS JAMES L LDirector · 10% owner
OtherCommon Stock 1,162 $0.00 $0.00
Disclosure

SEC 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.

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April 13, 2020 Filed Apr 15, 2020 17:06 UTC
HuntVest, LLC10% owner
Hunt Woody L10% owner
OtherCommon Stock 7,703 $0.00 $0.00
Disclosure

SEC 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.

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April 13, 2020 Filed Apr 16, 2020 00:34 UTC OtherCommon Stock 1,185 $0.00 $0.00
Disclosure

SEC 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.

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April 13, 2020 Filed Apr 16, 2020 00:34 UTC OtherCommon Stock 144,033 $0.00 $0.00
Disclosure

SEC 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.

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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
Disclosure

SEC 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

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March 20, 2020 Filed Mar 24, 2020 19:49 UTC OtherCommon Stock 164,420 $0.00 $0.00
Disclosure

SEC 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.

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March 20, 2020 Filed Mar 24, 2020 23:50 UTC
TULLIS JAMES L LDirector · 10% owner
OtherCommon Stock 164,420 $0.00 $0.00
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Exercise / conversionWarrants · Derivative 2,265 $0.00 Strike: $1.84 $0.00
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Exercise / conversionWarrants · Derivative 22,427 $0.00 Strike: $1.84 $0.00
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Tax withholdingCommon Stock 214 $19.51 $4,174.50
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Exercise / conversionCommon Stock 2,265 $1.84 $4,167.60
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Tax withholdingCommon Stock 2,112 $19.51 $41,198.78
Disclosure

SEC 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.

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March 11, 2020 Filed Mar 27, 2020 22:07 UTC Exercise / conversionCommon Stock 22,427 $1.84 $41,265.68
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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September 23, 2019 Filed Sep 23, 2019 21:43 UTC
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative 233,446,519 Not disclosed Not disclosed
Disclosure

SEC 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.

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September 23, 2019 Filed Sep 23, 2019 21:43 UTC
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
PurchaseCommon Stock 425,000 $14.00 $5,950,000.00
Disclosure

SEC 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.

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September 23, 2019 Filed Sep 23, 2019 21:43 UTC
TAMER ANTHONY10% owner
MNAYMNEH SAMI10% owner
ConversionCommon Stock 1,271,252 $0.00 $0.00
Disclosure

SEC 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.

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September 23, 2019 Filed Sep 23, 2019 21:50 UTC ConversionSeries H Redeemable Convertible Preferred Stock · Derivative 58,359,932 Not disclosed Not disclosed
Disclosure

SEC 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.

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September 23, 2019 Filed Sep 23, 2019 21:50 UTC ConversionSeries F Redeemable Convertible Preferred Stock · Derivative 81,166,266 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 53,251,030 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries C Redeemable Convertible Preferred Stock · Derivative 5,446,902 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative 468,321 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionCommon Stock 1,786,853 $0.00 $0.00
Disclosure

SEC 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 ConversionSeries F Redeemable Convertible Preferred Stock · Derivative 7,970,686 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 4,423,371 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionCommon Stock 120,609 $0.00 $0.00
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionSeries H Redeemable Convertible Preferred Stock · Derivative 54,145,517 Not disclosed Not disclosed
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionSeries F Redeemable Convertible Preferred Stock · Derivative 60,028,640 Not disclosed Not disclosed
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 37,096,550 Not disclosed Not disclosed
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionSeries C Redeemable Convertible Preferred Stock · Derivative 1,330,416 Not disclosed Not disclosed
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative 219,548 Not disclosed Not disclosed
Disclosure

SEC 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
HuntVest, LLC10% owner
Hunt Woody L10% owner
ConversionCommon Stock 1,293,637 $0.00 $0.00
Disclosure

SEC 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 ConversionSeries H Redeemable Convertible Preferred Stock · Derivative 53,054,485 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries F Redeemable Convertible Preferred Stock · Derivative 112,958,220 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 64,239,884 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries D Redeemable Convertible Preferred Stock · Derivative 3,373,594 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries C Redeemable Convertible Preferred Stock · Derivative 8,081,136 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionSeries A-3 Redeemable Convertible Preferred Stock · Derivative 607,168 Not disclosed Not disclosed
Disclosure

SEC 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 ConversionCommon Stock 2,228,500 $0.00 $0.00
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.