Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 10x Genomics, Inc.TXG · Entity 2172 | Director | June 14, 2023 | June 16, 2023 |
| Achaogen, Inc.AKAO · Entity 158957 | Director | June 05, 2018 | June 07, 2018 |
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.
10x Genomics, Inc.
Report date June 14, 2023 · Filed June 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 88,503 |
Reported balance
After 2023-06-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-06-14 · Grant · Acquired 1,865 · Balance 88,503 F1: Constitute restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock upon vesting. 1/4th of the RSUs shall vest on each quarterly anniversary measured from May 21, 2023, subject to the Reporting Person continuing as a service provider through each such date. F2: Represents (a) 83,893 shares of Class A common stock held directly by the Reporting Person and (b) 4,610 shares of Class A common stock held on behalf of VR Management, LLC (the "Management Company"). F3: The Reporting Person is a member of the Management Company. Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.62 · Expires 2033-06-14 | Direct | 4,661 |
Reported balance
After 2023-06-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-06-14 · Grant · Acquired 4,661 · Balance 4,661 F6: 1/12th of the total number of shares subject to the option vest on each monthly anniversary measured from June 14, 2023, subject to the Reporting Person continuing as a service provider through each such date. F3: The Reporting Person is a member of the Management Company. Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Funds | 3,790,422 |
Reported balance
Holding disclosure · report date 2023-06-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,790,422 F4: Represents (a) 3,514,480 shares of Class A common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 275,942 shares of Class A common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI") is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI") is the sole general partner of VP VI. The Reporting Person is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Trusts | 411,205 |
Reported balance
Holding disclosure · report date 2023-06-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 411,205 F5: These shares are held by trusts for the benefit of the Reporting Person and his family members. |
Filing footnotes · ownership attribution and instrument terms
F1: Constitute restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock upon vesting. 1/4th of the RSUs shall vest on each quarterly anniversary measured from May 21, 2023, subject to the Reporting Person continuing as a service provider through each such date.
F2: Represents (a) 83,893 shares of Class A common stock held directly by the Reporting Person and (b) 4,610 shares of Class A common stock held on behalf of VR Management, LLC (the "Management Company").
F3: The Reporting Person is a member of the Management Company. Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
F4: Represents (a) 3,514,480 shares of Class A common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 275,942 shares of Class A common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI") is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI") is the sole general partner of VP VI. The Reporting Person is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein.
F5: These shares are held by trusts for the benefit of the Reporting Person and his family members.
F6: 1/12th of the total number of shares subject to the option vest on each monthly anniversary measured from June 14, 2023, subject to the Reporting Person continuing as a service provider through each such date.
Achaogen, Inc.
Report date June 05, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.07 · Expires 2028-06-05 | Direct | 15,000 |
Reported balance
After 2018-06-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-05 · Grant · Acquired 15,000 · Balance 15,000 F1: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. F2: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares upon exercise. The Management Company may be deemed the indirect beneficial owner of the reported option and the shares underlying the option, and the reporting person may be deemed the indirect beneficial owner of the reported option and the shares underlying the option through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.
F2: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares upon exercise. The Management Company may be deemed the indirect beneficial owner of the reported option and the shares underlying the option, and the reporting person may be deemed the indirect beneficial owner of the reported option and the shares underlying the option through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CASTLIGHT HEALTH, INC.
Report date February 17, 2022 · Filed February 18, 2022
Section 16 reporting ended · disclosed 2022-02-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-02-17 · Disposition to issuer · Disposed 405,184 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F2: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. |
| Class B Common StockSEC Table I · non-derivative | IndirectBy Funds | 0 |
Reported balance
After 2022-02-17 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2022-02-17 · Disposition to issuer · Disposed 5,255,264 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F3: Venrock Associates VI, L.P. ("VA6") held an aggregate of 3,707,442 shares of Class B Common Stock, Venrock Partners VI, L.P. ("VP6") held an aggregate of 291,092 shares of Class B Common Stock, Venrock Associates V, L.P. ("VA5") held an aggregate of 1,133,948 shares of Class B Common Stock and 14,047,522 shares of Class A Common Stock, Venrock Partners V, L.P. ("VP5") held an aggregate of 96,139 shares of Class B Common Stock and 1,190,996 shares of Class A Common Stock and Venrock Entrepreneurs Fund V, L.P. ("VEF5") held an aggregate of 26,643 shares of Class B Common Stock and 330,053 shares of Class A Common Stock. F4: Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5, respectively, and may be deemed to beneficially own these shares. The reporting person is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. The reporting person and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2024-03-12 | Direct | 0 |
Reported balance
After 2022-02-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-02-17 · Disposition to issuer · Disposed 25,000 · Balance 0 F6: The option exercise price is equal to or exceeds the Merger Consideration and therefore the option was automatically cancelled without consideration immediately prior to the Effective Date. F5: The option is fully vested and exercisable. |
| Class A Common StockSEC Table II · derivative / convertible security | IndirectBy Funds | 0 |
Reported balance
After 2022-02-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-02-17 · Disposition to issuer · Disposed 15,568,571 · Balance 0 F7: Each share of Class A Common Stock is convertible at any time at the option of the holder into one (1) share of Class B Common Stock. In addition, each share of Class A Common Stock will convert automatically into one (1) share of Class B Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation immediately prior to the Effective Time. The shares of Class A Common Stock have no expiration date. F8: Each share of Class A Common Stock converted into one (1) share of Class B Common Stock at the Effective Time. F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F3: Venrock Associates VI, L.P. ("VA6") held an aggregate of 3,707,442 shares of Class B Common Stock, Venrock Partners VI, L.P. ("VP6") held an aggregate of 291,092 shares of Class B Common Stock, Venrock Associates V, L.P. ("VA5") held an aggregate of 1,133,948 shares of Class B Common Stock and 14,047,522 shares of Class A Common Stock, Venrock Partners V, L.P. ("VP5") held an aggregate of 96,139 shares of Class B Common Stock and 1,190,996 shares of Class A Common Stock and Venrock Entrepreneurs Fund V, L.P. ("VEF5") held an aggregate of 26,643 shares of Class B Common Stock and 330,053 shares of Class A Common Stock. F4: Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5, respectively, and may be deemed to beneficially own these shares. The reporting person is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. The reporting person and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time.
F2: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
F3: Venrock Associates VI, L.P. ("VA6") held an aggregate of 3,707,442 shares of Class B Common Stock, Venrock Partners VI, L.P. ("VP6") held an aggregate of 291,092 shares of Class B Common Stock, Venrock Associates V, L.P. ("VA5") held an aggregate of 1,133,948 shares of Class B Common Stock and 14,047,522 shares of Class A Common Stock, Venrock Partners V, L.P. ("VP5") held an aggregate of 96,139 shares of Class B Common Stock and 1,190,996 shares of Class A Common Stock and Venrock Entrepreneurs Fund V, L.P. ("VEF5") held an aggregate of 26,643 shares of Class B Common Stock and 330,053 shares of Class A Common Stock.
F4: Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5, respectively, and may be deemed to beneficially own these shares. The reporting person is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. The reporting person and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein.
F5: The option is fully vested and exercisable.
F6: The option exercise price is equal to or exceeds the Merger Consideration and therefore the option was automatically cancelled without consideration immediately prior to the Effective Date.
F7: Each share of Class A Common Stock is convertible at any time at the option of the holder into one (1) share of Class B Common Stock. In addition, each share of Class A Common Stock will convert automatically into one (1) share of Class B Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation immediately prior to the Effective Time. The shares of Class A Common Stock have no expiration date.
F8: Each share of Class A Common Stock converted into one (1) share of Class B Common Stock at the Effective Time.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2023 Filed Jun 16, 2023 17:45 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantStock Option (right to buy) · Derivative | 4,661 | $0.00 Strike: $57.62 | $0.00 |
DisclosureSEC source: 0001610717-23-000177 · form4.xml · derivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,661 Underlying: Class A Common Stock · 4,661 shares Expires 2033-06-14 F6 · derivative.exercise_date: 1/12th of the total number of shares subject to the option vest on each monthly anniversary measured from June 14, 2023, subject to the Reporting Person continuing as a service provider through each such date. F3 · ownership.direct: The Reporting Person is a member of the Management Company. Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 17:45 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantClass A Common Stock | 1,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000177 · form4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 88,503 F1 · shares: Constitute restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock upon vesting. 1/4th of the RSUs shall vest on each quarterly anniversary measured from May 21, 2023, subject to the Reporting Person continuing as a service provider through each such date. F2 · ownership.direct: Represents (a) 83,893 shares of Class A common stock held directly by the Reporting Person and (b) 4,610 shares of Class A common stock held on behalf of VR Management, LLC (the "Management Company"). F3 · ownership.direct: The Reporting Person is a member of the Management Company. Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| May 17, 2023 Filed May 19, 2023 17:02 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 3,790,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000053 · form4.xml · derivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 0 Underlying: Class A Common Stock · 3,790,422 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F7 · ownership.nature: Represents (a) 0 shares of Class B common stock held by VA VI and (b) 0 shares of Class B common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| May 17, 2023 Filed May 19, 2023 17:02 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass A Common Stock | 3,790,422 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000053 · form4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Funds Disclosed balance after: 3,790,422 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · balance_after: On May 10, 2023, Venrock Associates VI, L.P. ("VA VI") and Venrock Partners VI, L.P. ("VP VI") distributed an aggregate of 1,037,825 shares of Class A Common Stock to their limited partners and general partners. Of the 1,037,825 shares distributed, 962,309 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 75,516 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). F3 · ownership.nature: Represents (a) 3,514,480 shares of Class A common stock held by VA VI and (b) 275,942 shares of Class A common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. The Reporting Person is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 17:30 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantStock Option (right to buy) · Derivative | 5,300 | $0.00 Strike: $39.62 | $0.00 |
DisclosureSEC source: 0001567619-22-013129 · doc1.xml · derivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 Underlying: Class A Common Stock · 5,300 shares Expires 2032-06-15 F5 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one-twelfth of the shares on July 15, 2022 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. F2 · ownership.direct: The Reporting Person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 17:30 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantClass A Common Stock | 2,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-013129 · doc1.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,745 F1 · shares: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock. One-fourth of the RSUs, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, shall vest on August 21, 2022 and on each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. F2 · ownership.direct: The Reporting Person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 14:13 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | Disposition to issuerClass A Common Stock · Derivative | 15,568,571 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-011154 · doc4.xml · derivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 0 Underlying: Class B Common Stock · 15,568,571 shares Expires not disclosed F7 · derivative.exercise_price: Each share of Class A Common Stock is convertible at any time at the option of the holder into one (1) share of Class B Common Stock. In addition, each share of Class A Common Stock will convert automatically into one (1) share of Class B Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation immediately prior to the Effective Time. The shares of Class A Common Stock have no expiration date. F8 · derivative.exercise_price: Each share of Class A Common Stock converted into one (1) share of Class B Common Stock at the Effective Time. F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F7 · derivative.exercise_date: Each share of Class A Common Stock is convertible at any time at the option of the holder into one (1) share of Class B Common Stock. In addition, each share of Class A Common Stock will convert automatically into one (1) share of Class B Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation immediately prior to the Effective Time. The shares of Class A Common Stock have no expiration date. F8 · derivative.exercise_date: Each share of Class A Common Stock converted into one (1) share of Class B Common Stock at the Effective Time. F7 · derivative.expiration_date: Each share of Class A Common Stock is convertible at any time at the option of the holder into one (1) share of Class B Common Stock. In addition, each share of Class A Common Stock will convert automatically into one (1) share of Class B Common Stock upon the transfer, whether or not for value, to any transferee who is not a "Permitted Transferee", as defined in the Issuer's Restated Certificate of Incorporation immediately prior to the Effective Time. The shares of Class A Common Stock have no expiration date. F8 · derivative.expiration_date: Each share of Class A Common Stock converted into one (1) share of Class B Common Stock at the Effective Time. F3 · ownership.nature: Venrock Associates VI, L.P. ("VA6") held an aggregate of 3,707,442 shares of Class B Common Stock, Venrock Partners VI, L.P. ("VP6") held an aggregate of 291,092 shares of Class B Common Stock, Venrock Associates V, L.P. ("VA5") held an aggregate of 1,133,948 shares of Class B Common Stock and 14,047,522 shares of Class A Common Stock, Venrock Partners V, L.P. ("VP5") held an aggregate of 96,139 shares of Class B Common Stock and 1,190,996 shares of Class A Common Stock and Venrock Entrepreneurs Fund V, L.P. ("VEF5") held an aggregate of 26,643 shares of Class B Common Stock and 330,053 shares of Class A Common Stock. F4 · ownership.nature: Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5, respectively, and may be deemed to beneficially own these shares. The reporting person is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. The reporting person and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 14:13 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | Disposition to issuerDirector Stock Option (right to buy) · Derivative | 25,000 | Not disclosed Strike: $16.00 | Not disclosed |
DisclosureSEC source: 0001209191-22-011154 · doc4.xml · derivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 25,000 shares Expires 2024-03-12 F6 · price: The option exercise price is equal to or exceeds the Merger Consideration and therefore the option was automatically cancelled without consideration immediately prior to the Effective Date. F5 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 14:13 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | Disposition to issuerClass B Common Stock | 5,255,264 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-011154 · doc4.xml · nonDerivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F3 · ownership.nature: Venrock Associates VI, L.P. ("VA6") held an aggregate of 3,707,442 shares of Class B Common Stock, Venrock Partners VI, L.P. ("VP6") held an aggregate of 291,092 shares of Class B Common Stock, Venrock Associates V, L.P. ("VA5") held an aggregate of 1,133,948 shares of Class B Common Stock and 14,047,522 shares of Class A Common Stock, Venrock Partners V, L.P. ("VP5") held an aggregate of 96,139 shares of Class B Common Stock and 1,190,996 shares of Class A Common Stock and Venrock Entrepreneurs Fund V, L.P. ("VEF5") held an aggregate of 26,643 shares of Class B Common Stock and 330,053 shares of Class A Common Stock. F4 · ownership.nature: Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5, respectively, and may be deemed to beneficially own these shares. The reporting person is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. The reporting person and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Read SEC document |
| February 17, 2022 Filed Feb 18, 2022 14:13 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | Disposition to issuerClass B Common Stock | 405,184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-22-011154 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated January 4, 2022, by and among the Issuer, Vera Whole Health, Inc. ("Vera Health"), and Carbon Merger Sub, Inc. (the "Merger Sub"), the Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Vera Health, effective as of February 17, 2022 (the "Effective Time"). Pursuant to the Merger Agreement, each share of the Issuer's Class A common stock and Class B common stock was exchanged for $2.05 in cash at the Effective Time. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 17:52 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantStock Option (right to buy) · Derivative | 1,563 | $0.00 Strike: $193.51 | $0.00 |
DisclosureSEC source: 0001209191-21-040692 · doc4.xml · derivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,563 Underlying: Class A Common Stock · 1,563 shares Expires 2031-06-11 F4 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one-twelfth of the shares on July 11, 2021 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. F2 · ownership.direct: The Reporting Person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 17:52 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantClass A Common Stock | 625 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040692 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625 F1 · shares: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock. One-fourth of the RSUs, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, shall vest on August 21, 2021 and on each three-month anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. F2 · ownership.direct: The Reporting Person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the Reporting Person and the Management Company, the Reporting Person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the Reporting Person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The Reporting Person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:55 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 70,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040263 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 405,184 F1 · shares: Represents an award of restricted stock units ("RSUs"). 25% of the RSUs will vest on August 16, 2021, and the remaining 75% of the RSUs will vest in 3 equal quarterly installments thereafter beginning on November 16, 2021. Each RSU represents a contingent right to receive one share of the Issuer's Class B common stock upon settlement for no consideration. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| April 30, 2021 Filed May 4, 2021 16:20 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 2,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029871 · doc4.xml · derivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 3,790,422 Underlying: Class A Common Stock · 2,000,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F3 · ownership.nature: Represents (a) 3,514,480 shares of Class B common stock held by VA VI and (b) 275,942 shares of Class B common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| April 30, 2021 Filed May 4, 2021 16:20 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass A Common Stock | 2,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-029871 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 2,037,825 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · ownership.nature: Represents (a) 1,889,509 shares of Class A common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 148,316 shares of Class A common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| December 22, 2020 Filed Feb 12, 2021 16:02 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GiftClass A Common Stock | 46,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010089 · doc5.xml · nonDerivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 46,500 F2 · shares: These shares of Class A Common Stock were previously reported as directly beneficially owned but were contributed to a trust for the benefit of the Reporting Person's children on December 22, 2020. Read SEC document |
| December 22, 2020 Filed Feb 12, 2021 16:02 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GiftClass A Common Stock | 46,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010089 · doc5.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,791 F1 · shares: These shares of Class A Common Stock were gifted to a trust for the benefit of the Reporting Person's children. Read SEC document |
| December 10, 2020 Filed Dec 10, 2020 18:10 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 93,487 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062772 · doc4.xml · nonDerivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,291 F7 · shares: On December 10, 2020, Dr. Roberts received an aggregate of 93,487 shares of Class A Common Stock as part of the distribution of shares of VM VI and VPM VI. Read SEC document |
| December 10, 2020 Filed Dec 10, 2020 18:10 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 268,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062772 · doc4.xml · nonDerivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By funds Disclosed balance after: 2,037,825 F5 · kind: On December 10, 2020, VM VI and VPM VI distributed an aggregate of 268,692 shares of Class A Common Stock to their members and participants. F5 · shares: On December 10, 2020, VM VI and VPM VI distributed an aggregate of 268,692 shares of Class A Common Stock to their members and participants. F5 · price: On December 10, 2020, VM VI and VPM VI distributed an aggregate of 268,692 shares of Class A Common Stock to their members and participants. F6 · ownership.nature: Consists of 1,889,497 shares of Class A Common Stock held by VA VI and 148,328 shares of Class A Common Stock held by VP VI. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 18:10 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 3,000,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062772 · doc4.xml · derivative · entry 5 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By funds Disclosed balance after: 5,790,422 Underlying: Class A Common Stock · 3,000,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F8 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F8 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F9 · ownership.nature: Consists of 5,368,880 shares of Class B Common Stock held by VA VI and 421,542 shares of Class B Common Stock held by VP VI. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 18:10 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 731,308 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062772 · doc4.xml · nonDerivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By funds Disclosed balance after: 2,306,517 F3 · kind: On December 8, 2020, VA VI and VP VI distributed an aggregate of 1,000,000 shares of Class A Common Stock to their limited partners and general partners. Of the 1,000,000 shares distributed, 249,521 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 19,171 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). F3 · shares: On December 8, 2020, VA VI and VP VI distributed an aggregate of 1,000,000 shares of Class A Common Stock to their limited partners and general partners. Of the 1,000,000 shares distributed, 249,521 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 19,171 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). F3 · price: On December 8, 2020, VA VI and VP VI distributed an aggregate of 1,000,000 shares of Class A Common Stock to their limited partners and general partners. Of the 1,000,000 shares distributed, 249,521 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 19,171 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). F4 · ownership.nature: Consists of 1,889,497 shares of Class A Common Stock held by VA VI, 249,521 shares of Class A Common Stock held by VM VI, 148,328 shares of Class A Common Stock held by VP VI and 19,171 shares of Class A Common Stock held by VPM VI. Read SEC document |
| December 08, 2020 Filed Dec 10, 2020 18:10 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass A Common Stock | 3,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062772 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By funds Disclosed balance after: 3,037,825 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: Represents shares of Class A Common Stock received upon conversion of 3,000,000 shares of Class B Common Stock. F2 · ownership.nature: Consists of 2,816,685 shares of Class A Common Stock held by Venrock Associates VI, L.P. ("VA VI") and 221,140 shares of Class A Common Stock held by Venrock Partners VI, L.P. ("VP VI"). Read SEC document |
| September 18, 2020 Filed Sep 18, 2020 16:32 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 121,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051156 · doc4.xml · nonDerivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,804 F5 · kind: On September 18, 2020, Dr. Roberts received an aggregate of 121,804 shares of Class A Common Stock as part of the distribution of shares of VM VI and VPM VI pursuant to the terms of the Plan. F5 · shares: On September 18, 2020, Dr. Roberts received an aggregate of 121,804 shares of Class A Common Stock as part of the distribution of shares of VM VI and VPM VI pursuant to the terms of the Plan. Read SEC document |
| September 18, 2020 Filed Sep 18, 2020 16:32 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 338,019 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051156 · doc4.xml · nonDerivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 37,825 F3 · kind: On September 18, 2020, VM VI and VPM VI distributed an aggregate of 338,019 shares of Class A Common Stock to their members and participants pursuant to the Plan. F3 · shares: On September 18, 2020, VM VI and VPM VI distributed an aggregate of 338,019 shares of Class A Common Stock to their members and participants pursuant to the Plan. F4 · ownership.nature: Consists of 35,085 shares of Class A Common Stock held by VA VI and 2,740 shares of Class A Common Stock held by VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his pecuniary interests therein. Read SEC document |
| September 16, 2020 Filed Sep 18, 2020 16:32 UTC | 10x Genomics, Inc. TXG · Entity 2172 | OtherClass A Common Stock | 911,981 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051156 · doc4.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 375,844 F1 · kind: On September 16, 2020, Venrock Associates VI, L.P. ("VA VI") and Venrock Partners VI, L.P. ("VP VI") distributed an aggregate of 1,250,000 shares of Class A Common Stock to their limited partners and general partners pursuant to a Trading and Distribution Plan adopted on September 11, 2020 (the "Plan"). Pursuant to the terms of the Plan, of the 1,250,000 shares distributed, 313,898 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 24,121 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI, VP VI, VM VI and VPM VI, except to the extent of his pecuniary interests therein. F1 · shares: On September 16, 2020, Venrock Associates VI, L.P. ("VA VI") and Venrock Partners VI, L.P. ("VP VI") distributed an aggregate of 1,250,000 shares of Class A Common Stock to their limited partners and general partners pursuant to a Trading and Distribution Plan adopted on September 11, 2020 (the "Plan"). Pursuant to the terms of the Plan, of the 1,250,000 shares distributed, 313,898 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 24,121 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI, VP VI, VM VI and VPM VI, except to the extent of his pecuniary interests therein. F2 · ownership.nature: Consists of 35,085 shares of Class A Common Stock held by VA VI, 2,740 shares of Class A Common Stock held by VP VI, 313,898 shares of Class A Common Stock held by VM VI and 24,121 shares of Class A Common Stock held by VPM VI. Dr. Roberts disclaims beneficial ownership over all shares held by VA VI, VP VI, VM VI and VPM VI, except to the extent of his pecuniary interests therein. Read SEC document |
| June 15, 2020 Filed Jun 17, 2020 16:07 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantStock Option (right to buy) · Derivative | 4,432 | $0.00 Strike: $88.42 | $0.00 |
DisclosureSEC source: 0001239242-20-000004 · edgar.xml · derivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,432 Underlying: Class A Common Stock · 4,432 shares Expires 2030-06-15 F1 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one-twelfth of the shares on July 15, 2020 and each month thereafter, subject to the reporting person continuing as a service provider through each such date. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 17:44 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 180,645 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-20-000003 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 334,477 F1 · shares: Represents an award of restricted stock units ("RSUs"). 25% of the RSUs will vest on August 16, 2020, and the remaining 75% of the RSUs will vest in 3 equal quarterly installments thereafter beginning on November 16, 2020. Each RSU represents a contingent right to receive one share of the Issuer's Class B common stock upon settlement for no consideration. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| May 20, 2020 Filed May 22, 2020 16:11 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 2,156,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-20-000002 · edgar.xml · derivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 8,790,422 Underlying: Class A Common Stock · 2,156,088 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · shares: Represents (a) 812,902 shares of Class B common stock converted by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (b) 329,617 shares of Class B common stock converted by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), (c) 939,781 shares of Class B common stock converted by Venrock Associates VI, L.P. ("VA VI") and (d) 73,788 shares of Class B common stock converted by Venrock Partners VI, L.P. ("VP VI"). F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.underlying: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F3 · ownership.nature: Represents (a) 8,150,480 shares of Class B common stock held by VA VI and (b) 639,942 shares of Class B common stock held by VP VI. Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| May 20, 2020 Filed May 22, 2020 16:11 UTC | 10x Genomics, Inc. TXG · Entity 2172 | SaleClass A Common Stock | 3,100,000 | $78.00 | $241,800,000.00 |
DisclosureSEC source: 0001239242-20-000002 · edgar.xml · nonDerivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 1,287,825 F7 · shares: Represents (a) 939,781 shares of Class A common stock sold by VA VI, (b) 73,788 shares of Class A common stock sold by VP VI, (c) 272,730 shares of Class A common stock sold by VHCP III, (d) 27,270 shares of Class A common stock sold by VHCP III Co, (e) 1,271,045 shares of Class A common stock sold by VHCP II and (f) 515,386 shares of Class A common stock sold by VHCP II Co. F8 · ownership.nature: Represents (a) 1,194,071 shares of Class A common stock held by VA VI and (b) 93,754 shares of Class A common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| May 20, 2020 Filed May 22, 2020 16:11 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass A Common Stock | 2,156,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-20-000002 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 4,387,825 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F4 · ownership.nature: Represents (a) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"). VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP III and VHCP III Co, except to the extent of his indirect pecuniary interests therein. F5 · ownership.nature: Represents (a) 2,133,852 shares of Class A common stock held by VA VI and (b) 167,542 shares of Class A common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. F6 · ownership.nature: Represents (a) 1,271,045 shares of Class A common stock held by VHCP II and (b) 515,386 shares of Class A common stock held by VHCP II Co. VHCPM II is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| May 01, 2020 Filed May 1, 2020 20:51 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 1,931,737 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-20-000001 · edgar.xml · derivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 10,946,510 Underlying: Class A Common Stock · 1,931,737 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F1 · derivative.underlying: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · ownership.nature: Represents (a) 9,090,261 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 713,730 shares of Class B common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. F3 · ownership.nature: Represents (a) 812,902 shares of Class B common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 329,617 shares of Class B common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| May 01, 2020 Filed May 1, 2020 20:51 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass A Common Stock | 1,931,737 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-20-000001 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 2,231,737 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 Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F4 · ownership.nature: Represents (a) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"). VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP III and VHCP III Co, except to the extent of his indirect pecuniary interests therein. F5 · ownership.nature: Represents (a) 1,194,071 shares of Class A common stock held by VA VI and (b) 93,754 shares of Class A common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. F6 · ownership.nature: Represents (a) 458,143 shares of Class A common stock held by VHCP II and (b) 185,769 shares of Class A common stock held by VHCP II Co. VHCPM II is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 17:27 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionClass B Common Stock · Derivative | 12,878,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000005 · edgar.xml · derivative · entry 5 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 12,878,247 Underlying: Class A Common Stock · 12,878,247 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.exercise_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.expiration_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.underlying: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F3 · ownership.nature: Represents (a) 7,250,375 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 569,270 shares of Class B common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. F4 · ownership.nature: Represents (a) 3,033,957 shares of Class B common stock held by VA VI and (b) 238,214 shares of Class B common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. F5 · ownership.nature: Represents (a) 1,271,045 shares of Class B common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 515,386 shares of Class B common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 17:27 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionSeries C Preferred Stock · Derivative | 1,786,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000005 · edgar.xml · derivative · entry 4 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 0 Underlying: Class B Common Stock · 1,786,431 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.exercise_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.expiration_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.underlying: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F5 · ownership.nature: Represents (a) 1,271,045 shares of Class B common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 515,386 shares of Class B common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 17:27 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionSeries B Preferred Stock · Derivative | 3,272,171 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000005 · edgar.xml · derivative · entry 3 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 0 Underlying: Class B Common Stock · 3,272,171 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.exercise_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.expiration_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.underlying: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F4 · ownership.nature: Represents (a) 3,033,957 shares of Class B common stock held by VA VI and (b) 238,214 shares of Class B common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 17:27 UTC | 10x Genomics, Inc. TXG · Entity 2172 | ConversionSeries A-2 Preferred Stock · Derivative | 7,819,645 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000005 · edgar.xml · derivative · entry 2 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 0 Underlying: Class B Common Stock · 7,819,645 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.exercise_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.expiration_date: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F2 · derivative.underlying: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. F3 · ownership.nature: Represents (a) 7,250,375 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 569,270 shares of Class B common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 16, 2019 17:27 UTC | 10x Genomics, Inc. TXG · Entity 2172 | PurchaseClass A Common Stock | 300,000 | $39.00 | $11,700,000.00 |
DisclosureSEC source: 0001239242-19-000005 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 300,000 F1 · ownership.nature: Represents (a) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 19:01 UTC Amendment | 10x Genomics, Inc. TXG · Entity 2172 | PurchaseClass A Common Stock | 300,000 | $39.00 | $11,700,000.00 |
DisclosureSEC source: 0001239242-19-000006 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 300,000 F1 · ownership.nature: Represents (a) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"). VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM III. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP III and VHCP III Co, except to the extent of his indirect pecuniary interests therein. Read SEC document |
| September 11, 2019 Filed Sep 12, 2019 15:01 UTC | 10x Genomics, Inc. TXG · Entity 2172 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $39.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000004 · edgar.xml · derivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Class A Common Stock · 40,000 shares Expires 2029-09-11 F1 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one thirty-sixth of the shares on October 11, 2019 and each month thereafter, subject to the reporting person continuing as a service provider through each such date. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 17:12 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 44,164 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-19-000002 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,832 F1 · shares: Represents an award of restricted stock units ("RSUs"). 25% of the RSUs will vest on August 16, 2019, and the remaining 75% of the RSUs will vest in 3 equal quarterly installments thereafter beginning on November 16, 2019. Each RSU represents a contingent right to receive one share of the Issuer's Class B common stock upon settlement for no consideration. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 17:16 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 32,183 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-18-000001 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,668 F1 · shares: Represents an award of restricted stock units ("RSUs"). 25% of the RSUs will vest on August 16, 2018 and an additional 25% will vest on each quarterly anniversary thereafter. Each RSU represents a contingent right to receive one share of the Issuer's Class B common stock upon settlement for no consideration. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 18:50 UTC | Achaogen, Inc. AKAO · Entity 158957 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $12.07 | $0.00 |
DisclosureSEC source: 0001140361-18-027767 · doc1.xml · derivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-06-05 F1 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported option and the shares underlying the option for the sole benefit of the Management Company and must exercise the reported option solely upon the direction of the Management Company, which is entitled to the shares upon exercise. The Management Company may be deemed the indirect beneficial owner of the reported option and the shares underlying the option, and the reporting person may be deemed the indirect beneficial owner of the reported option and the shares underlying the option through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 16:16 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 33,735 | $0.00 | $0.00 |
DisclosureSEC source: 0001239242-17-000002 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,485 F1 · shares: Represents an award of restricted stock units ("RSUs"). 25% of the RSUs will vest on September 22, 2017 and an additional 25% will vest on each quarterly anniversary thereafter. Each RSU represents a contingent right to receive one share of the Issuer's Class B common stock upon settlement for no consideration. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 18:13 UTC | Achaogen, Inc. AKAO · Entity 158957 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $22.11 | $0.00 |
DisclosureSEC source: 0001140361-17-025411 · doc1.xml · derivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-06-14 F1 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual meeting of stockholders to the extent unvested as of such date, subject to continued service through each applicable vesting date. F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported option for the sole benefit of the Management Company and must exercise the option solely upon the direction of the Management Company, which is entitled to the shares issued upon exercise. The Management Company may be deemed the indirect beneficial owner of the option, and the reporting person may be deemed the indirect beneficial owner of the option through his interest in the Management Company. The reporting person disclaims beneficial ownership of the option except to the extent of his pecuniary interest therein. Read SEC document |
| April 03, 2017 Filed Apr 5, 2017 19:06 UTC | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 3,965,979 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001239242-17-000001 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 5,222,709 F1 · price: Received in exchange for 6,026,800 shares of Series B Preferred Stock of Jiff, Inc. ("Jiff") held by Venrock Associates VI, L.P. ("VA6"), 473,200 shares of Jiff's Series B Preferred Stock held by Venrock Partners VI, L.P. ("VP6"), 1,428,732 shares of Jiff's Series C Preferred Stock held by VA6, and 112,178 shares of Jiff's Series C Preferred Stock held by VP6 pursuant to the Agreement and Plan of Merger and Reorganization dated as of January 4, 2017 (the "Merger Agreement") by and among the Issuer, Neptune Acquisition Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"), Jiff and Fortis Advisors LLC, as the Stockholders' Agent ("Stockholders' Agent"). Pursuant to the Merger Agreement, on April 3, 2017 (the "Effective Time"), Merger Sub merged with and into Jiff with Jiff surviving the merger as a wholly owned subsidiary of Issuer (the "Merger"). At the Effective Time, the closing price of the Issuer's Class B Common Stock was $3.65 per share. F2 · price: Of the 3,965,979 shares issued as reported herein, 401,779 shares and 31,546 shares held by VA6 and VP6, respectively, are currently being held in escrow for 12-months following the Merger to serve as partial security for certain indemnification obligations of Jiff stockholders pursuant to the Merger Agreement and 7,441 shares and 584 shares held by VA6 and VP6, respectively, are being held in an expense fund, which will be used for the purposes of paying directly or reimbursing the Stockholders' Agent for out-of-pocket costs and expenses and legal fees incurred by the Stockholders' Agent in connection with the administration of its duties. F3 · balance_after: The Merger Agreement provides that the former equityholders of Jiff (other than the holders of Jiff's Series A Preferred Stock) will receive additional shares of the Issuer's Class B Common Stock upon the achievement by the Jiff business of certain milestones in FY2017. Such former equityholders of Jiff will receive additional shares of the Issuer's Class B Common Stock if the Jiff business achieves at least $25 million in revenue in FY2017 and if the Jiff business achieves at least $25 million in net new bookings during FY2017, and such right to receive additional shares subject to this earn-out right became fixed and irrevocable at the Effective Time. For more information on the earnout, please refer to the Merger Agreement filed as Exhibit 2.1 to the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on January 4, 2017. F4 · ownership.nature: VA6 holds an aggregate of 3,677,257 shares, VP6 holds an aggregate of 288,722 shares, Venrock Associates V, L.P. ("VA5") holds an aggregate of 1,133,948 shares, Venrock Partners V, L.P. ("VP5") holds an aggregate of 96,139 shares and Venrock Entrepreneurs Fund V, L.P. ("VEF5") holds an aggregate of 26,643 shares. Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5 (collectively, the "Funds"), respectively, and may be deemed to beneficially own these shares. Dr. Roberts is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. Dr. Roberts and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Read SEC document |
| April 03, 2017 Filed Jun 7, 2019 17:10 UTC Amendment | CASTLIGHT HEALTH, INC. CSLT · Entity 130187 | GrantClass B Common Stock | 3,998,534 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001239242-19-000001 · edgar.xml · nonDerivative · entry 1 ROBERTS BRYAN E · CIK 0001239242 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Funds Disclosed balance after: 5,255,264 F1 · price: Received in exchange for 6,026,800 shares of Series B Preferred Stock of Jiff, Inc. ("Jiff") held by Venrock Associates VI, L.P. ("VA6"), 473,200 shares of Jiff's Series B Preferred Stock held by Venrock Partners VI, L.P. ("VP6"), 1,428,732 shares of Jiff's Series C Preferred Stock held by VA6, and 112,178 shares of Jiff's Series C Preferred Stock held by VP6 pursuant to the Agreement and Plan of Merger and Reorganization dated as of January 4, 2017 (the "Merger Agreement") by and among the Issuer, Neptune Acquisition Subsidiary, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"), Jiff and Fortis Advisors LLC, as the Stockholders' Agent ("Stockholders' Agent"). Pursuant to the Merger Agreement, on April 3, 2017 (the "Effective Time"), Merger Sub merged with and into Jiff with Jiff surviving the merger as a wholly owned subsidiary of Issuer (the "Merger"). At the Effective Time, the closing price of the Issuer's Class B Common Stock was $3.65 per share. F2 · price: Of the 3,998,534 shares issued as reported herein, 401,779 shares and 31,546 shares held by VA6 and VP6, respectively, are currently being held in escrow for 12-months following the Merger to serve as partial security for certain indemnification obligations of Jiff stockholders pursuant to the Merger Agreement and 7,441 shares and 584 shares held by VA6 and VP6, respectively, are being held in an expense fund, which will be used for the purposes of paying directly or reimbursing the Stockholders' Agent for out-of-pocket costs and expenses and legal fees incurred by the Stockholders' Agent in connection with the administration of its duties. F3 · balance_after: The Merger Agreement provides that the former equityholders of Jiff (other than the holders of Jiff's Series A Preferred Stock) will receive additional shares of the Issuer's Class B Common Stock upon the achievement by the Jiff business of certain milestones in FY2017. Such former equityholders of Jiff will receive additional shares of the Issuer's Class B Common Stock if the Jiff business achieves at least $25 million in revenue in FY2017 and if the Jiff business achieves at least $25 million in net new bookings during FY2017, and such right to receive additional shares subject to this earn-out right became fixed and irrevocable at the Effective Time. For more information on the earnout, please refer to the Merger Agreement filed as Exhibit 2.1 to the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission on January 4, 2017. F4 · ownership.nature: VA6 holds an aggregate of 3,707,442 shares, VP6 holds an aggregate of 291,092 shares, Venrock Associates V, L.P. ("VA5") holds an aggregate of 1,133,948 shares, Venrock Partners V, L.P. ("VP5") holds an aggregate of 96,139 shares and Venrock Entrepreneurs Fund V, L.P. ("VEF5") holds an aggregate of 26,643 shares. Venrock Management VI, LLC, Venrock Partners Management VI, LLC, Venrock Management V, LLC, VEF Management V, LLC and Venrock Partners Management V, LLC (collectively, the "Venrock GP Entities") are the sole general partners of VA6, VP6, VA5, VEF5 and VP5 (collectively, the "Funds"), respectively, and may be deemed to beneficially own these shares. Dr. Roberts is a member of the Venrock GP Entities and may be deemed to beneficially own these shares. Dr. Roberts and the Venrock GP Entities expressly disclaim beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.