organization · Reporting owner
Athyrium Capital Management, LP
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIORA THERAPEUTICS, INC.PROG · Entity 85047 | 10% owner | June 14, 2021 | June 14, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BIORA THERAPEUTICS, INC.
Report date June 14, 2021 · Filed June 14, 2021
Jointly reported with Ferrell Jeffrey, Athyrium Capital Holdings, LLC, Athyrium Funds GP Holdings LLC, NB Alternatives Holdings LLC, Athyrium Opportunities Advisers LLC, Athyrium Opportunities III Acquisition LP, NB ALTERNATIVES ADVISERS LLC, NB Alternatives GP Holdings LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 36,396,907 |
Reported balance
After 2021-06-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-06-14 · Purchase · Acquired 8,097,166 · Balance 36,396,907 F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2026-06-14 | IndirectSee footnotes | 8,097,166 |
Reported balance
After 2021-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-14 · Purchase · Acquired 8,097,166 · Balance 8,097,166 F4: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.
F2: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.
F3: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.
F4: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2021 Filed Jun 14, 2021 17:17 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseWarrant · Derivative | 8,097,166 | $2.47 Strike: $2.84 | $20,000,000.02 |
DisclosureSEC source: 0000899243-21-023629 · doc4.xml · derivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 8,097,166 Underlying: Common Stock · 8,097,166 shares Expires 2026-06-14 F4 · security: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F4 · derivative.underlying: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F4 · balance_after: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026. F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 14, 2021 Filed Jun 14, 2021 17:17 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 8,097,166 | $2.47 | $20,000,000.02 |
DisclosureSEC source: 0000899243-21-023629 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 36,396,907 F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant. F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:41 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 961,807 | $2.86 | $2,750,768.02 |
DisclosureSEC source: 0000899243-21-021805 · doc4.xml · nonDerivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 28,299,741 F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F3 · ownership.nature: The 961,807 shares of the Issuer's common stock are held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:41 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 306,308 | $2.86 | $876,040.88 |
DisclosureSEC source: 0000899243-21-021805 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 28,299,741 F1 · ownership.nature: The 306,308 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Purchase7.25% Convertible Senior Notes due 2025 · Derivative | 78,500,000 | $78,500,000.00 | $6,162,250,000,000,000.00 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · derivative · entry 3 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 78,500,000 Underlying: Common Stock · 21,823,737 shares Expires 2025-12-01 F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share. F5 · price: Athyrium Opportunities III Co-Invest 1 LP acquired such Convertible Notes in exchange for the discharge of amounts outstanding under the Issuer's credit and security agreement. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F6 · ownership.nature: The $78,500,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | Purchase7.25% Convertible Senior Notes due 2025 · Derivative | 25,000,000 | $25,000,000.00 | $625,000,000,000,000.00 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · derivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 25,000,000 Underlying: Common Stock · 6,950,235 shares Expires 2025-12-01 F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F4 · ownership.nature: The $25,000,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. Read SEC document |
| December 07, 2020 Filed Dec 9, 2020 17:35 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 4,128,440 | $3.27 | $13,499,998.80 |
DisclosureSEC source: 0000899243-20-033184 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 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: 26,991,626 F1 · ownership.nature: The 4,128,440 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionSeries B Preferred Stock · Derivative | 101,736,263 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · derivative · entry 5 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 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 · 18,319,853 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 B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · shares: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · derivative.exercise_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F4 · derivative.expiration_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC. F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionUnsecured Convertible Promissory Note · Derivative | Not disclosed | Not disclosed | $15,000,000.00 |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · derivative · entry 4 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 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: Not disclosed Underlying: Common Stock · 1,250,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · reported_value: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · derivative.exercise_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F3 · derivative.expiration_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionCommon Stock | 18,319,853 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 3 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 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: 23,303,346 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC. F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | ConversionCommon Stock | 1,250,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 2 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 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: 23,303,346 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 · price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022. F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 16:25 UTC | BIORA THERAPEUTICS, INC. PROG · Entity 85047 | PurchaseCommon Stock | 3,333,333 | $15.00 | $49,999,995.00 |
DisclosureSEC source: 0000899243-20-017653 · doc4.xml · nonDerivative · entry 1 Athyrium Capital Management, LP · CIK 0001728001 · 10% owner Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner Athyrium Capital Holdings, LLC · CIK 0001815216 · 10% owner Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner Athyrium Opportunities Advisers LLC · CIK 0001815484 · 10% owner NB Alternatives Advisers LLC · CIK 0001469000 · 10% owner NB Alternatives GP Holdings LLC · CIK 0001815407 · 10% owner NB Alternatives Holdings LLC · CIK 0001815501 · 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: 23,303,346 F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC. F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. 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.