Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CICERO INCCICN · Entity 149678 | Director · 10% owner | March 27, 2019 | March 29, 2019 |
| DigitalBridge Group, Inc.DBRG · Entity 4232 | Director | July 15, 2022 | July 19, 2022 |
| IsoPlexis CorpISO · Entity 115290 | 10% owner | October 12, 2021 | October 14, 2021 |
| PATRIOT NATIONAL BANCORP INCPNBK · Entity 6625 | (1) and (2) | March 31, 2021 | April 27, 2021 |
| ProSomnus, Inc.OSA · Entity 94197 | 10% owner | December 06, 2023 | December 08, 2023 |
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.
CICERO INC
Report date March 27, 2019 · Filed March 29, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2029-03-27 | Direct | 37,334,407 |
Reported balance
After 2019-03-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-03-27 · Purchase · Acquired 17,000,787 · Balance 37,334,407 F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares. |
| Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 | Direct | 9,333 |
Reported balance
After 2019-03-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-03-27 · Purchase · Acquired 4,250 · Balance 9,333 F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares. F2: The Series A Preferred Shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The purchase price is included in the note exchange between Mr. Steffens and the Company for the exchange of $4,250,197 of debt and interest exchanged for 4,250 Series A Preferred Stock and a warrant for 17,000,787 common shares.
F2: The Series A Preferred Shares have no expiration date.
DigitalBridge Group, Inc.
Report date July 15, 2022 · Filed July 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred StockSEC Table II · derivative / convertible security | Direct | 279,908 |
Reported balance
After 2022-07-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-07-15 · Grant · Acquired 27,328 · Balance 279,908 F1: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy.
F2: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer.
IsoPlexis Corp
Report date October 12, 2021 · Filed October 14, 2021
Jointly reported with Spring Mountain Capital G.P., LLC, SMC Growth Capital II GP, LLC, SMC Growth Capital Partners II, LP, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Holdings II G.P., LLC, SMC Holdings II, LP, Ho Gregory P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy SMC Growth Capital Partners II, LP | 3,726,732 |
Last balance in matching sequence
After 2021-10-12 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2021-10-12 · Conversion · Acquired 894,128 · Balance 894,128 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F5: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 2 · 2021-10-12 · Conversion · Acquired 338,959 · Balance 1,233,087 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F6: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 3 · 2021-10-12 · Conversion · Acquired 630,209 · Balance 1,863,296 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F7: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 4 · 2021-10-12 · Conversion · Acquired 739,033 · Balance 2,602,329 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F8: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 5 · 2021-10-12 · Conversion · Acquired 689,267 · Balance 3,291,596 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F9: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 6 · 2021-10-12 · Conversion · Acquired 435,136 · Balance 3,726,732 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F10: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy SMC Private Equity Holdings, LP | 2,270,287 |
Last balance in matching sequence
After 2021-10-12 transaction · row 11
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 7 · 2021-10-12 · Conversion · Acquired 744,083 · Balance 744,083 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F11: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 8 · 2021-10-12 · Conversion · Acquired 459,781 · Balance 1,203,864 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F12: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 9 · 2021-10-12 · Conversion · Acquired 415,337 · Balance 1,619,201 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F13: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 10 · 2021-10-12 · Conversion · Acquired 215,950 · Balance 1,835,151 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F14: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Row 11 · 2021-10-12 · Conversion · Acquired 435,136 · Balance 2,270,287 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F15: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy SMC Holdings II, LP | 67,642 |
Reported balance
After 2021-10-12 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2021-10-12 · Conversion · Acquired 67,642 · Balance 67,642 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F16: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-10-12 · Conversion · Disposed 107,604 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-10-12 · Conversion · Disposed 39,726 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Private Equity Holdings, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-10-12 · Conversion · Disposed 87,398 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Holdings II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2021-10-12 · Conversion · Disposed 7,945 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2021-10-12 · Conversion · Disposed 73,571 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Private Equity Holdings, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2021-10-12 · Conversion · Disposed 53,480 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2021-10-12 · Conversion · Disposed 84,347 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Private Equity Holdings, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2021-10-12 · Conversion · Disposed 47,403 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2021-10-12 · Conversion · Disposed 78,999 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Private Equity Holdings, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2021-10-12 · Conversion · Disposed 24,833 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Growth Capital Partners II, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2021-10-12 · Conversion · Disposed 51,522 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectBy SMC Private Equity Holdings, LP | 0 |
Reported balance
After 2021-10-12 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2021-10-12 · Conversion · Disposed 51,522 · Balance 0 F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
F5: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F6: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F7: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F8: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F9: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F10: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F11: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F12: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F13: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F14: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F15: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
F16: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.
PATRIOT NATIONAL BANCORP INC
Report date March 31, 2021 · Filed April 27, 2021
Jointly reported with SMC Holdings I, LP, SMC Holdings I G.P., LLC, Ho Gregory P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 427,691 |
Reported balance
Holding disclosure · report date 2021-03-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 427,691 F1: SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings. |
Filing footnotes · ownership attribution and instrument terms
F1: SMC Holdings I, LP, a Delaware limited partnership ("SMC Holdings"), directly holds 427,691 shares of Common Stock of Patriot National Bancorp, Inc. (the "Issuer"). SMC Holdings I G.P., LLC, a Delaware limited liability company ("SMC GP"), is the general partner of SMC Holdings. John L. Steffens ("Mr. Steffens") and Gregory P. Ho ("Mr. Ho") each serves as a Managing Member of SMC GP. Each of SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the shares of Common Stock held by SMC Holdings.
ProSomnus, Inc.
Report date December 06, 2023 · Filed December 08, 2023
Jointly reported with SMC Holdings II, LP, SMC Holdings II G.P., LLC, Ho Gregory P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2028-09-20 | Direct | 2,228,484 |
Reported balance
After 2023-12-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-12-06 · Other · Acquired 2,228,484 · Balance 2,228,484 F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 | Direct | 2,338,154 |
Reported balance
After 2023-12-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-12-06 · Other · Acquired 2,338,154 · Balance 2,338,154 F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F6: The Series A Stock is perpetual and therefore has no expiration date. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Subordinated Secured Convertible Notes Due April 6, 2026SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2026-04-06 | Direct | 2,630,289 |
Reported balance
After 2023-12-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-06 · Other · Acquired 2,630,289 · Balance 2,630,289 F3: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock. F4: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable. F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"),
F2: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023.
F3: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock.
F4: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable.
F5: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F6: The Series A Stock is perpetual and therefore has no expiration date.
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AMERICAN POWER GROUP Corp
Report date December 19, 2017 · Filed December 21, 2017
Jointly reported with Spring Mountain Capital, LLC, SMC Select Co-Investment Fund I LP, SMC Select Co-Investment I GP, LLC, Spring Mountain Capital G.P., LLC, Spring Mountain Capital, LP, SMC Employees Partnership, Ho Gregory P., SMC Reserve Fund II, LP
Section 16 reporting ended · disclosed 2017-12-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-12-19 · Sale · Disposed 1,947,370 · Balance 0 F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-12-19 · Sale · Disposed 954,209 · Balance 0 F6: SMC EP sold 954,209 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-12-19 · Sale · Disposed 1,740,585 · Balance 0 F15: SMC Reserve II sold 1,740,585 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-12-19 · Sale · Disposed 4,123,095 · Balance 0 F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-12-19 · Sale · Disposed 5,077,704 · Balance 0 F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-12-19 · Sale · Disposed 133.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2017-12-19 · Sale · Disposed 65.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2017-12-19 · Sale · Disposed 213.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-12-19 · Sale · Disposed 2,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-12-19 · Sale · Disposed 833,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2017-12-19 · Sale · Disposed 1,225,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2017-12-19 · Sale · Disposed 408,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2017-12-19 · Sale · Disposed 4,000,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2017-12-19 · Sale · Disposed 1,333,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-12-19 · Sale · Disposed 399.9999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2017-12-19 · Sale · Disposed 465.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2017-12-19 · Sale · Disposed 7,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2017-12-19 · Sale · Disposed 2,499,999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2017-12-19 · Sale · Disposed 8,725,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-12-19 · Sale · Disposed 2,908,332 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein.
F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP.
F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
F6: SMC EP sold 954,209 shares of Common Stock.
F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.
F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.
F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.
F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.
F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
F15: SMC Reserve II sold 1,740,585 shares of Common Stock.
F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.
Colony Capital, Inc.
Report date January 10, 2017 · Filed January 13, 2017
Section 16 reporting ended · disclosed 2017-01-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-01-10 transaction · row 1
1 source rowRow 1 · 2017-01-10 · Disposition to issuer · Disposed 35,252 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plans of Merger, dated as of June 2, 2016 (as amended by the two separate letter agreements dated July 28, 2016 and October 16, 2016, respectively, the "Merger Agreement"), by and among NorthStar Asset Management Group Inc. ("NSAM"), Colony Capital, Inc. ("Colony"), NorthStar Realty Finance Corp., Colony NorthStar, Inc. (formerly known as New Polaris Inc.) ("Colony NorthStar"), New Sirius Inc., NorthStar Realty Finance Limited Partnership, Sirius Merger Sub-T, LLC and New Sirius Merger Sub, LLC, at the effective time of the merger of Colony into Colony NorthStar ("Merger"), each share of Colony class A common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class A common stock, which converted shares of Colony NorthStar class A common stock shall be timely reported in accordance with Section 16 of the Securities Exchnge Act of 1934, as amended. F2: On the effective date of the Merger, the closing price of Colony's class A common stock was $21.52 per share, and the closing price of Colony NorthStar's class A common stock (as successor issuer of NSAM under Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended) was $15.84 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of that certain Agreement and Plans of Merger, dated as of June 2, 2016 (as amended by the two separate letter agreements dated July 28, 2016 and October 16, 2016, respectively, the "Merger Agreement"), by and among NorthStar Asset Management Group Inc. ("NSAM"), Colony Capital, Inc. ("Colony"), NorthStar Realty Finance Corp., Colony NorthStar, Inc. (formerly known as New Polaris Inc.) ("Colony NorthStar"), New Sirius Inc., NorthStar Realty Finance Limited Partnership, Sirius Merger Sub-T, LLC and New Sirius Merger Sub, LLC, at the effective time of the merger of Colony into Colony NorthStar ("Merger"), each share of Colony class A common stock converted into the right to receive 1.4663 shares of Colony NorthStar's class A common stock, which converted shares of Colony NorthStar class A common stock shall be timely reported in accordance with Section 16 of the Securities Exchnge Act of 1934, as amended.
F2: On the effective date of the Merger, the closing price of Colony's class A common stock was $21.52 per share, and the closing price of Colony NorthStar's class A common stock (as successor issuer of NSAM under Rule 12g-3(a) of the Securities Exchange Act of 1934, as amended) was $15.84 per share.
GRESHAM WORLDWIDE, INC.
Report date August 27, 2020 · Filed August 31, 2020
Jointly reported with Spring Mountain Capital, LLC, Spring Mountain Capital G.P., LLC, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Select Co-Investment I GP, LLC, SMC Select Co-Investment Fund I LP, Ho Gregory P.
Section 16 reporting ended · disclosed 2020-08-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-08-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-08-27 · Sale · Disposed 62,715 · Balance 0 F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP"). |
| Series B Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-08-27 · Sale · Disposed 8,704.44 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. |
| Series C Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-08-27 · Sale · Disposed 3,020.35 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. |
| Series D Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-08-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-08-27 · Sale · Disposed 5,111.86 · Balance 0 F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP. F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").
F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.
F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.
F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.
F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.
F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.
Starwood Waypoint Homes
Report date June 30, 2017 · Filed July 03, 2017
Section 16 reporting ended · disclosed 2017-07-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 6,702 |
Reported balance
After 2017-06-30 transaction · row 1
1 source rowRow 1 · 2017-06-30 · Grant · Acquired 464 · Balance 6,702 F1: Reporting person elected to receive their quarterly compensation for service as a trustee of the issuer in common shares of the issuer pursuant to the Non-Executive Trustee Share Plan, under which the fair value per share upon award was $34.99. |
Filing footnotes · ownership attribution and instrument terms
F1: Reporting person elected to receive their quarterly compensation for service as a trustee of the issuer in common shares of the issuer pursuant to the Non-Executive Trustee Share Plan, under which the fair value per share upon award was $34.99.
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 |
|---|---|---|---|---|---|---|
| December 06, 2023 Filed Dec 8, 2023 16:16 UTC | ProSomnus, Inc. OSA · Entity 94197 | OtherSubordinated Secured Convertible Notes Due April 6, 2026 · Derivative | 2,630,289 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001213900-23-094394 · ownership.xml · derivative · entry 3 SMC Holdings II, LP · CIK 0001545867 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,630,289 Underlying: Common Stock · 2,630,289 shares Expires 2026-04-06 F3 · kind: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock. F4 · kind: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable. F3 · price: On October 11, 2023, the Issuer entered into an Exchange Agreement with the noteholders party thereto, including Holdings, pursuant to which the Issuer issued to Holdings a new subordinated secured convertible note due April 6, 2026 in the principal amount of $3,256,549 (the "Convertible Note") in exchange for the subordinated secured convertible note due April 6, 2026 that the Issuer originally issued to Holdings on or about December 6, 2022. Prior to the receipt of Stockholder Approval, the Convertible Note was convertible into shares of Common Stock at a conversion price of $5.20 per share for an aggregate of 626,260 shares of Common Stock. Following the receipt of Stockholder Approval, the Convertible Note became convertible into Common Stock at a conversion price of $1.00 per share for an aggregate of 3,256,549 shares of Common Stock. F4 · price: (Continued from Footnote 3) This Form 4 reports the acquisition of beneficial ownership of an additional 2,630,289 shares of Common Stock issuable upon conversion of the Convertible Note as a result of the receipt of Stockholder Approval. The Convertible Note is currently exercisable. F5 · ownership.direct: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 06, 2023 Filed Dec 8, 2023 16:16 UTC | ProSomnus, Inc. OSA · Entity 94197 | OtherSeries A Convertible Preferred Stock · Derivative | 2,338,154 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001213900-23-094394 · ownership.xml · derivative · entry 2 SMC Holdings II, LP · CIK 0001545867 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,338,154 Underlying: Common Stock · 2,338,154 shares Expires not disclosed F1 · kind: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2 · kind: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F1 · price: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2 · price: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F6 · derivative.expiration_date: The Series A Stock is perpetual and therefore has no expiration date. F5 · ownership.direct: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 06, 2023 Filed Dec 8, 2023 16:16 UTC | ProSomnus, Inc. OSA · Entity 94197 | OtherWarrants · Derivative | 2,228,484 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001213900-23-094394 · ownership.xml · derivative · entry 1 SMC Holdings II, LP · CIK 0001545867 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,228,484 Underlying: Common Stock · 2,228,484 shares Expires 2028-09-20 F1 · kind: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2 · kind: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F1 · price: On September 20, 2023, the Issuer entered into a Securities Purchase Agreement (the "SPA") with SMC Holdings II, LP, a Delaware limited partnership ("Holdings"), and the other investors named therein, pursuant to which Holdings purchased an aggregate of (A) 3,300 shares of the Series A Convertible Preferred Stock of the Issuer ("Series A Stock"), with 2,400 shares being purchased at a closing on September 20, 2023 and 900 shares purchased at a closing on October 20, 2023, and (B) warrants ("Warrants") to purchase 2,228,484 shares of the common stock of the Issuer ("Common Stock"). Each share of Series A Stock is convertible into 1,000 shares of Common Stock. Prior to the date on which the Issuer obtained stockholder approval for all of the Common Stock issuable in respect of the convertible securities issued pursuant to or contemplated by the SPA ("Stockholder Approval"), F2 · price: (Continued from Footnote 1) the Warrants were not exercisable and Holdings could only convert its shares of Series A Stock into an aggregate of 961,846 shares of Common Stock. Following the receipt of Stockholder Approval on December 6, 2023, all of the Warrants became exercisable, and the Series A Stock became convertible into 3,300,000 shares of Common Stock. This Form 4 reports the acquisition of beneficial ownership of all of the shares of Common Stock issuable upon exercise of the Warrants and of the additional 2,338,154 shares of Common Stock issuable upon conversion of the Series A Stock as a result of the receipt of Stockholder Approval. The foregoing description is not, and does not purport to be, complete, and is qualified in its entirety by reference to the full text of the SPA, which was filed as Exhibit 10.1 to the Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 21, 2023. F5 · ownership.direct: The reported securities are directly owned by Holdings, and may be deemed to be indirectly beneficially owned by SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), as general partner of Holdings. The reported securities may also be deemed to be indirectly beneficially owned by each of John L. Steffens and Gregory P. Ho, as the managing members of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho disclaims beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this filing shall not be deemed an admission that he or it is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| July 15, 2022 Filed Jul 19, 2022 17:01 UTC | DigitalBridge Group, Inc. DBRG · Entity 4232 | GrantDeferred Stock · Derivative | 27,328 | $4.94 | $135,000.32 |
DisclosureSEC source: 0001679688-22-000089 · wf-form4_165826449774445.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,908 Underlying: Class A Common Stock · 27,328 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| May 06, 2022 Filed May 10, 2022 17:33 UTC | DigitalBridge Group, Inc. DBRG · Entity 4232 | GrantDeferred Stock · Derivative | 26,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001679688-22-000069 · wf-form4_165221835106181.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,580 Underlying: Class A Common Stock · 26,718 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 6, 2023. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 6, 2023. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 6, 2023. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 6, 2023. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. Read SEC document |
| April 15, 2022 Filed Apr 19, 2022 19:29 UTC | DigitalBridge Group, Inc. DBRG · Entity 4232 | GrantDeferred Stock · Derivative | 4,202 | $7.14 | $30,002.28 |
DisclosureSEC source: 0001679688-22-000046 · wf-form4_165041096692217.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,862 Underlying: Class A Common Stock · 4,202 shares Expires not disclosed F1 · security: 1. Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: 2. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: 2. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: 2. Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| November 05, 2021 Filed Nov 9, 2021 17:00 UTC | DigitalBridge Group, Inc. DBRG · Entity 4232 | GrantClass A Common Stock | 34,938 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-043655 · doc4.xml · nonDerivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,628 F1 · shares: Represents shares of Class A Common Stock granted to the reporting person in connection with the cancellation of deferred stock units ("Deferred Stock") previously issued pursuant to deferral elections subsequently determined to be invalid due to an administrative error. F1 · price: Represents shares of Class A Common Stock granted to the reporting person in connection with the cancellation of deferred stock units ("Deferred Stock") previously issued pursuant to deferral elections subsequently determined to be invalid due to an administrative error. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative | 51,522 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 24 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 0 Underlying: Common Stock · 412,176 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative | 51,522 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 23 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 412,176 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 24,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 22 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 0 Underlying: Common Stock · 198,664 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries C Redeemable Convertible Preferred Stock · Derivative | 78,999 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 21 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 631,992 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries B-2 Redeemable Convertible Preferred Stock · Derivative | 47,403 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 20 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 0 Underlying: Common Stock · 379,224 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries B-2 Redeemable Convertible Preferred Stock · Derivative | 84,347 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 19 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 674,776 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries B Redeemable Convertible Preferred Stock · Derivative | 53,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 18 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 0 Underlying: Common Stock · 427,840 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries B Redeemable Convertible Preferred Stock · Derivative | 73,571 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 17 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 588,568 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative | 7,945 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 16 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Holdings II, LP Disclosed balance after: 0 Underlying: Common Stock · 63,560 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · ownership.nature: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative | 87,398 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 15 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 0 Underlying: Common Stock · 699,184 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative | 39,726 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 14 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 317,808 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionSeries A Redeemable Convertible Preferred Stock · Derivative | 107,604 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 13 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 0 Underlying: Common Stock · 860,832 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 67,642 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 12 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Holdings II, LP Disclosed balance after: 67,642 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F16 · shares: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · ownership.nature: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 435,136 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 11 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 2,270,287 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F15 · shares: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 215,950 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 10 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 1,835,151 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F14 · shares: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 415,337 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 9 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 1,619,201 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F13 · shares: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 459,781 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 8 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 1,203,864 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F12 · shares: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 744,083 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 7 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Private Equity Holdings, LP Disclosed balance after: 744,083 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F11 · shares: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 435,136 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 6 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 3,726,732 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F10 · shares: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 689,267 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 5 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 3,291,596 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F9 · shares: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 739,033 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 4 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 2,602,329 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F8 · shares: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 630,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 3 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 1,863,296 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F7 · shares: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 338,959 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 2 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 1,233,087 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F6 · shares: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 12, 2021 Filed Oct 14, 2021 16:11 UTC | IsoPlexis Corp ISO · Entity 115290 | ConversionCommon Stock | 894,128 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 1 Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner SMC Holdings II, LP · CIK 0001545867 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Steffens John · CIK 0001373619 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SMC Growth Capital Partners II, LP Disclosed balance after: 894,128 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 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F5 · shares: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021. F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| May 07, 2021 Filed May 11, 2021 18:05 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 25,437 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-019124 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,656 Underlying: Class A Common Stock · 25,437 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2022. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2022. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2022. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2022. The amount of Deferred Stock was determined by dividing the fixed grant value of $175,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. Read SEC document |
| April 15, 2021 Filed Apr 16, 2021 16:15 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 4,571 | $6.70 | $30,625.70 |
DisclosureSEC source: 0000899243-21-016108 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,219 Underlying: Class A Common Stock · 4,571 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| January 15, 2021 Filed Jan 20, 2021 17:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 6,225 | $4.92 | $30,627.00 |
DisclosureSEC source: 0000899243-21-002506 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,648 Underlying: Class A Common Stock · 6,225 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 16:30 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 9,880 | $3.10 | $30,628.00 |
DisclosureSEC source: 0000899243-20-028619 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,423 Underlying: Class A Common Stock · 9,880 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 18:40 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | SaleSeries D Convertible Voting Perpetual Preferred Stock · Derivative | 5,111.86 | $53.15 | $271,695.36 |
DisclosureSEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 4 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,079 shares Expires not disclosed F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F5 · shares: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP. F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 18:40 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | SaleSeries C Convertible Voting Perpetual Preferred Stock · Derivative | 3,020.35 | $54.26 | $163,884.19 |
DisclosureSEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 3 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,136 shares Expires not disclosed F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F4 · shares: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens. F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 18:40 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | SaleSeries B Convertible Voting Perpetual Preferred Stock · Derivative | 8,704.44 | $81.77 | $711,762.06 |
DisclosureSEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 2 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 58,030 shares Expires not disclosed F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F3 · shares: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens. F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date. F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities. Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 18:40 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | SaleCommon Stock | 62,715 | $3.86 | $242,079.90 |
DisclosureSEC source: 0001104659-20-100926 · tm2029949-2_4.xml · nonDerivative · entry 1 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP"). Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 18:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 13,258 | $2.31 | $30,625.98 |
DisclosureSEC source: 0000899243-20-019555 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,543 Underlying: Class A Common Stock · 13,258 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| May 07, 2020 Filed May 11, 2020 18:48 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 81,219 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-012649 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,285 Underlying: Class A Common Stock · 81,219 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer equity compensation payable in accordance with the Issuer's non-executive director compensation policy in connection with the reporting person's recent re-election to the Issuer's board of directors. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · price: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in the Issuer's Class A Common Stock, on a one-for-one basis, after the reporting person's separation from service with the Issuer. The Deferred Stock is scheduled to vest on May 7, 2021. The amount of Deferred Stock was determined by dividing the fixed grant value of $160,000 by the closing price of the Issuer's common stock on the New York Stock Exchange on the business day prior to the grant date. Read SEC document |
| April 15, 2020 Filed Apr 17, 2020 20:16 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | OtherDeferred Stock · Derivative | 7,064 | $2.11 | $14,905.04 |
DisclosureSEC source: 0000899243-20-010924 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,066 Underlying: Class A Common Stock · 7,064 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 1,771 of which is scheduled to vest on May 9, 2020. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| April 15, 2020 Filed Apr 17, 2020 20:16 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 14,515 | $2.11 | $30,626.65 |
DisclosureSEC source: 0000899243-20-010924 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,002 Underlying: Class A Common Stock · 14,515 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 17:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | OtherDeferred Stock · Derivative | 2,768 | $4.91 | $13,590.88 |
DisclosureSEC source: 0000899243-20-001384 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,487 Underlying: Class A Common Stock · 2,768 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 745 of which is scheduled to vest on May 9, 2020. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| January 15, 2020 Filed Jan 17, 2020 17:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 9,207 | $4.91 | $45,206.37 |
DisclosureSEC source: 0000899243-20-001384 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,719 Underlying: Class A Common Stock · 9,207 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| October 15, 2019 Filed Oct 17, 2019 19:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | OtherDeferred Stock · Derivative | 2,337 | $5.46 | $12,760.02 |
DisclosureSEC source: 0000899243-19-025710 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,512 Underlying: Class A Common Stock · 2,337 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 657 of which is scheduled to vest on May 9, 2020. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| October 15, 2019 Filed Oct 17, 2019 19:00 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | GrantDeferred Stock · Derivative | 5,266 | $5.46 | $28,752.36 |
DisclosureSEC source: 0000899243-19-025710 · doc4.xml · derivative · entry 1 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,175 Underlying: Class A Common Stock · 5,266 shares Expires not disclosed F1 · security: Represents the receipt of deferred stock units ("Deferred Stock") granted by the Issuer in respect of the reporting person's election to defer cash compensation payable in accordance with the Issuer's non-executive director compensation policy. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 10:22 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | OtherSeries C Convertible Voting Perpetual Preferred Stock · Derivative | 404.3 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-037352 · tv526299_4.xml · derivative · entry 2 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Reserve Fund II Offshore LP · CIK 0001364925 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,020.37 Underlying: Common Stock · 40,430 shares Expires not disclosed F1 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. F2 · kind: On July 31, 2019, in connection with the wind up and dissolution of Reporting Person SMC Reserve Fund II Offshore, LP ("SMC Offshore"), SMC Offshore distributed in-kind, without consideration (the "SMC Distribution"), all of the securities of the Issuer owned by SMC Offshore as follows: (i) to Reporting Person Spring Mountain Capital G.P., LLC ("SMC GP"), 97.54 shares of Series B Preferred Stock and 82.81 shares of Series C Preferred Stock and (ii) to an unaffiliated third party, 476.25 shares of Series B Preferred Stock and 404.30 shares of Series C Preferred Stock. The disposition to the unaffiliated third party is reported in Table II. F3 · kind: The disposition to SMC GP is not reported in Table II, as the shares of Series B Preferred Stock and Series C Preferred Stock transferred by SMC Offshore to SMC GP will continue to be beneficially owned by certain of the remaining Reporting Persons due to the relationships set forth in Exhibit 99.1 to the Form 3 filed on January 9, 2019. As a result of the SMC Distribution, SMC Offshore no longer beneficially owns any securities of the Issuer. This Form 4 is an 'exit filing' for SMC Offshore. F1 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. F1 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 10:22 UTC | GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 | OtherSeries B Convertible Voting Perpetual Preferred Stock · Derivative | 476.25 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-19-037352 · tv526299_4.xml · derivative · entry 1 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner SMC Reserve Fund II Offshore LP · CIK 0001364925 · 10% owner SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,704.44 Underlying: Common Stock · 47,625 shares Expires not disclosed F1 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. F2 · kind: On July 31, 2019, in connection with the wind up and dissolution of Reporting Person SMC Reserve Fund II Offshore, LP ("SMC Offshore"), SMC Offshore distributed in-kind, without consideration (the "SMC Distribution"), all of the securities of the Issuer owned by SMC Offshore as follows: (i) to Reporting Person Spring Mountain Capital G.P., LLC ("SMC GP"), 97.54 shares of Series B Preferred Stock and 82.81 shares of Series C Preferred Stock and (ii) to an unaffiliated third party, 476.25 shares of Series B Preferred Stock and 404.30 shares of Series C Preferred Stock. The disposition to the unaffiliated third party is reported in Table II. F3 · kind: The disposition to SMC GP is not reported in Table II, as the shares of Series B Preferred Stock and Series C Preferred Stock transferred by SMC Offshore to SMC GP will continue to be beneficially owned by certain of the remaining Reporting Persons due to the relationships set forth in Exhibit 99.1 to the Form 3 filed on January 9, 2019. As a result of the SMC Distribution, SMC Offshore no longer beneficially owns any securities of the Issuer. This Form 4 is an 'exit filing' for SMC Offshore. F1 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. F1 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 19:03 UTC | DigitalBridge Group, Inc. CLNY · Entity 4232 | OtherDeferred Stock · Derivative | 2,346 | $5.06 | $11,870.76 |
DisclosureSEC source: 0000899243-19-019802 · doc4.xml · derivative · entry 2 Steffens John · CIK 0001373619 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,909 Underlying: Class A Common Stock · 2,346 shares Expires not disclosed F3 · security: Represents Deferred Stock granted pursuant to dividend equivalent rights on previously awarded Deferred Stock, 693 of which is scheduled to vest on May 9, 2020. F2 · derivative.exercise_price: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.exercise_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. F2 · derivative.expiration_date: Deferred Stock has no expiration date and is payable in Class A Common Stock after the reporting person's separation from service with the Issuer. 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.