organization · Reporting owner

Vivo Capital Fund IX, L.P.

Disclosed activity across 5 companies

Tapewire entity: 110674
SEC CIK: 0001750117

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040	10% owner	July 21, 2020	July 22, 2020

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.

ALX ONCOLOGY HOLDINGS INC

Report date July 21, 2020 · Filed July 22, 2020

Jointly reported with Vivo Capital IX, LLC, Vivo Opportunity, LLC, Vivo Opportunity Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	789,474	Reported balance After 2020-07-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-07-21 · Purchase · Acquired 789,474 · Balance 789,474 F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	4,034,522	Reported balance After 2020-07-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-07-21 · Conversion · Acquired 3,245,048 · Balance 4,034,522 F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	185,526	Reported balance After 2020-07-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-07-21 · Purchase · Acquired 185,526 · Balance 185,526 F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2020-07-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-07-21 · Conversion · Disposed 3,158,851 · Balance 0 F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.

Past disclosures · reporting ended (4)

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

IO Biotech, Inc.

Report date August 09, 2023 · Filed August 10, 2023

Jointly reported with Vivo Capital IX, LLC, Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P.

Section 16 reporting ended · disclosed 2023-08-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	3,157,894	Reported balance After 2023-08-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-08-09 · Purchase · Acquired 3,157,894 · Balance 3,157,894 F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.
Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.47	IndirectBy Vivo Opportunity Fund Holdings, L.P.	3,157,894	Reported balance After 2023-08-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-08-09 · Purchase · Acquired 3,157,894 · Balance 3,157,894 F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F3: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund IX, L.P.	3,015,545	Reported balance Holding disclosure · report date 2023-08-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 3,015,545

Filing footnotes · ownership attribution and instrument terms

F1: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein.

F2: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein.

F3: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise.

Instil Bio, Inc.

Report date March 23, 2021 · Filed March 25, 2021

Jointly reported with Vivo Capital IX, LLC

Section 16 reporting ended · disclosed 2021-03-25. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	12,486,787	Last balance in matching sequence After 2021-03-23 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2021-03-23 · Conversion · Acquired 11,709,696 · Balance 11,709,696 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Row 2 · 2021-03-23 · Conversion · Acquired 477,091 · Balance 12,186,787 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Row 3 · 2021-03-23 · Purchase · Acquired 300,000 · Balance 12,486,787 F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.
Series B Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2021-03-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-03-23 · Conversion · Disposed 9,758,080 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.
Series C Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2021-03-23 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-03-23 · Conversion · Disposed 397,576 · Balance 0 F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date.

F2: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.

Sierra Oncology, Inc.

Report date July 01, 2022 · Filed July 01, 2022

Jointly reported with Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Capital IX, LLC, VIVO VENTURES VII, LLC, Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Section 16 reporting ended · disclosed 2022-07-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-07-01 · Disposition to issuer · Disposed 161,712 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-07-01 · Disposition to issuer · Disposed 2,735,853 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2022-07-01 · Disposition to issuer · Disposed 431,947 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-07-01 · Disposition to issuer · Disposed 324,740 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-07-01 · Disposition to issuer · Disposed 1,455,384 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-07-01 · Disposition to issuer · Disposed 75,749 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest.

F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants.

Tarsus Pharmaceuticals, Inc.

Report date May 05, 2022 · Filed May 05, 2022

Jointly reported with Vivo Capital IX, LLC

Section 16 reporting ended · disclosed 2022-05-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,469,001	Reported balance After 2022-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-05-05 · Sale · Disposed 5,374 · Balance 2,469,001 F1: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.33, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.33, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

F2: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein.

Transaction history

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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
August 09, 2023 Filed Aug 10, 2023 13:03 UTC	IO Biotech, Inc. IOBT · Entity 8764	PurchaseWarrants (Right to Buy) · Derivative	3,157,894	$0.13 Strike: $2.47	$394,736.75	Disclosure SEC source: 0001213900-23-065297 · ownership.xml · derivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,157,894 Underlying: Common Stock · 3,157,894 shares Expires not disclosed F1 · kind: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F3 · derivative.exercise_date: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. F3 · derivative.expiration_date: These warrants expire at 5:00 p.m. on the earlier of (i) February 9, 2027, and (ii) one day prior to the closing of an Acquisition of the Issuer, as defined in the Form of Warrant, attached as Exhibit 4.1 to the Issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on August 7, 2023, provided that the holder will be prohibited from exercising these warrants if, after giving effect to such exercise, the holder (together with such holder's affiliates and any other persons acting as a group together) would beneficially own in excess of 9.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. F2 · ownership.nature: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein. Read SEC document
August 09, 2023 Filed Aug 10, 2023 13:03 UTC	IO Biotech, Inc. IOBT · Entity 8764	PurchaseCommon Stock	3,157,894	$1.90	$5,999,998.60	Disclosure SEC source: 0001213900-23-065297 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 3,157,894 F1 · kind: Purchase was made pursuant to that certain Securities Purchase Agreement dated as of August 7, 2023, by and among the Issuer and the purchasers named therein. F2 · ownership.nature: The securities are held directly by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund Holdings, L.P. As the managing members of Vivo Opportunity, LLC, Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang share voting and dispositive power over the securities held by Vivo Opportunity Fund Holdings, L.P., but each disclaims beneficial ownership of such securities except to the extent of their individual pecuniary interest therein. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	75,749	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 75,749 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F1 · ownership.nature: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	1,455,384	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,384 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	324,740	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,740 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F4 · ownership.nature: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	431,947	$55.00	$23,757,085.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · ownership.nature: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	2,735,853	$55.00	$150,471,915.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F3 · ownership.nature: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	161,712	$55.00	$8,894,160.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F1 · ownership.nature: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
May 05, 2022 Filed May 5, 2022 22:55 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	5,374	$12.25	$65,831.50	Disclosure SEC source: 0001213900-22-024317 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,469,001 F1 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.33, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
May 04, 2022 Filed May 5, 2022 00:01 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	19,738	$12.67	$250,080.46	Disclosure SEC source: 0001213900-22-024052 · ownership.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,474,375 F3 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $ 12.25 to $13.00 inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
May 03, 2022 Filed May 5, 2022 00:01 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	451,418	$13.25	$5,981,288.50	Disclosure SEC source: 0001213900-22-024052 · ownership.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,494,113 F2 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.05 to $13.89, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
May 02, 2022 Filed May 5, 2022 00:01 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	41,800	$15.19	$634,942.00	Disclosure SEC source: 0001213900-22-024052 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,945,531 F1 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $15.92, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
January 31, 2022 Filed Jan 31, 2022 21:30 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	PurchaseCommon Stock	800,000	$27.00	$21,600,000.00	Disclosure SEC source: 0001213900-22-004647 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 2,735,853 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	324,740	$13.20 Strike: $13.20	$4,286,568.00	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 107,164 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	1,455,384	$13.20 Strike: $13.20	$19,211,068.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 480,277 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	75,749	$13.20 Strike: $13.20	$999,886.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 24,996 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	107,164	$13.20	$1,414,564.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 431,947 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	480,277	$13.20	$6,339,656.40	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 1,935,853 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	24,996	$13.20	$329,947.20	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 161,712 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:16 UTC	IO Biotech, Inc. IOBT · Entity 8764	ConversionSeries C Preferred Stock · Derivative	188,168	$0.00	$0.00	Disclosure SEC source: 0001140361-21-037658 · form4.xml · derivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 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 · 2,365,545 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: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:16 UTC	IO Biotech, Inc. IOBT · Entity 8764	PurchaseCommon Stock	650,000	$14.00	$9,100,000.00	Disclosure SEC source: 0001140361-21-037658 · form4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,015,545 F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein Read SEC document
November 09, 2021 Filed Nov 12, 2021 21:16 UTC	IO Biotech, Inc. IOBT · Entity 8764	ConversionCommon Stock	2,365,545	Not disclosed	Not disclosed	Disclosure SEC source: 0001140361-21-037658 · form4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,365,545 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: Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein Read SEC document
June 25, 2021 Filed Jun 26, 2021 01:30 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	7,704	$29.60	$228,038.40	Disclosure SEC source: 0001213900-21-034310 · ownership.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,987,331 F3 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.0 to $29.5, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
June 24, 2021 Filed Jun 26, 2021 01:30 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	10,000	$29.90	$299,000.00	Disclosure SEC source: 0001213900-21-034310 · ownership.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,995,035 F2 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.2 to $29.7, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
June 23, 2021 Filed Jun 26, 2021 01:30 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	37,980	$29.80	$1,131,804.00	Disclosure SEC source: 0001213900-21-034310 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,005,035 F1 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.6 to $28.3, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F4 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
June 22, 2021 Filed Jun 26, 2021 00:51 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	110,000	$28.50	$3,135,000.00	Disclosure SEC source: 0001213900-21-034298 · ownership.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,043,015 F2 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.0 to $28.1, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. F3 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
June 21, 2021 Filed Jun 26, 2021 00:51 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	91,620	$29.70	$2,721,114.00	Disclosure SEC source: 0001213900-21-034298 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,153,015 F1 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.1 to $29.0, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F3 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 14, 2021 Filed Apr 17, 2021 01:07 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	SaleCommon Stock	400	$30.37	$12,148.00	Disclosure SEC source: 0001213900-21-021965 · ownership.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,244,635 F1 · kind: The reporting person inadvertently sold 400 shares of Tarsus Pharmaceuticals, Inc.'s common stock reported herein, which was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's purchase of 400 shares of Tarsus Pharmaceuticals, Inc.'s common stock at a price of $16 per share in connection with the initial public offering on October 20, 2020. The reporting person has agreed to pay to Tarsus Pharmaceuticals, Inc., upon settlement of the sale, $5,735.93, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. F2 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.25 to $30.50, inclusive. The reporting person undertakes to provide to Tarsus Pharmaceuticals, Inc., any security holder of Tarsus Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. F3 · ownership.nature: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Jack Nielsen, Mahendra Shah and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
March 23, 2021 Filed Mar 25, 2021 17:32 UTC	Instil Bio, Inc. TIL · Entity 7177	ConversionSeries C Preferred Stock · Derivative	397,576	$0.00	$0.00	Disclosure SEC source: 0001209191-21-023066 · doc4.xml · derivative · entry 5 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 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 · 477,091 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: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2 · ownership.direct: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
March 23, 2021 Filed Mar 25, 2021 17:32 UTC	Instil Bio, Inc. TIL · Entity 7177	ConversionSeries B Preferred Stock · Derivative	9,758,080	$0.00	$0.00	Disclosure SEC source: 0001209191-21-023066 · doc4.xml · derivative · entry 4 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 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 · 11,709,696 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: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2 · ownership.direct: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
March 23, 2021 Filed Mar 25, 2021 17:32 UTC	Instil Bio, Inc. TIL · Entity 7177	PurchaseCommon Stock	300,000	$20.00	$6,000,000.00	Disclosure SEC source: 0001209191-21-023066 · doc4.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,486,787 F2 · ownership.direct: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
March 23, 2021 Filed Mar 25, 2021 17:32 UTC	Instil Bio, Inc. TIL · Entity 7177	ConversionCommon Stock	477,091	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-023066 · doc4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,186,787 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: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2 · ownership.direct: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
March 23, 2021 Filed Mar 25, 2021 17:32 UTC	Instil Bio, Inc. TIL · Entity 7177	ConversionCommon Stock	11,709,696	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-023066 · doc4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,709,696 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: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a 1.2 for one basis, and had no expiration date. F2 · ownership.direct: The securities are held by Vivo Capital Fund IX, L.P. ("Fund IX"). Vivo Capital IX, LLC ("Capital IX") is the general partner of Fund IX. As the managing members of Capital IX, Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Fund IX, but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
October 20, 2020 Filed Oct 20, 2020 23:58 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	ConversionSeries C Preferred Stock · Derivative	214,281	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-055423 · doc4.xml · derivative · entry 5 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 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 · 214,281 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: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
October 20, 2020 Filed Oct 20, 2020 23:58 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	ConversionSeries B Preferred Stock · Derivative	2,780,754	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-055423 · doc4.xml · derivative · entry 4 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 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 · 2,780,754 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: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
October 20, 2020 Filed Oct 20, 2020 23:58 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	PurchaseCommon Stock	250,000	$16.00	$4,000,000.00	Disclosure SEC source: 0001209191-20-055423 · doc4.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,245,035 Read SEC document
October 20, 2020 Filed Oct 20, 2020 23:58 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	ConversionCommon Stock	214,281	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-055423 · doc4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,995,035 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: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
October 20, 2020 Filed Oct 20, 2020 23:58 UTC	Tarsus Pharmaceuticals, Inc. TARS · Entity 1836	ConversionCommon Stock	2,780,754	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-055423 · doc4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,780,754 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: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date. F2 · ownership.direct: The shares are held directly by Vivo Capital Fund IX, L.P. Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P. As the managing members of Vivo Capital IX, LLC, Frank Kung, Edgar Engleman, Shan Fu, Jack Nielsen and Michael Chang share voting and dispositive power over the shares held by Vivo Capital Fund IX, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	ConversionSeries C Convertible Preferred Stock · Derivative	3,158,851	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · derivative · entry 4 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,158,851 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	PurchaseCommon Stock	185,526	$19.00	$3,524,994.00	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 185,526 F4 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	ConversionCommon Stock	3,245,048	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,034,522 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 · shares: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
July 21, 2020 Filed Jul 22, 2020 00:25 UTC	ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040	PurchaseCommon Stock	789,474	$19.00	$15,000,006.00	Disclosure SEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 789,474 F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	4,287	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,783 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. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F8 · shares: Consists of 4,287 shares of Series A Preferred Stock held by Vivo Capital Fund IX, L.P., which are convertible into an aggregate of 324,783 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	19,213	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,576 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F7 · shares: Consists of 19,213 shares of Series A Preferred Stock held by Vivo Opportunity Fund, L.P., which are convertible into an aggregate of 1,455,576 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	1,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 75,759 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F6 · shares: Consists of 1,000 shares of Series A Preferred Stock held by Vivo Fund VII, which are convertible into an aggregate of 75,759 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	324,783	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 324,783 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: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	1,455,576	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,455,576 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: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	75,759	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 136,715 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: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. 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.