Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adverum Biotechnologies, Inc.ADVM · Entity 71889 | Director | May 12, 2021 | May 14, 2021 |
| Aligos Therapeutics, Inc.ALGS · Entity 7352 | Director | June 23, 2022 | June 27, 2022 |
| CRISPR Therapeutics AGCRSP · Entity 3852 | Director | June 15, 2018 | June 16, 2018 |
| Gritstone bio, Inc.GRTS · Entity 80946 | Director | August 25, 2021 | August 27, 2021 |
| Passage BIO, Inc.PASG · Entity 7829 | Director · 10% owner | May 25, 2023 | May 26, 2023 |
| Tempest Therapeutics, Inc.TPST · Entity 7734 | Director | June 17, 2022 | June 22, 2022 |
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.
Adverum Biotechnologies, Inc.
Report date May 12, 2021 · Filed May 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.70 · Expires 2031-05-11 | Direct | 40,000 |
Reported balance
After 2021-05-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-12 · Grant · Acquired 40,000 · Balance 40,000 F1: The shares subject to the option will vest on the earlier of May 12, 2022 or the 2022 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest on the earlier of May 12, 2022 or the 2022 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.
Aligos Therapeutics, Inc.
Report date June 23, 2022 · Filed June 27, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.34 · Expires 2032-06-23 | Direct | 15,000 |
Reported balance
After 2022-06-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-23 · Grant · Acquired 15,000 · Balance 15,000 F1: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date.
CRISPR Therapeutics AG
Report date June 15, 2018 · Filed June 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $59.31 · Expires 2028-06-15 | IndirectSee Footnotes | 30,000 |
Reported balance
After 2018-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-15 · Grant · Acquired 30,000 · Balance 30,000 F2: One-half of the securities acquired as reported in column 5 were granted to the Reporting Person and one-half were granted to Bradley Bolzon, each grant as compensation for services on the Issuer's board of directors. One-half of the securities held after the reported transaction, as reported in column 9, are held by the Reporting Person and one-half of the reported securities are held by Mr. Bolzon. Each of the Reporting Person and Mr. Bolzon are managing members of Versant Venture Management, LLC and pursuant to agreements with Versant Venture Management, LLC, the Reporting Person and Mr. Bolzon are deemed to hold these securities for the benefit of Versant Venture Management, LLC. Accordingly, Versant Venture Management, LLC may be deemed to be the indirect beneficial owner of these securities, and the Reporting Person may be deemed to indirectly beneficial own the securities through his interest in Versant Venture Management, LLC. F3: (Continued from Footnote 2) The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. F1: This option was granted on June 15, 2018 100% of the shares vesting in 12 equal monthly installments beginning on May 30, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted on June 15, 2018 100% of the shares vesting in 12 equal monthly installments beginning on May 30, 2018.
F2: One-half of the securities acquired as reported in column 5 were granted to the Reporting Person and one-half were granted to Bradley Bolzon, each grant as compensation for services on the Issuer's board of directors. One-half of the securities held after the reported transaction, as reported in column 9, are held by the Reporting Person and one-half of the reported securities are held by Mr. Bolzon. Each of the Reporting Person and Mr. Bolzon are managing members of Versant Venture Management, LLC and pursuant to agreements with Versant Venture Management, LLC, the Reporting Person and Mr. Bolzon are deemed to hold these securities for the benefit of Versant Venture Management, LLC. Accordingly, Versant Venture Management, LLC may be deemed to be the indirect beneficial owner of these securities, and the Reporting Person may be deemed to indirectly beneficial own the securities through his interest in Versant Venture Management, LLC.
F3: (Continued from Footnote 2) The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Gritstone bio, Inc.
Report date August 25, 2021 · Filed August 27, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 902,965 |
Reported balance
After 2021-08-25 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2021-08-25 · Other · Disposed 444,744 · Balance 902,965 F1: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Vantage I, L.P. ("VV I") to its partners pursuant to a Rule 10b5-1 trading plan. F2: Shares held by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of Versant Vantage I GP, L.P. ("VV I GP") and VV I GP is the sole general partner of VV I. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I. Each of VV I GP-GP, VV I GP, and the Reporting Person disclaims beneficial ownership of the shares held by VVI, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,668 |
Reported balance
After 2021-08-25 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2021-08-25 · Other · Acquired 6,668 · Balance 6,668 F3: Represents a change in the form of ownership of VV I GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I. F4: Shares held by VV I GP. VV I GP-GP is the sole general partner of VV I GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP. Each of VV I GP-GP and the Reporting Person disclaims beneficial ownership of the shares held by VV I GP, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-08-25 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2021-08-25 · Other · Disposed 6,668 · Balance 0 F5: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP, to its partners. F4: Shares held by VV I GP. VV I GP-GP is the sole general partner of VV I GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP. Each of VV I GP-GP and the Reporting Person disclaims beneficial ownership of the shares held by VV I GP, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,612 |
Reported balance
After 2021-08-25 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2021-08-25 · Other · Acquired 6,612 · Balance 6,612 F6: Represents a change in the form of ownership of VV I GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP. F7: Shares held by VV I GP-GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-08-25 transaction · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · 2021-08-25 · Other · Disposed 6,612 · Balance 0 F8: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP-GP, to its members. F7: Shares held by VV I GP-GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,723,031 |
Reported balance
Holding disclosure · report date 2021-08-25 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 2,723,031 F10: Shares held by Versant Venture Capital V, L.P. ("VVC V"). Versant Ventures V, LLC ("VV V") is the sole general partner of VVC V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VVC V. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VVC V, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 81,908 |
Reported balance
Holding disclosure · report date 2021-08-25 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 81,908 F11: Shares held by Versant Affiliates Fund V, L.P. ("VAF V"). VV V is the sole general partner of VAF V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VAF V. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VAF V, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 90,756 |
Reported balance
Holding disclosure · report date 2021-08-25 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 90,756 F12: Shares held by Versant Ophthalmic Affiliates Fund I, L.P. ("VOAF I"). VV V is the sole general partner of VOAF I. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VOAF I. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VOAF I, except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 207,234 |
Reported balance
Holding disclosure · report date 2021-08-25 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 207,234 F13: Shares held by Versant Venture Capital V (Canada) LP ("VVC V (Canada)"). Versant Ventures V (Canada) GP-GP, Inc. ("VV V (Canada) GP") is the sole general partner of Versant Ventures V (Canada), L.P. ("VV V (Canada)") and VV V (Canada) is the sole general partner of VVC V (Canada). The Reporting Person, a member of the Issuer's board of directors, is a director of VV V (Canada) GP and may be deemed to share voting and dispositive power over the shares held by VVC V (Canada). Each of VV V (Canada), VV V (Canada) GP and the Reporting Person disclaims beneficial ownership of the shares held by VVC V (Canada), except to the extent of their respective pecuniary interests therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 128 |
Reported balance
After 2021-08-25 transaction · row 6
1 source rowRow 6 · 2021-08-25 · Other · Acquired 128 · Balance 128 F9: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP-GP. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Vantage I, L.P. ("VV I") to its partners pursuant to a Rule 10b5-1 trading plan.
F2: Shares held by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of Versant Vantage I GP, L.P. ("VV I GP") and VV I GP is the sole general partner of VV I. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I. Each of VV I GP-GP, VV I GP, and the Reporting Person disclaims beneficial ownership of the shares held by VVI, except to the extent of their respective pecuniary interests therein, if any.
F3: Represents a change in the form of ownership of VV I GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I.
F4: Shares held by VV I GP. VV I GP-GP is the sole general partner of VV I GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP. Each of VV I GP-GP and the Reporting Person disclaims beneficial ownership of the shares held by VV I GP, except to the extent of their respective pecuniary interests therein, if any.
F5: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP, to its partners.
F6: Represents a change in the form of ownership of VV I GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP.
F7: Shares held by VV I GP-GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
F8: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP-GP, to its members.
F9: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP-GP.
F10: Shares held by Versant Venture Capital V, L.P. ("VVC V"). Versant Ventures V, LLC ("VV V") is the sole general partner of VVC V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VVC V. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VVC V, except to the extent of their respective pecuniary interests therein, if any.
F11: Shares held by Versant Affiliates Fund V, L.P. ("VAF V"). VV V is the sole general partner of VAF V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VAF V. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VAF V, except to the extent of their respective pecuniary interests therein, if any.
F12: Shares held by Versant Ophthalmic Affiliates Fund I, L.P. ("VOAF I"). VV V is the sole general partner of VOAF I. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV V and may be deemed to share voting and dispositive power over the shares held by VOAF I. Each of VV V and the Reporting Person disclaims beneficial ownership of the shares held by VOAF I, except to the extent of their respective pecuniary interests therein, if any.
F13: Shares held by Versant Venture Capital V (Canada) LP ("VVC V (Canada)"). Versant Ventures V (Canada) GP-GP, Inc. ("VV V (Canada) GP") is the sole general partner of Versant Ventures V (Canada), L.P. ("VV V (Canada)") and VV V (Canada) is the sole general partner of VVC V (Canada). The Reporting Person, a member of the Issuer's board of directors, is a director of VV V (Canada) GP and may be deemed to share voting and dispositive power over the shares held by VVC V (Canada). Each of VV V (Canada), VV V (Canada) GP and the Reporting Person disclaims beneficial ownership of the shares held by VVC V (Canada), except to the extent of their respective pecuniary interests therein, if any.
Passage BIO, Inc.
Report date May 25, 2023 · Filed May 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2033-05-24 | Direct | 24,000 |
Reported balance
After 2023-05-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-05-25 · Grant · Acquired 24,000 · Balance 24,000 F1: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2024 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2024 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date.
Tempest Therapeutics, Inc.
Report date June 17, 2022 · Filed June 22, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.08 · Expires 2032-06-16 | Direct | 3,500 |
Reported balance
After 2022-06-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-17 · Grant · Acquired 3,500 · Balance 3,500 F1: Vests over one (1) year, with one hundred per cent (100%) of the award vesting on the first anniversary of the date of grant subject to the reporting person's continuous service through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Vests over one (1) year, with one hundred per cent (100%) of the award vesting on the first anniversary of the date of grant subject to the reporting person's continuous service through the vesting date.
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 |
|---|---|---|---|---|---|---|
| May 25, 2023 Filed May 26, 2023 16:38 UTC | Passage BIO, Inc. PASG · Entity 7829 | GrantDirector Stock Option (Right to Buy) · Derivative | 24,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001209191-23-032571 · doc4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2033-05-24 F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2024 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date. Read SEC document |
| June 23, 2022 Filed Jun 27, 2022 20:14 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.34 | $0.00 |
DisclosureSEC source: 0001567619-22-013392 · doc1.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2032-06-23 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or immediately prior to the annual meeting in 2023 of the Issuer's stockholders, subject to continuous service to the Issuer through such vesting date. Read SEC document |
| June 17, 2022 Filed Jun 22, 2022 20:13 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantStock Option (Right to Buy) · Derivative | 3,500 | $0.00 Strike: $2.08 | $0.00 |
DisclosureSEC source: 0001179110-22-003378 · edgar.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2032-06-16 F1 · derivative.exercise_date: Vests over one (1) year, with one hundred per cent (100%) of the award vesting on the first anniversary of the date of grant subject to the reporting person's continuous service through the vesting date. Read SEC document |
| May 26, 2022 Filed May 31, 2022 16:33 UTC | Passage BIO, Inc. PASG · Entity 7829 | GrantDirector Stock Option (Right to Buy) · Derivative | 24,000 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001209191-22-032839 · doc4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2032-05-25 F1 · derivative.exercise_date: The stock option vests in full on the earlier of: (i) the one year anniversary of the grant date or (ii) the date of the issuer's 2023 Annual Meeting of its stockholders, subject to the reporting person's continuous service to the issuer on such date. Read SEC document |
| April 29, 2022 Filed May 3, 2022 21:49 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | PurchaseCommon Stock | 2,118,644 | $2.36 | $4,999,999.84 |
DisclosureSEC source: 0000899243-22-016387 · doc4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,118,644 F1 · kind: Represents shares acquired pursuant to a Securities Purchase Agreement dated April 26, 2022 between the Issuer, Versant Vantage II, L.P. ("Vantage II") and certain other investors. F2 · ownership.nature: These shares are held of record by Vantage II. Versant Vantage II GP, L.P. ("Vantage II GP") is the general partner of Vantage II, and Versant Vantage II GP-GP, LLC ("Vantage II GP-GP") is the general partner of Vantage II GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of Vantage II GP-GP and may be deemed to share voting and dispositive power over the shares held by Vantage II. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 6 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128 F9 · kind: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP-GP. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 6,612 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 5 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F8 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP-GP, to its members. F7 · ownership.nature: Shares held by VV I GP-GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 6,612 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 4 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,612 F6 · kind: Represents a change in the form of ownership of VV I GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I GP. F7 · ownership.nature: Shares held by VV I GP-GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 6,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 3 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV I GP, to its partners. F4 · ownership.nature: Shares held by VV I GP. VV I GP-GP is the sole general partner of VV I GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP. Each of VV I GP-GP and the Reporting Person disclaims beneficial ownership of the shares held by VV I GP, except to the extent of their respective pecuniary interests therein, if any. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 6,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 2 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,668 F3 · kind: Represents a change in the form of ownership of VV I GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV I. F4 · ownership.nature: Shares held by VV I GP. VV I GP-GP is the sole general partner of VV I GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I GP. Each of VV I GP-GP and the Reporting Person disclaims beneficial ownership of the shares held by VV I GP, except to the extent of their respective pecuniary interests therein, if any. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 17:49 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | OtherCommon Stock | 444,744 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-034443 · doc4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 902,965 F1 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Vantage I, L.P. ("VV I") to its partners pursuant to a Rule 10b5-1 trading plan. F2 · ownership.nature: Shares held by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of Versant Vantage I GP, L.P. ("VV I GP") and VV I GP is the sole general partner of VV I. The Reporting Person, a member of the Issuer's board of directors, is a managing director of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I. Each of VV I GP-GP, VV I GP, and the Reporting Person disclaims beneficial ownership of the shares held by VVI, except to the extent of their respective pecuniary interests therein, if any. Read SEC document |
| July 01, 2021 Filed Jul 6, 2021 22:01 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantStock Option (Right to Buy) · Derivative | 6,635 | Not disclosed Strike: $11.07 | Not disclosed |
DisclosureSEC source: 0001140361-21-023542 · form4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,635 Underlying: Common Stock · 6,635 shares Expires 2031-06-30 F1 · price: One-fourth of the shares underlying this option vest on July 1, 2022, and the remaining shares vest in a series of 36 equal monthly installments thereafter, subject to the reporting person's continued service. F1 · derivative.exercise_date: One-fourth of the shares underlying this option vest on July 1, 2022, and the remaining shares vest in a series of 36 equal monthly installments thereafter, subject to the reporting person's continued service. Read SEC document |
| July 01, 2021 Filed Sep 21, 2021 00:13 UTC Amendment | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantStock Option (Right to Buy) · Derivative | 6,635 | $0.00 Strike: $11.07 | $0.00 |
DisclosureSEC source: 0001179110-21-008867 · edgar.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,635 Underlying: Common Stock · 6,635 shares Expires 2031-06-30 F1 · derivative.exercise_date: Vests over three (3) years, with one-third (1/3) of the award vesting on the first anniversary of the grant date and the remainder of the award vesting in equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date. Read SEC document |
| June 25, 2021 Filed Jun 30, 2021 01:54 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantCommon Stock | 7,377 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-21-022782 · form4.xml · nonDerivative · entry 3 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Versant Side Fund IV, L.P. Disclosed balance after: 7,377 F6 · shares: This amount includes 1,897 shares that were acquired upon conversion of 58,927 shares of Tempest, which VSF IV agreed to purchase at a purchase price of $0.85 per share pursuant to a Funding Agreement with Tempest, which was conditioned upon the satisfaction or waiver of the conditions to Closing. F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc." F4 · ownership.direct: These shares are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the general partner of VSF IV. The Reporting Person is a managing member of VV IV and may be deemed to share voting and dispositive power over the shares held by VSF IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. F4 · ownership.nature: These shares are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the general partner of VSF IV. The Reporting Person is a managing member of VV IV and may be deemed to share voting and dispositive power over the shares held by VSF IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| June 25, 2021 Filed Jun 30, 2021 01:54 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantCommon Stock | 1,171,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-21-022782 · form4.xml · nonDerivative · entry 2 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Versant Venture Capital IV, L.P. Disclosed balance after: 1,171,094 F5 · shares: This amount includes 301,161 shares that were acquired upon conversion of 9,352,838 shares of Tempest, which VVC IV agreed to purchase at a purchase price of $0.85 per share pursuant to a Funding Agreement with Tempest, which was conditioned upon the satisfaction or waiver of the conditions to Closing. F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc." F3 · ownership.direct: These shares are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the general partner of VVC IV. The Reporting Person is a managing member of VV IV and may be deemed to share voting and dispositive power over the shares held by VVC IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. F3 · ownership.nature: These shares are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the general partner of VVC IV. The Reporting Person is a managing member of VV IV and may be deemed to share voting and dispositive power over the shares held by VVC IV. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| June 25, 2021 Filed Jun 30, 2021 01:54 UTC | Tempest Therapeutics, Inc. TPST · Entity 7734 | GrantCommon Stock | 997,940 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-21-022782 · form4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Versant Venture Capital VI, L.P. Disclosed balance after: 997,940 F1 · price: In connection with the merger of Millendo Therapeutics, Inc. ("Millendo") and private company Tempest Therapeutics, Inc. ("Tempest"), pursuant to the Agreement and Plan of Merger dated March 29, 2021 (the "Merger Agreement"), which closed on June 25, 2021 ("Closing"), each share of Tempest's common stock converted into the right to receive approximately 0.0322 shares of Millendo common stock. The Exchange Ratio gives effect to the 15-to-1 reverse stock split of Millendo's common stock. On the Closing date, the closing price of Millendo common stock was $1.06 (unadjusted). Upon Closing, Millendo was renamed "Tempest Therapeutics, Inc." F2 · ownership.direct: These shares are held of record held by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VVC VI. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. F2 · ownership.nature: These shares are held of record held by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VVC VI. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| June 17, 2021 Filed Jun 17, 2021 21:14 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $26.58 | $0.00 |
DisclosureSEC source: 0001567619-21-012339 · doc1.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-06-17 F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or the day prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service as a director until such vesting date. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 2,226 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 6 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,452 F9 · kind: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP-GP. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 8,383 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 5 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F8 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP-GP, to its members. F7 · ownership.nature: Shares held by VV VI GP-GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held VV VI GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 8,383 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 4 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,383 F6 · kind: Represents a change in the form of ownership of VV VI GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP. F7 · ownership.nature: Shares held by VV VI GP-GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held VV VI GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 9,719 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 3 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP, to its partners. F4 · ownership.nature: Shares held by VV VI GP. VV VI GP-GP is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VV VI GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 9,719 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 2 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,719 F3 · kind: Represents a change in the form of ownership of VV VI GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VVC VI. F4 · ownership.nature: Shares held by VV VI GP. VV VI GP-GP is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VV VI GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| June 11, 2021 Filed Jun 15, 2021 20:43 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 485,979 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-023881 · doc4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,457,937 F1 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Venture Capital VI, L.P. ("VVC VI") to its partners pursuant to a Rule 10b5-1 trading plan. F2 · ownership.nature: Shares held by VVC VI. Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VVC VI; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| May 27, 2021 Filed May 28, 2021 18:06 UTC | Passage BIO, Inc. PASG · Entity 7829 | GrantDirector Stock Option (Right to Buy) · Derivative | 16,918 | $0.00 Strike: $13.83 | $0.00 |
DisclosureSEC source: 0001209191-21-036630 · doc4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,918 Underlying: Common Stock · 16,918 shares Expires 2031-05-26 F1 · derivative.exercise_date: The stock option vests as of 1/12 of the total shares monthly beginning on June 27, 2021 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| May 12, 2021 Filed May 14, 2021 20:05 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.70 | $0.00 |
DisclosureSEC source: 0001209191-21-032964 · doc4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2031-05-11 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of May 12, 2022 or the 2022 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 2,226 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 6 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,226 F9 · kind: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP-GP. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 8,385 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 5 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F8 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP-GP, to its members. F7 · ownership.nature: Shares held by VV VI GP-GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held VV VI GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 8,385 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 4 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,385 F6 · kind: Represents a change in the form of ownership of VV VI GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP. F7 · ownership.nature: Shares held by VV VI GP-GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held VV VI GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 9,720 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 3 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP, to its partners. F4 · ownership.nature: Shares held by VV VI GP. VV VI GP-GP is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VV VI GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 9,720 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 2 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,720 F3 · kind: Represents a change in the form of ownership of VV VI GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VVC VI. F4 · ownership.nature: Shares held by VV VI GP. VV VI GP-GP is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VV VI GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | OtherCommon Stock | 485,979 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-017187 · doc4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,943,916 F1 · kind: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Venture Capital VI, L.P. ("VVC VI") to its partners pursuant to a Rule 10b5-1 trading plan. F2 · ownership.nature: Shares held by VVC VI. Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VVC VI; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. Read SEC document |
| December 30, 2020 Filed Jan 4, 2021 18:02 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | PurchaseCommon Stock | 1,347,709 | $3.71 | $5,000,000.39 |
DisclosureSEC source: 0000899243-21-000160 · doc4.xml · nonDerivative · entry 5 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,347,709 F5 · ownership.nature: Shares held by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of Versant Vantage I GP, L.P. ("VV I GP") and VV I GP is the sole general partner of VV I. The Reporting Person is a managing member of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any. Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 17:10 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | OtherCommon Stock | 12,783 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-034129 · doc4.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,822 F1 · kind: Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by Versant Ventures IV, LLC. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionSeries B-2 Preferred Stock · Derivative | 198,485 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · derivative · entry 11 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 198,485 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F3 · ownership.nature: These securities are held of record by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the sole general partner of VV I. Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of VV I GP and may be deemed to have voting and investment power over the securities held by VV I and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionSeries B-2 Preferred Stock · Derivative | 85,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · derivative · entry 10 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 85,065 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionSeries B-1 Preferred Stock · Derivative | 463,959 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · derivative · entry 9 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 463,959 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F3 · ownership.nature: These securities are held of record by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the sole general partner of VV I. Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of VV I GP and may be deemed to have voting and investment power over the securities held by VV I and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionSeries B-1 Preferred Stock · Derivative | 198,839 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · derivative · entry 8 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 198,839 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionSeries A Preferred Stock · Derivative | 2,145,991 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · derivative · entry 7 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,145,991 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | PurchaseCommon Stock | 200,000 | $15.00 | $3,000,000.00 |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 6 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 862,444 F3 · ownership.nature: These securities are held of record by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the sole general partner of VV I. Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of VV I GP and may be deemed to have voting and investment power over the securities held by VV I and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionCommon Stock | 198,485 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 5 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 662,444 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F3 · ownership.nature: These securities are held of record by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the sole general partner of VV I. Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of VV I GP and may be deemed to have voting and investment power over the securities held by VV I and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionCommon Stock | 463,959 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 4 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 463,959 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F3 · ownership.nature: These securities are held of record by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the sole general partner of VV I. Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the sole general partner of VV I GP and may be deemed to have voting and investment power over the securities held by VV I and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV I GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV I GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionCommon Stock | 85,065 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 3 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,429,895 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionCommon Stock | 198,839 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 2 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,344,830 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| October 20, 2020 Filed Oct 20, 2020 21:00 UTC | Aligos Therapeutics, Inc. ALGS · Entity 7352 | ConversionCommon Stock | 2,145,991 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-018012 · doc1.xml · nonDerivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,145,991 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 the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the sole general partner of VVC VI. Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the sole general partner of VV VI GP and may be deemed to have voting and investment power over the securities held by VVC VI and as a result may be deemed to have beneficial ownership over such securities. The reporting person is a Managing Director of VV VI GP-GP and may be deemed to indirectly beneficially own the securities through his interest in VV VI GP-GP. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| June 23, 2020 Filed Jun 25, 2020 17:45 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $25.64 | $0.00 |
DisclosureSEC source: 0001209191-20-038960 · doc4.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2030-06-22 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:40 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $6.66 | $0.00 |
DisclosureSEC source: 0001567619-20-012490 · doc1.xml · derivative · entry 1 Woiwode Thomas · CIK 0001619294 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 19:03 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries B Preferred Stock · Derivative | 708,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015670 · doc4.xml · derivative · entry 7 Versant Venture Capital VI, L.P. · CIK 0001687880 · 10% owner Versant Ventures VI GP, L.P. · CIK 0001777654 · 10% owner Versant Ventures VI GP-GP, LLC · CIK 0001777652 · 10% owner Versant Vantage I, L.P. · CIK 0001765253 · 10% owner Versant Vantage I GP, L.P. · CIK 0001777651 · 10% owner Versant Vantage I GP-GP, LLC · CIK 0001777653 · 10% owner Woiwode Thomas · CIK 0001619294 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Versant Vantage I, L.P. Disclosed balance after: 0 Underlying: Common Stock · 708,352 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 the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F3 · ownership.nature: These securities are held of record by by Versant Vantage I, L.P. ("VV I"). Versant Vantage I, GP, L.P. ("VV I GP") is the general partner of VV I, and Versant Vantage I, GP-GP, LLC ("VV I GP-GP") is the general partner of VV I GP. Each of Bradley J. Bolzon, Jerel C. Davis, Clare Ozawa, Robin L. Praeger and Thomas Woiwode Ph.D., as managing members of VV I GP-GP, may be deemed to share voting and dispositive power over the shares held by VV I and disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest therein. A Form 4 is being filed separately by Dr. Woiwode in his capacity as a Director of the issuer. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 19:03 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries A-2 Preferred Stock · Derivative | 1,049,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015670 · doc4.xml · derivative · entry 6 Versant Venture Capital VI, L.P. · CIK 0001687880 · 10% owner Versant Ventures VI GP, L.P. · CIK 0001777654 · 10% owner Versant Ventures VI GP-GP, LLC · CIK 0001777652 · 10% owner Versant Vantage I, L.P. · CIK 0001765253 · 10% owner Versant Vantage I GP, L.P. · CIK 0001777651 · 10% owner Versant Vantage I GP-GP, LLC · CIK 0001777653 · 10% owner Woiwode Thomas · CIK 0001619294 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,049,175 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 the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2 · ownership.direct: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. Each of Bradley J. Bolzon, Jerel C. Davis, Kirk G. Nielsen, Clare Ozawa, Robin L. Praeger and Tom Woiwode Ph.D., as managing members of VV VI GP-GP, may be deemed to share voting and dispositive power over the shares held by VVC VI and disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest therein. A Form 4 is being filed separately by Dr. Woiwode in his capacity as a Director of the issuer. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 19:03 UTC | Passage BIO, Inc. PASG · Entity 7829 | ConversionSeries A-1 Preferred Stock · Derivative | 2,977,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-015670 · doc4.xml · derivative · entry 5 Versant Venture Capital VI, L.P. · CIK 0001687880 · 10% owner Versant Ventures VI GP, L.P. · CIK 0001777654 · 10% owner Versant Ventures VI GP-GP, LLC · CIK 0001777652 · 10% owner Versant Vantage I, L.P. · CIK 0001765253 · 10% owner Versant Vantage I GP, L.P. · CIK 0001777651 · 10% owner Versant Vantage I GP-GP, LLC · CIK 0001777653 · 10% owner Woiwode Thomas · CIK 0001619294 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,977,242 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 the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020. F2 · ownership.direct: These securities are held of record by Versant Venture Capital VI, L.P. ("VVC VI"). Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. Each of Bradley J. Bolzon, Jerel C. Davis, Kirk G. Nielsen, Clare Ozawa, Robin L. Praeger and Tom Woiwode Ph.D., as managing members of VV VI GP-GP, may be deemed to share voting and dispositive power over the shares held by VVC VI and disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest therein. A Form 4 is being filed separately by Dr. Woiwode in his capacity as a Director of the issuer. Read SEC document |
| March 03, 2020 Filed Mar 3, 2020 19:03 UTC | Passage BIO, Inc. PASG · Entity 7829 | PurchaseCommon Stock | 225,000 | $18.00 | $4,050,000.00 |
DisclosureSEC source: 0001209191-20-015670 · doc4.xml · nonDerivative · entry 4 Versant Venture Capital VI, L.P. · CIK 0001687880 · 10% owner Versant Ventures VI GP, L.P. · CIK 0001777654 · 10% owner Versant Ventures VI GP-GP, LLC · CIK 0001777652 · 10% owner Versant Vantage I, L.P. · CIK 0001765253 · 10% owner Versant Vantage I GP, L.P. · CIK 0001777651 · 10% owner Versant Vantage I GP-GP, LLC · CIK 0001777653 · 10% owner Woiwode Thomas · CIK 0001619294 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Versant Vantage I, L.P. Disclosed balance after: 933,352 F3 · ownership.nature: These securities are held of record by by Versant Vantage I, L.P. ("VV I"). Versant Vantage I, GP, L.P. ("VV I GP") is the general partner of VV I, and Versant Vantage I, GP-GP, LLC ("VV I GP-GP") is the general partner of VV I GP. Each of Bradley J. Bolzon, Jerel C. Davis, Clare Ozawa, Robin L. Praeger and Thomas Woiwode Ph.D., as managing members of VV I GP-GP, may be deemed to share voting and dispositive power over the shares held by VV I and disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest therein. A Form 4 is being filed separately by Dr. Woiwode in his capacity as a Director of the issuer. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.