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person · Reporting owner

Paster Anne-Mari

Disclosed activity across 9 companies

Tapewire entity
108426
SEC CIK
0001652863

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
IMMUNIC, INC.IMUX · Entity 630610% ownerApril 12, 2019April 22, 2019
Nuvation Bio Inc.NUVB · Entity 438410% ownerFebruary 10, 2021February 12, 2021
Replimune Group, Inc.REPL · Entity 470710% ownerApril 01, 2021April 05, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,371,494 Reported balance Holding disclosure · report date 2019-04-12 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,371,494

F1: On April 12, 2019, pursuant to an Exchange Agreement, dated as of January 6, 2019, between the Issuer (then known as Vital Therapies, Inc.), Immunic AG ("Immunic"), and the shareholders of Immunic party thereto (the "Exchange Agreement"), the holders of Immunic ordinary shares exchanged all of their outstanding shares for shares of Issuer common stock, resulting in Immunic becoming a wholly-owned subsidiary of the Issuer (the "Transaction"). Immediately following the Transaction, the Issuer changed its name to "Immunic, Inc." In connection with the Transaction, the Reporting Person received shares of common stock of the Issuer.

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

Filing footnotes · ownership attribution and instrument terms

F1: On April 12, 2019, pursuant to an Exchange Agreement, dated as of January 6, 2019, between the Issuer (then known as Vital Therapies, Inc.), Immunic AG ("Immunic"), and the shareholders of Immunic party thereto (the "Exchange Agreement"), the holders of Immunic ordinary shares exchanged all of their outstanding shares for shares of Issuer common stock, resulting in Immunic becoming a wholly-owned subsidiary of the Issuer (the "Transaction"). Immediately following the Transaction, the Issuer changed its name to "Immunic, Inc." In connection with the Transaction, the Reporting Person received shares of common stock of the Issuer.

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect27,712,373 Reported balance After 2021-02-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-02-10 · Conversion · Acquired 8,130,097 · Balance 27,712,373

F1: Received pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea") and Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (the "Issuer"). The transactions contemplated by the Merger Agreement are referred to herein as the "Business Combination."

F2: Includes 19,582,276 shares issued in connection with the conversion of shares of Class A Common Stock in the Business Combination, as defined herein.

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

Class A Common StockSEC Table I · non-derivativeDirect28,212,373 Reported balance After 2021-02-10 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-02-10 · Grant · Acquired 500,000 · Balance 28,212,373

F4: On October 20, 2020, the Issuer entered into subscription agreements (the "Subscription Agreements") with certain investors (the "PIPE Investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, as defined herein, an aggregate of $476,550,000 of the Issuer's shares of Class A Common Stock at a price of $10.00 per share, or an aggregate of 47,655,000 shares of Class A Common Stock. The Reporting Person is among the PIPE Investors.

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

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-02-10 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-02-10 · Conversion · Disposed 8,130,097 · Balance 0

F1: Received pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea") and Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (the "Issuer"). The transactions contemplated by the Merger Agreement are referred to herein as the "Business Combination."

F5: Each share of Series A Preferred Stock stock automatically converted into Class A Common Stock on a 1-for-1 basis immediately prior to the closing of the Business Combination and has no expiration date nor conversion price.

Filing footnotes · ownership attribution and instrument terms

F1: Received pursuant to the Agreement and Plan of Merger, dated as of October 20, 2020, by and among Panacea Acquisition Corp. ("Panacea") and Panacea Merger Subsidiary Corp., a direct, wholly-owned subsidiary of Panacea ("Merger Sub"), and Nuvation Bio Inc. ("Legacy Nuvation") pursuant to which, as a result of a merger between Legacy Nuvation and Merger Sub, Legacy Nuvation became a direct, wholly-owned subsidiary of Panacea, which subsequently changed its name to Nuvation Bio Inc. (the "Issuer"). The transactions contemplated by the Merger Agreement are referred to herein as the "Business Combination."

F2: Includes 19,582,276 shares issued in connection with the conversion of shares of Class A Common Stock in the Business Combination, as defined herein.

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

F4: On October 20, 2020, the Issuer entered into subscription agreements (the "Subscription Agreements") with certain investors (the "PIPE Investors") pursuant to which such investors agreed to purchase, immediately prior to the closing of the Business Combination, as defined herein, an aggregate of $476,550,000 of the Issuer's shares of Class A Common Stock at a price of $10.00 per share, or an aggregate of 47,655,000 shares of Class A Common Stock. The Reporting Person is among the PIPE Investors.

F5: Each share of Series A Preferred Stock stock automatically converted into Class A Common Stock on a 1-for-1 basis immediately prior to the closing of the Business Combination and has no expiration date nor conversion price.

Replimune Group, Inc.

Report date April 01, 2021 · Filed April 05, 2021

Jointly reported with Omega Fund IV, L.P., Omega Fund IV GP, L.P., Omega Fund IV G.P. Manager, Ltd., Stampacchia Otello

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.58Direct16,500 Reported balance After 2021-04-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2021-04-01 · Grant · Acquired 16,500 · Balance 16,500

F1: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2021 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia.

Filing footnotes · ownership attribution and instrument terms

F1: The Common Stock Options (the "Options") were granted to Otello Stampacchia in his capacity as a director of the issuer on April 1, 2021 (the "Grant Date"), with the Options vesting on the first anniversary of the Grant Date. The Options expire on the tenth anniversary of the Grant Date. The Options are held directly by Mr. Stampacchia.

Past disclosures · reporting ended (6)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Kezar Life Sciences, Inc.

Report date June 25, 2018 · Filed June 25, 2018

Jointly reported with Omega Fund IV, L.P., Omega Fund IV GP, L.P., Omega Fund IV G.P. Manager, Ltd., Stampacchia Otello, Lim Richard J.

Section 16 reporting ended · disclosed 2018-06-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect315,489 Reported balance After 2018-06-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-06-25 · Conversion · Acquired 315,489 · Balance 315,489

F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

Common StockSEC Table I · non-derivativeDirect693,272 Reported balance After 2018-06-25 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-06-25 · Conversion · Acquired 377,783 · Balance 693,272

F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

Common StockSEC Table I · non-derivativeIndirectBy Omega IV693,272 Last balance in matching sequence After 2018-06-25 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2018-06-25 · Conversion · Acquired 315,489 · Balance 315,489

F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Row 4 · 2018-06-25 · Conversion · Acquired 377,783 · Balance 693,272

F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-06-25 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-06-25 · Conversion · Disposed 315,489 · Balance 0

F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega IV0 Reported balance After 2018-06-25 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-06-25 · Conversion · Disposed 315,489 · Balance 0

F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-06-25 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-06-25 · Conversion · Disposed 377,783 · Balance 0

F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega IV0 Reported balance After 2018-06-25 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-06-25 · Conversion · Disposed 377,783 · Balance 0

F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

F3: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

Section 16 reporting ended · disclosed 2020-10-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,818,283 Last balance in matching sequence After 2020-10-14 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2020-10-14 · Conversion · Acquired 1,606,220 · Balance 1,625,671

F1: Each share of Series Seed Preferred Stock and Series A Preferred Stock (the "Preferred Stock") automatically converted into 1.055 shares of Common Stock upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Row 2 · 2020-10-14 · Conversion · Acquired 1,376,313 · Balance 3,001,984

F1: Each share of Series Seed Preferred Stock and Series A Preferred Stock (the "Preferred Stock") automatically converted into 1.055 shares of Common Stock upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Row 3 · 2020-10-14 · Conversion · Acquired 366,299 · Balance 3,368,283

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Row 4 · 2020-10-14 · Purchase · Acquired 450,000 · Balance 3,818,283

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Series Seed Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-10-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-10-14 · Conversion · Disposed 1,522,484 · Balance 0

F1: Each share of Series Seed Preferred Stock and Series A Preferred Stock (the "Preferred Stock") automatically converted into 1.055 shares of Common Stock upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-10-14 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-10-14 · Conversion · Disposed 1,304,563 · Balance 0

F1: Each share of Series Seed Preferred Stock and Series A Preferred Stock (the "Preferred Stock") automatically converted into 1.055 shares of Common Stock upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $16.15 · Expires 2022-02-20Direct0 Reported balance After 2020-10-14 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-10-14 · Conversion · Disposed Not disclosed · Balance 0

F3: The convertible promissory note automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series Seed Preferred Stock and Series A Preferred Stock (the "Preferred Stock") automatically converted into 1.055 shares of Common Stock upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: Otello Stampacchia, a director of the Issuer, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega V Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interests therein.

F3: The convertible promissory note automatically converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering.

Lexeo Therapeutics, Inc.

Report date November 07, 2023 · Filed November 09, 2023

Jointly reported with Omega Fund VI, L.P., Omega Fund VI GP, L.P., Omega Fund VI GP Manager, Ltd., Stampacchia Otello, Nessi Claudio

Section 16 reporting ended · disclosed 2023-11-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,415,865 Reported balance After 2023-11-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-11-07 · Conversion · Acquired 1,415,865 · Balance 1,415,865

F1: Upon the closing of the Issuer's initial public offering, each share of Series A convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-10.594230 basis. The shares had no expiration date.

Common StockSEC Table I · non-derivativeDirect1,703,078 Reported balance After 2023-11-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2023-11-07 · Conversion · Acquired 287,213 · Balance 1,703,078

F2: Upon the closing of the Issuer's initial public offering, each share of Series B convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-9.106601 basis, which reflects an anti-dilution adjustment to the conversion ratio pursuant to a provision of the Series B convertible preferred stock based on the pricing of the initial public offering (as described in the Reporting Person's Form 3). The shares had no expiration date.

Common StockSEC Table I · non-derivativeDirect2,157,623 Reported balance After 2023-11-07 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2023-11-07 · Purchase · Acquired 454,545 · Balance 2,157,623

Series A convertible preferred stockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-11-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-11-07 · Conversion · Disposed 14,999,999 · Balance 0

F1: Upon the closing of the Issuer's initial public offering, each share of Series A convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-10.594230 basis. The shares had no expiration date.

Series B convertible preferred stockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-11-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-11-07 · Conversion · Disposed 2,615,533 · Balance 0

F2: Upon the closing of the Issuer's initial public offering, each share of Series B convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-9.106601 basis, which reflects an anti-dilution adjustment to the conversion ratio pursuant to a provision of the Series B convertible preferred stock based on the pricing of the initial public offering (as described in the Reporting Person's Form 3). The shares had no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: Upon the closing of the Issuer's initial public offering, each share of Series A convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-10.594230 basis. The shares had no expiration date.

F2: Upon the closing of the Issuer's initial public offering, each share of Series B convertible preferred stock automatically converted into shares of the Issuer's common stock on a one-for-9.106601 basis, which reflects an anti-dilution adjustment to the conversion ratio pursuant to a provision of the Series B convertible preferred stock based on the pricing of the initial public offering (as described in the Reporting Person's Form 3). The shares had no expiration date.

Section 16 reporting ended · disclosed 2019-07-01. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,969,582 Last balance in matching sequence After 2019-07-01 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2019-07-01 · Conversion · Acquired 857,470 · Balance 857,470

F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

Row 2 · 2019-07-01 · Conversion · Acquired 1,978,779 · Balance 2,836,249

F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

Row 3 · 2019-07-01 · Purchase · Acquired 133,333 · Balance 2,969,582

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2019-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2019-07-01 · Conversion · Disposed 857,470 · Balance 0

F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2019-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2019-07-01 · Conversion · Disposed 1,978,779 · Balance 0

F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the issuer's Series A Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: Otello Stampacchia, a director of the issuer, Richard J. Lim, Claudio Nessi and Anne-Mari Paster are the directors of Omega Fund V GP Manager, Ltd. ("Omega Manager"), which is the sole general partner of Omega Fund GP, L.P. ("Omega GP"), which is the sole general partner of Omega Fund V, L.P. ("Omega L.P."). Such individuals may be deemed to share voting and dispositive power over the shares held by Omega L.P. Such individuals, together with Omega GP and Omega Manager, disclaim beneficial ownership of the shares held by Omega L.P. except to the extent of their respective pecuniary interest therein.

F3: Each share of the issuer's Series B Preferred Stock automatically converted into one share of the issuer's Common Stock on July 1, 2019 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.By Omega Fund V, L.P., by Omega Fund GP, L.P., its general partner, by Omega Fund V GP Manager, Ltd., its general partner, /s/ Anne-Mari Paster, Director

Theseus Pharmaceuticals, Inc.

Report date October 12, 2021 · Filed October 14, 2021

Jointly reported with Omega Fund VI, L.P., Omega Fund VI GP Manager, Ltd., Stampacchia Otello, Nessi Claudio

Section 16 reporting ended · disclosed 2021-10-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect711,479 Last balance in matching sequence After 2021-10-12 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2021-10-12 · Conversion · Acquired 523,979 · Balance 523,979

F1: Omega Fund VI, L.P. ("Omega VI") held 693,152 shares of the Issuer's Series B Preferred Stock. On October 12, 2021, the Series B Preferred Stock automatically converted into 523,979 shares of the Issuer's Common Stock on a 1-for-1.32286 reverse split basis, immediately prior to and in connection with the closing of a public offering of the Issuer's securities pursuant to an effective registration statement under the Securities Act of 1933, as amended (the "Securities Act") and without payment of further consideration.

F2: The reported securities are beneficially owned by Omega Fund VI, L.P. ("Omega VI"). The reported securities may be deemed to be beneficially owned by each of Omega Fund VI GP, L.P. ("Omega VI GP"), as the general partner of Omega VI, and Omega Fund VI GP Manager, Ltd. ("Omega VI GP Manager"), as the general partner of Omega VI GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega VI GP Manager and have shared voting and investment power over the shares held by Omega VI and, as a result, may each be deemed to beneficially own the reported securities. Each of such individuals disclaims beneficial ownership of the shares held by Omega VI.

F3: As of October 12, 2021 and after giving effect to the transactions reported above, Omega VI holds less than 10% of the outstanding shares of the Issuer's Common Stock.

Row 2 · 2021-10-12 · Purchase · Acquired 187,500 · Balance 711,479

F2: The reported securities are beneficially owned by Omega Fund VI, L.P. ("Omega VI"). The reported securities may be deemed to be beneficially owned by each of Omega Fund VI GP, L.P. ("Omega VI GP"), as the general partner of Omega VI, and Omega Fund VI GP Manager, Ltd. ("Omega VI GP Manager"), as the general partner of Omega VI GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega VI GP Manager and have shared voting and investment power over the shares held by Omega VI and, as a result, may each be deemed to beneficially own the reported securities. Each of such individuals disclaims beneficial ownership of the shares held by Omega VI.

F3: As of October 12, 2021 and after giving effect to the transactions reported above, Omega VI holds less than 10% of the outstanding shares of the Issuer's Common Stock.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-10-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-10-12 · Conversion · Disposed 693,152 · Balance 0

F1: Omega Fund VI, L.P. ("Omega VI") held 693,152 shares of the Issuer's Series B Preferred Stock. On October 12, 2021, the Series B Preferred Stock automatically converted into 523,979 shares of the Issuer's Common Stock on a 1-for-1.32286 reverse split basis, immediately prior to and in connection with the closing of a public offering of the Issuer's securities pursuant to an effective registration statement under the Securities Act of 1933, as amended (the "Securities Act") and without payment of further consideration.

F2: The reported securities are beneficially owned by Omega Fund VI, L.P. ("Omega VI"). The reported securities may be deemed to be beneficially owned by each of Omega Fund VI GP, L.P. ("Omega VI GP"), as the general partner of Omega VI, and Omega Fund VI GP Manager, Ltd. ("Omega VI GP Manager"), as the general partner of Omega VI GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega VI GP Manager and have shared voting and investment power over the shares held by Omega VI and, as a result, may each be deemed to beneficially own the reported securities. Each of such individuals disclaims beneficial ownership of the shares held by Omega VI.

F3: As of October 12, 2021 and after giving effect to the transactions reported above, Omega VI holds less than 10% of the outstanding shares of the Issuer's Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: Omega Fund VI, L.P. ("Omega VI") held 693,152 shares of the Issuer's Series B Preferred Stock. On October 12, 2021, the Series B Preferred Stock automatically converted into 523,979 shares of the Issuer's Common Stock on a 1-for-1.32286 reverse split basis, immediately prior to and in connection with the closing of a public offering of the Issuer's securities pursuant to an effective registration statement under the Securities Act of 1933, as amended (the "Securities Act") and without payment of further consideration.

F2: The reported securities are beneficially owned by Omega Fund VI, L.P. ("Omega VI"). The reported securities may be deemed to be beneficially owned by each of Omega Fund VI GP, L.P. ("Omega VI GP"), as the general partner of Omega VI, and Omega Fund VI GP Manager, Ltd. ("Omega VI GP Manager"), as the general partner of Omega VI GP. Otello Stampacchia, Claudio Nessi and Anne-Mari Paster are all the shareholders and directors of Omega VI GP Manager and have shared voting and investment power over the shares held by Omega VI and, as a result, may each be deemed to beneficially own the reported securities. Each of such individuals disclaims beneficial ownership of the shares held by Omega VI.

F3: As of October 12, 2021 and after giving effect to the transactions reported above, Omega VI holds less than 10% of the outstanding shares of the Issuer's Common Stock.

Section 16 reporting ended · disclosed 2018-07-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect979,179 Reported balance After 2018-07-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-07-02 · Conversion · Acquired 979,179 · Balance 979,179

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Common StockSEC Table I · non-derivativeDirect1,458,424 Reported balance After 2018-07-02 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-07-02 · Conversion · Acquired 1,458,424 · Balance 1,458,424

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Common StockSEC Table I · non-derivativeIndirectBy Omega IV979,179 Reported balance After 2018-07-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-07-02 · Conversion · Acquired 979,179 · Balance 979,179

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectBy Omega V1,458,424 Reported balance After 2018-07-02 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2018-07-02 · Conversion · Acquired 1,458,424 · Balance 1,458,424

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-07-02 · Conversion · Disposed 2,500,000 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2018-07-02 · Conversion · Disposed 5,800,000 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega IV0 Reported balance After 2018-07-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-07-02 · Conversion · Disposed 2,500,000 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-07-02 · Conversion · Disposed 1,676,348 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2018-07-02 · Conversion · Disposed 2,000,103 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega IV0 Reported balance After 2018-07-02 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-07-02 · Conversion · Disposed 1,676,348 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series C Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2018-07-02 · Conversion · Disposed 1,263,484 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series C Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2018-07-02 · Conversion · Disposed 302,173 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega IV0 Reported balance After 2018-07-02 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2018-07-02 · Conversion · Disposed 1,263,484 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega V0 Reported balance After 2018-07-02 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2018-07-02 · Conversion · Disposed 5,800,000 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega V0 Reported balance After 2018-07-02 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2018-07-02 · Conversion · Disposed 2,000,103 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Omega V0 Reported balance After 2018-07-02 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2018-07-02 · Conversion · Disposed 302,173 · Balance 0

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

F3: The reported securities are beneficially owned by Omega Fund V GP, L.P. ("Omega V GP"), as general partner of Omega Fund V, L.P. ("Omega V"). Omega Fund V GP Manager, Ltd. ("Omega V GP Manager"), is the general partner of Omega V GP. Otello Stampacchia, Richard Lim, Anne-Mari Paster and Claudio Nessi are all the shareholders and directors of Omega V GP Manager and have shared voting and investment power over the shares held by Omega V. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

Transaction history

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

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 02, 2018 Filed Jul 3, 2018 18:44 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionCommon Stock 979,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 2

Omega Fund IV, L.P. · CIK 0001528382 · 10% owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner

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

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

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

Stampacchia Otello · CIK 0001361712 · 10% owner

Lim Richard J. · CIK 0001623720 · 10% owner

Paster Anne-Mari · CIK 0001652863 · 10% owner

Nessi Claudio · CIK 0001722050 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omega IV

Disclosed balance after: 979,179

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 · price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega IV. Each of the Reporting Persons disclaim beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein, if any.

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July 02, 2018 Filed Jul 3, 2018 18:44 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionCommon Stock 979,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-019324 · doc4.xml · nonDerivative · entry 1

Omega Fund IV, L.P. · CIK 0001528382 · 10% owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · 10% owner

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

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

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

Stampacchia Otello · CIK 0001361712 · 10% owner

Lim Richard J. · CIK 0001623720 · 10% owner

Paster Anne-Mari · CIK 0001652863 · 10% owner

Nessi Claudio · CIK 0001722050 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 979,179

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 · price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionSeries B Redeemable Convertible Preferred Stock · Derivative 377,783 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 8

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omega IV

Disclosed balance after: 0

Underlying: Common Stock · 377,783 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F3 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F3 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionSeries B Redeemable Convertible Preferred Stock · Derivative 377,783 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 7

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 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 · 377,783 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F3 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F3 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionSeries A Redeemable Convertible Preferred Stock · Derivative 315,489 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 6

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omega IV

Disclosed balance after: 0

Underlying: Common Stock · 315,489 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: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionSeries A Redeemable Convertible Preferred Stock · Derivative 315,489 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · derivative · entry 5

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 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 · 315,489 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: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionCommon Stock 377,783 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 4

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omega IV

Disclosed balance after: 693,272

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionCommon Stock 377,783 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 3

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 693,272

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: The Series B Redeemable Convertible Preferred Stock ("Series B") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the IPO. The Series B had no expiration date.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionCommon Stock 315,489 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 2

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Omega IV

Disclosed balance after: 315,489

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 · price: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

F2 · ownership.direct: The reported securities are beneficially owned by Omega Fund IV GP, L.P. ("Omega IV GP"), as the general partner of Omega Fund IV, L.P. ("Omega IV"). Omega Fund IV G.P. Manager, Ltd. ("Omega IV GP Manager"), is the general partner of Omega IV GP. Otello Stampacchia, Richard Lim and Anne-Mari Paster are all the shareholders and directors of Omega IV GP Manager and have shared voting and investment power over the shares held by Omega Fund IV, L.P. Each of the Reporting Persons disclaims beneficial ownership of these securities, except to the extent of his, her or its pecuniary interest therein.

Read SEC document
June 25, 2018 Filed Jun 25, 2018 19:07 UTC Kezar Life Sciences, Inc. KZR · Entity 12111 ConversionCommon Stock 315,489 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-017995 · doc4.xml · nonDerivative · entry 1

Omega Fund IV, L.P. · CIK 0001528382 · Former 10% Owner

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

Omega Fund IV G.P. Manager, Ltd. · CIK 0001624456 · Former 10% Owner

Stampacchia Otello · CIK 0001361712 · Former 10% Owner

Lim Richard J. · CIK 0001623720 · Former 10% Owner

Paster Anne-Mari · CIK 0001652863 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,489

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 · price: The Series A Redeemable Convertible Preferred Stock ("Series A") converted automatically into shares of the issuer's common stock on a one-for-one basis upon the completion of the issuer's public offering of common stock pursuant the issuer's amended registration statement under the Securities Act of 1933, as amended, filed with the Commission on June 18, 2018 (the "IPO"). The Series A had no expiration date.

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.