organization · Reporting owner
Park West Asset Management LLC
Disclosed activity across 13 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PDL BIOPHARMA, INC.PDLI · Entity 143144 | 10% owner | December 30, 2020 | January 11, 2021 |
| PLx Pharma Inc.PLXP · Entity 129056 | 10% owner | May 15, 2020 | May 19, 2020 |
| ROVER GROUP, INC.NEBC · Entity 93736 | 10% owner | July 27, 2021 | July 29, 2021 |
| ThredUp Inc.TDUP · Entity 1057 | 10% owner | March 30, 2021 | April 02, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PDL BIOPHARMA, INC.
Report date December 30, 2020 · Filed January 11, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.01SEC Table I · non-derivative | IndirectSee Footnote | 14,397,212 |
Reported balance
Holding disclosure · report date 2020-12-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 14,397,212 F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On December 30, 2020, PWIMF held 13,098,362 shares of common stock, par value $0.01 per share ("Common Stock") and PWPI held 1,298,850 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On December 30, 2020, PWIMF held 13,098,362 shares of common stock, par value $0.01 per share ("Common Stock") and PWPI held 1,298,850 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
PLx Pharma Inc.
Report date May 15, 2020 · Filed May 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $3.10 | IndirectSee Footnotes | 6,000 |
Reported balance
After 2020-05-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-05-15 · Purchase · Acquired 6,000 · Balance 6,000 F2: Each share of Series B Convertible Preferred Stock, par value $0.001 per share ("Series B Preferred Stock"), of PLx Pharma Inc. (the "Company") is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Company equal to the stated value (initially $1,000) divided by the conversion price (initially $3.10), in each case subject to customary adjustments under the certificate of designations for the Series B Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Series B Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.9% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, together with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F3: As of May 15, 2020, PWIMF held 5,450 shares of Series B Preferred Stock and PWPI held 550 shares of Series B Preferred Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, together with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person.
F2: Each share of Series B Convertible Preferred Stock, par value $0.001 per share ("Series B Preferred Stock"), of PLx Pharma Inc. (the "Company") is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Company equal to the stated value (initially $1,000) divided by the conversion price (initially $3.10), in each case subject to customary adjustments under the certificate of designations for the Series B Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Series B Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.9% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion.
F3: As of May 15, 2020, PWIMF held 5,450 shares of Series B Preferred Stock and PWPI held 550 shares of Series B Preferred Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
ROVER GROUP, INC.
Report date July 27, 2021 · Filed July 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 2,148,807 |
Reported balance
After 2021-07-27 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-07-27 · Purchase · Acquired 78,807 · Balance 2,148,807 F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.405 to $9.50 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. As of July 27, 2021, PWIMF held 1,956,211 shares of Class A common stock, par value $0.0001 per share (the "Common Stock") of Nebula Caravel Acquisition Corp. (the "Company"), and PWPI held 192,596 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. As of July 27, 2021, PWIMF held 1,956,211 shares of Class A common stock, par value $0.0001 per share (the "Common Stock") of Nebula Caravel Acquisition Corp. (the "Company"), and PWPI held 192,596 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
F2: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.405 to $9.50 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
ThredUp Inc.
Report date March 30, 2021 · Filed April 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 500,000 |
Reported balance
After 2021-03-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-03-30 · Purchase · Acquired 500,000 · Balance 500,000 F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. |
| Class B Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 8,715,989 |
Reported balance
After 2021-03-30 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-03-30 · Other · Acquired 8,715,989 · Balance 8,715,989 F2: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. |
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-03-30 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-03-30 · Other · Disposed 8,715,989 · Balance 0 F2: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F3: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. |
| Series F Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2021-03-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-03-30 · Other · Disposed 7,844,390 · Balance 0 F3: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder.
F2: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7.
F3: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date.
Past disclosures · reporting ended (9)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Enovix Corp
Report date July 14, 2021 · Filed July 17, 2021
Section 16 reporting ended · disclosed 2021-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 12,472,625 |
Last balance in matching sequence
After 2021-07-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-07-14 · Purchase · Acquired 2,142,857 · Balance 6,442,857 F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On July 14, 2021, the date of the transaction reported in this report, PWIMF held 11,348,649 shares of common stock, par value $0.0001 ("Common Stock"), of Enovix Corporation (the "Issuer") and PWPI held 1,123,976 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Row 2 · 2021-07-14 · Other · Acquired 6,029,768 · Balance 12,472,625 F2: On July 14, 2021, pursuant to an agreement and plan of merger (the "Merger Agreement") by and among Rodgers Silicon Valley Acquisition Corp. ("RSVA"), RSVAC Merger Sub Inc., a wholly-owned subsidiary of RSVA ("Merger Sub"), and Enovix Corporation ("Enovix"), the Issuer completed its initial business combination (the "Business Combination"). Pursuant to the Merger Agreement, Merger Sub merged with and into Enovix with Enovix surviving the merger as a wholly owned subsidiary of RSVA. As a result of the Business Combination, RSVA changed its name to Enovix Corporation. In connection with the consummation of the Business Combination, each share of Enovix Series P-2 Preferred Stock, par value $0.001 per share, held in the aggregate by PWIMF and PWPI was converted into an aggregate of 6,029,768 shares of the Issuer's Common Stock. F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On July 14, 2021, the date of the transaction reported in this report, PWIMF held 11,348,649 shares of common stock, par value $0.0001 ("Common Stock"), of Enovix Corporation (the "Issuer") and PWPI held 1,123,976 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On July 14, 2021, the date of the transaction reported in this report, PWIMF held 11,348,649 shares of common stock, par value $0.0001 ("Common Stock"), of Enovix Corporation (the "Issuer") and PWPI held 1,123,976 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
F2: On July 14, 2021, pursuant to an agreement and plan of merger (the "Merger Agreement") by and among Rodgers Silicon Valley Acquisition Corp. ("RSVA"), RSVAC Merger Sub Inc., a wholly-owned subsidiary of RSVA ("Merger Sub"), and Enovix Corporation ("Enovix"), the Issuer completed its initial business combination (the "Business Combination"). Pursuant to the Merger Agreement, Merger Sub merged with and into Enovix with Enovix surviving the merger as a wholly owned subsidiary of RSVA. As a result of the Business Combination, RSVA changed its name to Enovix Corporation. In connection with the consummation of the Business Combination, each share of Enovix Series P-2 Preferred Stock, par value $0.001 per share, held in the aggregate by PWIMF and PWPI was converted into an aggregate of 6,029,768 shares of the Issuer's Common Stock.
HOVNANIAN ENTERPRISES INC
Report date March 01, 2021 · Filed March 19, 2021
Section 16 reporting ended · disclosed 2021-03-19. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Infrastructure & Energy Alternatives, Inc.
Report date August 02, 2021 · Filed August 17, 2021
Section 16 reporting ended · disclosed 2021-08-17. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Internap Corp
Report date July 25, 2017 · Filed July 27, 2017
Section 16 reporting ended · disclosed 2017-07-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par value per shareSEC Table I · non-derivative | IndirectSee Footnote | 8,203,729 |
Reported balance
After 2017-07-25 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-07-25 · Sale · Disposed 2,250,000 · Balance 8,203,729 F2: These shares were sold in multiple transactions at prices ranging from $3.850 to $3.925, inclusive. The Reporting Person undertakes to provide to Internap Corporation, any security holder of Internap Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. As of July 25, 2017, PWIMF held 7,281,189 shares of Common Stock $.0001 par value per share (the "Common Stock") and PWPI held 922,540 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. As of July 25, 2017, PWIMF held 7,281,189 shares of Common Stock $.0001 par value per share (the "Common Stock") and PWPI held 922,540 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
F2: These shares were sold in multiple transactions at prices ranging from $3.850 to $3.925, inclusive. The Reporting Person undertakes to provide to Internap Corporation, any security holder of Internap Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.
Kindred Biosciences, Inc.
Report date August 27, 2021 · Filed September 13, 2021
Section 16 reporting ended · disclosed 2021-09-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-08-27 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-08-27 · Other · Disposed 6,000,002 · Balance 0 F1: On August 27, 2021, pursuant to an Agreement and Plan of Merger, dated as of June 15, 2021, by and among Kindred Biosciences, Inc. (the "Company"), Elanco Animal Health Incorporated ("Elanco") and Knight Merger Sub, Inc., a wholly owned subsidiary of Elanco ("Merger Sub"), Merger Sub merged with and into the Company with the Company surviving as the wholly owned subsidiary of Elanco (the "Merger"). Immediately prior to the effective time of the Merger, each share of common stock, par value $0.0001 per share, of the Company was cancelled and automatically converted into the right to receive $9.25 per share in cash. F2: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 27, 2021, pursuant to an Agreement and Plan of Merger, dated as of June 15, 2021, by and among Kindred Biosciences, Inc. (the "Company"), Elanco Animal Health Incorporated ("Elanco") and Knight Merger Sub, Inc., a wholly owned subsidiary of Elanco ("Merger Sub"), Merger Sub merged with and into the Company with the Company surviving as the wholly owned subsidiary of Elanco (the "Merger"). Immediately prior to the effective time of the Merger, each share of common stock, par value $0.0001 per share, of the Company was cancelled and automatically converted into the right to receive $9.25 per share in cash.
F2: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person.
Nexeo Solutions, Inc.
Report date July 31, 2017 · Filed August 01, 2017
Section 16 reporting ended · disclosed 2017-08-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | IndirectSee Footnote | 6,342,499 |
Reported balance
After 2017-07-31 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-07-31 · Sale · Disposed 2,000,000 · Balance 6,342,499 F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of Reporting Person. As of July 31, 2017, PWIMF held 5,614,684 shares of Common Stock (including 3,685,393 Founder Shares (as defined in the Form 10-Q for the quarterly period ended March 31, 2017, filed with the Securities and Exchange Commission on May 10, 2017)), and PWPI held 727,815 shares of Common Stock (including 482,972 Founder Shares). Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of Reporting Person. As of July 31, 2017, PWIMF held 5,614,684 shares of Common Stock (including 3,685,393 Founder Shares (as defined in the Form 10-Q for the quarterly period ended March 31, 2017, filed with the Securities and Exchange Commission on May 10, 2017)), and PWPI held 727,815 shares of Common Stock (including 482,972 Founder Shares). Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
Porch Group, Inc.
Report date April 17, 2023 · Filed April 18, 2023
Section 16 reporting ended · disclosed 2023-04-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 9,667,707 |
Reported balance
After 2023-04-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-04-17 · Sale · Disposed 2,600,000 · Balance 9,667,707 F2: Represents the sale of shares in a privately negotiated sale transaction. The Reporting Person's sales reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with previously reported transactions by the Reporting Person (the "Previous Transactions"). Because the sale reported herein occurred at a price lower than the price the Reporting Person sold shares in the Previous Transactions, there are no additional recoverable profits subject to disgorgement in connection with the sale reported herein. F1: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein.
F2: Represents the sale of shares in a privately negotiated sale transaction. The Reporting Person's sales reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with previously reported transactions by the Reporting Person (the "Previous Transactions"). Because the sale reported herein occurred at a price lower than the price the Reporting Person sold shares in the Previous Transactions, there are no additional recoverable profits subject to disgorgement in connection with the sale reported herein.
SciPlay Corp
Report date June 17, 2020 · Filed June 19, 2020
Section 16 reporting ended · disclosed 2020-06-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 2,213,205 |
Reported balance
After 2020-06-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-06-17 · Sale · Disposed 400,000 · Balance 2,213,205 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions with prices ranging from $13.90 to $13.95 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein. F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F3: On June 17, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,013,683 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 199,522 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions with prices ranging from $13.90 to $13.95 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein.
F3: On June 17, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,013,683 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 199,522 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities.
Waitr Holdings Inc.
Report date November 15, 2018 · Filed December 21, 2018
Section 16 reporting ended · disclosed 2018-12-21. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| April 17, 2023 Filed Apr 18, 2023 01:00 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleCommon Stock, par value $0.0001 | 2,600,000 | $1.27 | $3,302,000.00 |
DisclosureSEC source: 0001493152-23-012664 · ownership.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 9,667,707 F2 · kind: Represents the sale of shares in a privately negotiated sale transaction. The Reporting Person's sales reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with previously reported transactions by the Reporting Person (the "Previous Transactions"). Because the sale reported herein occurred at a price lower than the price the Reporting Person sold shares in the Previous Transactions, there are no additional recoverable profits subject to disgorgement in connection with the sale reported herein. F2 · price: Represents the sale of shares in a privately negotiated sale transaction. The Reporting Person's sales reported herein are matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with previously reported transactions by the Reporting Person (the "Previous Transactions"). Because the sale reported herein occurred at a price lower than the price the Reporting Person sold shares in the Previous Transactions, there are no additional recoverable profits subject to disgorgement in connection with the sale reported herein. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 25, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleEquity Swap (right to buy) · Derivative | 407,874 | Not disclosed Strike: $3.14 | Not disclosed |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · derivative · entry 9 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common stock, par value $0.0001 · 407,874 shares Expires 2025-12-31 F6 · security: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F6 · price: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 25, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | PurchaseCommon stock, par value $0.0001 | 407,874 | $2.31 | $940,965.32 |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · nonDerivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,267,707 F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.21 to $2.42 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 24, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleEquity Swap (right to buy) · Derivative | 760,000 | Not disclosed Strike: $3.34 | Not disclosed |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · derivative · entry 8 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 407,874 Underlying: Common stock, par value $0.0001 · 760,000 shares Expires 2025-12-31 F6 · security: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F6 · price: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 24, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | PurchaseCommon stock, par value $0.0001 | 760,000 | $2.46 | $1,871,880.00 |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · nonDerivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,859,833 F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.375 to $2.785 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 23, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleEquity Swap (right to buy) · Derivative | 730,750 | Not disclosed Strike: $3.46 | Not disclosed |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · derivative · entry 7 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,167,874 Underlying: Common stock, par value $0.0001 · 730,750 shares Expires 2025-12-31 F6 · security: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F6 · price: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 23, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | PurchaseCommon stock, par value $0.0001 | 530,750 | $2.60 | $1,377,296.25 |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,099,833 F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 to $2.75 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 20, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleEquity Swap (right to buy) · Derivative | 172,816 | Not disclosed Strike: $3.34 | Not disclosed |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · derivative · entry 6 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common stock, par value $0.0001 · 172,816 shares Expires 2025-12-30 F7 · security: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 30, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of Issuer's common stock on January 20, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F7 · price: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 30, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of Issuer's common stock on January 20, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 20, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | SaleEquity Swap (right to buy) · Derivative | 527,184 | Not disclosed Strike: $3.34 | Not disclosed |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · derivative · entry 5 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,898,624 Underlying: Common stock, par value $0.0001 · 527,184 shares Expires 2025-12-31 F6 · security: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F6 · price: On November 23, 2022 the Reporting Person entered into an equity swap agreement with a third party. The reported equity swap was on a basket of securities, which included shares of the Issuer's common stock. Under the equity swap, the third party was obligated to pay to the Reporting Person the aggregate increase, if any, in value of the basket of securities between November 23, 2022 and December 31, 2025. In connection with the optional partial early termination of the equity swap agreement, the third party became obligated to pay to the Reporting Person the excess of the price per share of the Issuer's common stock on each of January 20, 2023, January 23, 2023, January 24, 2023 and January 25, 2023 over the price per share of the Issuer's common stock on November 23, 2022. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| January 20, 2023 Filed Feb 15, 2023 02:05 UTC | Porch Group, Inc. PRCH · Entity 4527 | PurchaseCommon stock, par value $0.0001 | 474,220 | $2.46 | $1,168,003.86 |
DisclosureSEC source: 0001493152-23-005095 · ownership.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,569,083 F8 · security: The amount of any recoverable short swing profit from the Reporting Person resulting from the reported transactions will be calculated pursuant to Rule 16b-6(c)(2), and will be remitted to the Issuer. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.295 to $2.565 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC ("PWAM") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF") and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI" and, collectively with PWIMF, the "PW Funds"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in the securities reported herein. Read SEC document |
| August 27, 2021 Filed Sep 13, 2021 20:30 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherCommon Stock, par value $0.0001 per share | 6,000,002 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-001189 · kindred_fm4aug272021.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On August 27, 2021, pursuant to an Agreement and Plan of Merger, dated as of June 15, 2021, by and among Kindred Biosciences, Inc. (the "Company"), Elanco Animal Health Incorporated ("Elanco") and Knight Merger Sub, Inc., a wholly owned subsidiary of Elanco ("Merger Sub"), Merger Sub merged with and into the Company with the Company surviving as the wholly owned subsidiary of Elanco (the "Merger"). Immediately prior to the effective time of the Merger, each share of common stock, par value $0.0001 per share, of the Company was cancelled and automatically converted into the right to receive $9.25 per share in cash. F1 · shares: On August 27, 2021, pursuant to an Agreement and Plan of Merger, dated as of June 15, 2021, by and among Kindred Biosciences, Inc. (the "Company"), Elanco Animal Health Incorporated ("Elanco") and Knight Merger Sub, Inc., a wholly owned subsidiary of Elanco ("Merger Sub"), Merger Sub merged with and into the Company with the Company surviving as the wholly owned subsidiary of Elanco (the "Merger"). Immediately prior to the effective time of the Merger, each share of common stock, par value $0.0001 per share, of the Company was cancelled and automatically converted into the right to receive $9.25 per share in cash. F1 · price: On August 27, 2021, pursuant to an Agreement and Plan of Merger, dated as of June 15, 2021, by and among Kindred Biosciences, Inc. (the "Company"), Elanco Animal Health Incorporated ("Elanco") and Knight Merger Sub, Inc., a wholly owned subsidiary of Elanco ("Merger Sub"), Merger Sub merged with and into the Company with the Company surviving as the wholly owned subsidiary of Elanco (the "Merger"). Immediately prior to the effective time of the Merger, each share of common stock, par value $0.0001 per share, of the Company was cancelled and automatically converted into the right to receive $9.25 per share in cash. F2 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 21:01 UTC | ROVER GROUP, INC. NEBC · Entity 93736 | PurchaseCommon stock, par value $0.0001 | 78,807 | $9.45 | $745,017.74 |
DisclosureSEC source: 0000905718-21-000971 · nebulacaravel_fm4jul272021.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,148,807 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.405 to $9.50 per share, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. As of July 27, 2021, PWIMF held 1,956,211 shares of Class A common stock, par value $0.0001 per share (the "Common Stock") of Nebula Caravel Acquisition Corp. (the "Company"), and PWPI held 192,596 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| July 14, 2021 Filed Jul 17, 2021 01:13 UTC | Enovix Corp ENVX · Entity 5188 | OtherCommon stock, par value $0.0001 | 6,029,768 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-000932 · enovix_fm4jul142021.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 12,472,625 F2 · kind: On July 14, 2021, pursuant to an agreement and plan of merger (the "Merger Agreement") by and among Rodgers Silicon Valley Acquisition Corp. ("RSVA"), RSVAC Merger Sub Inc., a wholly-owned subsidiary of RSVA ("Merger Sub"), and Enovix Corporation ("Enovix"), the Issuer completed its initial business combination (the "Business Combination"). Pursuant to the Merger Agreement, Merger Sub merged with and into Enovix with Enovix surviving the merger as a wholly owned subsidiary of RSVA. As a result of the Business Combination, RSVA changed its name to Enovix Corporation. In connection with the consummation of the Business Combination, each share of Enovix Series P-2 Preferred Stock, par value $0.001 per share, held in the aggregate by PWIMF and PWPI was converted into an aggregate of 6,029,768 shares of the Issuer's Common Stock. F2 · price: On July 14, 2021, pursuant to an agreement and plan of merger (the "Merger Agreement") by and among Rodgers Silicon Valley Acquisition Corp. ("RSVA"), RSVAC Merger Sub Inc., a wholly-owned subsidiary of RSVA ("Merger Sub"), and Enovix Corporation ("Enovix"), the Issuer completed its initial business combination (the "Business Combination"). Pursuant to the Merger Agreement, Merger Sub merged with and into Enovix with Enovix surviving the merger as a wholly owned subsidiary of RSVA. As a result of the Business Combination, RSVA changed its name to Enovix Corporation. In connection with the consummation of the Business Combination, each share of Enovix Series P-2 Preferred Stock, par value $0.001 per share, held in the aggregate by PWIMF and PWPI was converted into an aggregate of 6,029,768 shares of the Issuer's Common Stock. F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On July 14, 2021, the date of the transaction reported in this report, PWIMF held 11,348,649 shares of common stock, par value $0.0001 ("Common Stock"), of Enovix Corporation (the "Issuer") and PWPI held 1,123,976 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| July 14, 2021 Filed Jul 17, 2021 01:13 UTC | Enovix Corp ENVX · Entity 5188 | PurchaseCommon stock, par value $0.0001 | 2,142,857 | $14.00 | $29,999,998.00 |
DisclosureSEC source: 0000905718-21-000932 · enovix_fm4jul142021.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,442,857 F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. On July 14, 2021, the date of the transaction reported in this report, PWIMF held 11,348,649 shares of common stock, par value $0.0001 ("Common Stock"), of Enovix Corporation (the "Issuer") and PWPI held 1,123,976 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 22:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | SaleCommon Stock, $0.0001 par value per share | 345,383 | $6.95 | $2,400,584.54 |
DisclosureSEC source: 0000905718-21-000762 · kindred_fm4jun32021.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,000,002 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.91 to $6.97 per share, inclusive. The Reporting Person undertakes to provide to Issuer any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), though one or more affiliated entities, is the controlling manager of the Reporting Person. As of the latest transaction reported on this Form 4, PWIMF held 5,437,412 shares of Common Stock, and PWPI held 562,590 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 03, 2021 Filed Jun 7, 2021 22:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | SaleCommon Stock, $0.0001 par value per share | 69,600 | $6.80 | $473,092.08 |
DisclosureSEC source: 0000905718-21-000762 · kindred_fm4jun32021.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,345,385 F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), though one or more affiliated entities, is the controlling manager of the Reporting Person. As of the latest transaction reported on this Form 4, PWIMF held 5,437,412 shares of Common Stock, and PWPI held 562,590 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:11 UTC | ThredUp Inc. TDUP · Entity 1057 | OtherSeries F Preferred Stock · Derivative | 7,844,390 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-000519 · thredup_fm4mar302021.xml · derivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 7,844,390 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F3 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F3 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F3 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:11 UTC | ThredUp Inc. TDUP · Entity 1057 | OtherCommon Stock, par value $0.0001 | 8,715,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-000519 · thredup_fm4mar302021.xml · nonDerivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F2 · kind: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F3 · kind: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F2 · price: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F3 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series F Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis, and was then reclassified into one share of Class B Common Stock. The shares of Series F Preferred Stock have no expiration date. F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:11 UTC | ThredUp Inc. TDUP · Entity 1057 | OtherClass B Common Stock, par value $0.0001 | 8,715,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-000519 · thredup_fm4mar302021.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,715,989 F2 · kind: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F2 · price: Immediately prior to the completion of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, par value $0.0001 per share ("Common Stock"), each share of Common Stock was reclassified into one share of Class B Common Stock pursuant to a reclassification exempt under Rule 16b-7. F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:11 UTC | ThredUp Inc. TDUP · Entity 1057 | PurchaseClass A common stock, par value $0.0001 | 500,000 | $14.00 | $7,000,000.00 |
DisclosureSEC source: 0000905718-21-000519 · thredup_fm4mar302021.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 500,000 F1 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. Immediately following the closing of the Issuer's initial public offering, (i) PWIMF held 455,301 shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), and 7,917,253 shares of the Issuer's Class B Common Stock, par value $0.0001 per share ("Class B Common Stock"), and (ii) PWPI held 44,699 shares of the Issuer's Class A Common Stock and 798,736 shares of the Issuer's Class B Common Stock. Class B Common Stock is convertible into Class A Common Stock at any time at the option of the holder. Read SEC document |
| January 29, 2021 Filed Feb 1, 2021 23:00 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | SaleCommon Stock, $0.0001 par value per share | 3,300 | $5.07 | $16,731.00 |
DisclosureSEC source: 0000905718-21-000122 · ownership.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,414,985 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.10 per share, inclusive. The Reporting Person undertakes to provide to Issuer any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. F2 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. As of January 29, 2021, PWIMF held 5,808,785 shares of Common Stock, and PWPI held 606,200 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| January 28, 2021 Filed Feb 1, 2021 23:00 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | SaleCommon Stock, $0.0001 par value per share | 210,472 | $5.25 | $1,104,978.00 |
DisclosureSEC source: 0000905718-21-000122 · ownership.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,418,285 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.78 per share, inclusive. Park West Asset Management LLC (the "Reporting Person") undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. F2 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park"), through one or more affiliated entities, is the controlling manager of the Reporting Person. As of January 29, 2021, PWIMF held 5,808,785 shares of Common Stock, and PWPI held 606,200 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 22:22 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseWarrant · Derivative | 40,043 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000905718-20-001167 · rodgers_fm4dec102020.xml · derivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,149,999 Underlying: Common stock, par value $0.0001 · 40,043 shares Expires not disclosed F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F4 · price: The Units were purchased for $12.37 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $12.00 to $12.42 per Unit, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F5 · derivative.exercise_date: The Warrants will become exercisable at any time commencing on the later of (a) 12 months from the closing of the offering or (b) 30 days after the completion of the Company's initial business combination. F6 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 11, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,912,074 Units and PWPI held 387,926 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 22:22 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseCommon stock, par value $0.0001 | 80,087 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-001167 · rodgers_fm4dec102020.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,300,000 F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F4 · price: The Units were purchased for $12.37 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $12.00 to $12.42 per Unit, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 11, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,912,074 Units and PWPI held 387,926 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 22:22 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseWarrant · Derivative | 193,300 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000905718-20-001167 · rodgers_fm4dec102020.xml · derivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,109,956 Underlying: Common stock, par value $0.0001 · 193,300 shares Expires not disclosed F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Units were purchased for $11.49 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $11.40 to $11.50 per Unit, inclusive. Park West Asset Management LLC (the "Reporting Person") undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F5 · derivative.exercise_date: The Warrants will become exercisable at any time commencing on the later of (a) 12 months from the closing of the offering or (b) 30 days after the completion of the Company's initial business combination. F6 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 11, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,912,074 Units and PWPI held 387,926 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 22:22 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseCommon stock, par value $0.0001 | 386,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-001167 · rodgers_fm4dec102020.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,219,913 F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Units were purchased for $11.49 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $11.40 to $11.50 per Unit, inclusive. Park West Asset Management LLC (the "Reporting Person") undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 11, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,912,074 Units and PWPI held 387,926 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 08, 2020 Filed Dec 9, 2020 01:23 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseWarrant · Derivative | 63,701 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000905718-20-001158 · rodgers_fm4dec42020.xml · derivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,916,656 Underlying: Common stock, par value $0.0001 · 63,701 shares Expires not disclosed F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F4 · price: The Units were purchased for $11.44 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $11.21 to $12.30 per Unit, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F5 · derivative.exercise_date: The Warrants will become exercisable at any time commencing on the later of (a) 12 months from the closing of the offering or (b) 30 days after the completion of the Company's initial business combination. F6 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 8, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,487,496 Units and PWPI held 345,817 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 08, 2020 Filed Dec 9, 2020 01:23 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseCommon stock, par value $0.0001 | 127,402 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-001158 · rodgers_fm4dec42020.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,833,313 F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F4 · price: The Units were purchased for $11.44 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $11.21 to $12.30 per Unit, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 8, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,487,496 Units and PWPI held 345,817 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 04, 2020 Filed Dec 9, 2020 01:23 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseWarrant · Derivative | 352,955 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000905718-20-001158 · rodgers_fm4dec42020.xml · derivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,852,955 Underlying: Common stock, par value $0.0001 · 352,955 shares Expires not disclosed F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Units were purchased for $10.92 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $10.75 to $11.00 per Unit, inclusive. Park West Asset Management LLC (the "Reporting Person") undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F5 · derivative.exercise_date: The Warrants will become exercisable at any time commencing on the later of (a) 12 months from the closing of the offering or (b) 30 days after the completion of the Company's initial business combination. F6 · derivative.expiration_date: The Warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 8, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,487,496 Units and PWPI held 345,817 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| December 04, 2020 Filed Dec 9, 2020 01:23 UTC | Enovix Corp RSVAU · Entity 5188 | PurchaseCommon stock, par value $0.0001 | 705,911 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-001158 · rodgers_fm4dec42020.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,705,911 F1 · security: The securities reported herein are held as units ("Units"), with each Unit consisting of one share of common stock, par value $0.0001 per share ("Common Stock"), of Rodgers Silicon Valley Acquisition Corp. (the "Company") and one-half of one warrant to purchase one share of Common Stock at an exercise price of $11.50 per share (the "Warrants"). F2 · price: The Units were purchased for $10.92 per Unit. This price is a weighted average price. These Units were bought in multiple transactions ranging from $10.75 to $11.00 per Unit, inclusive. Park West Asset Management LLC (the "Reporting Person") undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Units purchased at each separate price within the ranges set forth herein. F3 · ownership.nature: The Reporting Person is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. On December 8, 2020, the date of the latest transaction reported in this statement, PWIMF held 3,487,496 Units and PWPI held 345,817 Units. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 26, 2020 Filed Jul 1, 2020 01:30 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | SaleCommon Stock, $0.0001 par value per share | 115,136 | $4.71 | $542,290.56 |
DisclosureSEC source: 0000905718-20-000678 · kindredbiosc_fm4jun262020.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 6,628,757 F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. As of June 26, 2020, PWIMF held 6,000,439 shares of Common Stock, and PWPI held 628,318 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 01:30 UTC | SciPlay Corp SCPL · Entity 92802 | SaleClass A Common Stock | 400,000 | $13.90 | $5,560,000.00 |
DisclosureSEC source: 0000905718-20-000601 · sciplay_fm4jun172020.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,213,205 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions with prices ranging from $13.90 to $13.95 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F3 · ownership.nature: On June 17, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,013,683 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 199,522 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 01:30 UTC | SciPlay Corp SCPL · Entity 92802 | SaleClass A Common Stock | 15,054 | $15.25 | $229,573.50 |
DisclosureSEC source: 0000905718-20-000568 · sciplay_fm4jun82020.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,613,205 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions with prices ranging from $15.25 to $15.27 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F3 · ownership.nature: On June 9, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,378,574 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 234,631 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 08, 2020 Filed Jun 11, 2020 01:30 UTC | SciPlay Corp SCPL · Entity 92802 | SaleClass A Common Stock | 1,450 | $15.25 | $22,112.50 |
DisclosureSEC source: 0000905718-20-000568 · sciplay_fm4jun82020.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,628,259 F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F3 · ownership.nature: On June 9, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,378,574 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 234,631 shares of Common Stock. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 01:30 UTC | SciPlay Corp SCPL · Entity 92802 | SaleClass A Common Stock | 584,400 | $13.92 | $8,134,848.00 |
DisclosureSEC source: 0000905718-20-000539 · ownership.xml · nonDerivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,629,709 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions with prices ranging from $13.90 to $14.35 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F4 · ownership.nature: On June 1, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,394,058 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 235,651 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 29, 2020 Filed Jun 3, 2020 01:30 UTC | SciPlay Corp SCPL · Entity 92802 | SaleClass A Common Stock | 115,600 | $14.09 | $1,628,804.00 |
DisclosureSEC source: 0000905718-20-000539 · ownership.xml · nonDerivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,214,109 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions with prices ranging from $13.93 to $14.29 per share, inclusive. The Reporting Person undertakes to provide SciPlay Corp, any security holder thereof, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F4 · ownership.nature: On June 1, 2020, the date of the latest transaction reported in this statement, PWIMF held 2,394,058 shares of Class A Common Stock $0.001 par value per share (the "Common Stock") and PWPI held 235,651 shares of Common Stock. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 28, 2020 Filed May 29, 2020 22:07 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 300,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000529 · kindredbiosc_fm4may282020.xml · derivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 300,000 shares Expires not disclosed F6 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 300,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.13 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,185,000. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F6 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 300,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.13 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,185,000. F6 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 300,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.13 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,185,000. F7 · price: During the term of the equity swaps, all dividends earned on the shares of Common Stock underlying the equity swaps were required to be paid to the Reporting Person, and the Reporting Person paid to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. Read SEC document |
| May 28, 2020 Filed May 29, 2020 22:07 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 790,707 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000529 · kindredbiosc_fm4may282020.xml · derivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 790,707 shares Expires not disclosed F5 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 790,707 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission) for 110,698 shares, and for a market value of $3.95 per share (net of a $0.15 sale commission) for 680,009 shares. The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $3,183,158. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F5 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 790,707 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission) for 110,698 shares, and for a market value of $3.95 per share (net of a $0.15 sale commission) for 680,009 shares. The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $3,183,158. F5 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 790,707 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission) for 110,698 shares, and for a market value of $3.95 per share (net of a $0.15 sale commission) for 680,009 shares. The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $3,183,158. F7 · price: During the term of the equity swaps, all dividends earned on the shares of Common Stock underlying the equity swaps were required to be paid to the Reporting Person, and the Reporting Person paid to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. Read SEC document |
| May 28, 2020 Filed May 29, 2020 22:07 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 289,302 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000529 · kindredbiosc_fm4may282020.xml · derivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 289,302 shares Expires not disclosed F4 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 289,302 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,299,197. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F4 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 289,302 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,299,197. F4 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 289,302 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $4.4908 per share (net of a $0.02 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,299,197. F7 · price: During the term of the equity swaps, all dividends earned on the shares of Common Stock underlying the equity swaps were required to be paid to the Reporting Person, and the Reporting Person paid to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. Read SEC document |
| May 28, 2020 Filed May 29, 2020 22:07 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 340,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000529 · kindredbiosc_fm4may282020.xml · derivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 340,000 shares Expires not disclosed F3 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 340,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.0799 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,343,000. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F3 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 340,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.0799 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,343,000. F3 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 340,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.0799 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to all remaining shares, for a market value of $3.95 per share (net of a $0.15 sale commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $1,343,000. F7 · price: During the term of the equity swaps, all dividends earned on the shares of Common Stock underlying the equity swaps were required to be paid to the Reporting Person, and the Reporting Person paid to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). On May 28, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. Read SEC document |
| May 27, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 28,117 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 7 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 28,117 shares Expires not disclosed F8 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 28,117 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,117 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $128,500. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F8 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 28,117 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,117 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $128,500. F8 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 28,117 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,117 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $128,500. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 27, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 30,669 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 6 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 30,669 shares Expires not disclosed F5 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F5 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F5 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 27, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 30,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 5 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F7 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 30,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $6.5792 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,000 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $137,106. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F7 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 30,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $6.5792 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,000 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $137,106. F7 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 30,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $6.5792 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,000 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $137,106. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 27, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 9,293 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 4 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 790,707 Underlying: Common Stock · 9,293 shares Expires not disclosed F6 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 800,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 9,293 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $42,471. The equity swap remains in place upon its original terms with respect to the remaining 790,707 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F6 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 800,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 9,293 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $42,471. The equity swap remains in place upon its original terms with respect to the remaining 790,707 shares of Common Stock. F6 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 800,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 9,293 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $42,471. The equity swap remains in place upon its original terms with respect to the remaining 790,707 shares of Common Stock. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 27, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 82,941 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 289,302 Underlying: Common Stock · 82,941 shares Expires not disclosed F3 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · derivative.exercise_price: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F3 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · kind: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F3 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · price: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 26, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 119,955 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 30,669 Underlying: Common Stock · 119,955 shares Expires not disclosed F5 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F5 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F5 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 150,624 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 119,955 shares, for an average market value of $4.9658 per share (net of the Sale Commission). Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to the remaining 30,669 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $735,835. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 26, 2020 Filed May 29, 2020 01:58 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 28,760 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000518 · kindredbiosc_fm4may262020.xml · derivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 372,243 Underlying: Common Stock · 28,760 shares Expires not disclosed F3 · derivative.exercise_price: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · derivative.exercise_price: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F3 · kind: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · kind: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F3 · price: The Reporting Person had previously entered into an equity swap with the Counterparty for 401,003 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the May 26 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 28,760 shares, for an average market value of $4.9658 per share (net of a $0.02 per share commission (the "Sale Commission")). F4 · price: Upon the May 27 Cancellation Date, the Reporting Person terminated the equity swap early with respect to 82,941 shares, for an average market value of $4.5702 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such terminations was approximately $521,872. The equity swap remains in place upon its original terms with respect to the remaining 289,302 shares of Common Stock. F9 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date").On May 26, 2020 (the "May 26 Cancellation Date") and May 27, 2020 (the "May 27 Cancellation Date") the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F10 · ownership.nature: Of the aggregate of 1,080,009 shares of Common Stock currently underlying the equity swaps following the transactions described herein, PWIMF holds the economic equivalent of 995,204 shares, and PWPI holds the economic equivalent of 84,805 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 20, 2020 Filed May 22, 2020 23:32 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 3,670 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000514 · kindredbiosc_fm4may202020.xml · derivative · entry 3 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 28,117 Underlying: Common Stock · 3,670 shares Expires not disclosed F5 · derivative.exercise_price: Commencing March 27, 2017, the Reporting Person entered into an equity swap with the Counterparty for 31,787 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Sales Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 3,670 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $17,941. The equity swap remains in place upon its original terms with respect to the remaining 28,117 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F5 · kind: Commencing March 27, 2017, the Reporting Person entered into an equity swap with the Counterparty for 31,787 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Sales Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 3,670 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $17,941. The equity swap remains in place upon its original terms with respect to the remaining 28,117 shares of Common Stock. F5 · price: Commencing March 27, 2017, the Reporting Person entered into an equity swap with the Counterparty for 31,787 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1237 per share (including the Sales Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 3,670 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $17,941. The equity swap remains in place upon its original terms with respect to the remaining 28,117 shares of Common Stock. F6 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F7 · ownership.nature: Of the aggregate of 579,744 shares of Common Stock currently underlying the equity swaps, PWIMF held the economic equivalent of 540,229 shares, and PWPI held the economic equivalent of 39,515 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 20, 2020 Filed May 22, 2020 23:32 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 17,589 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000514 · kindredbiosc_fm4may202020.xml · derivative · entry 2 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 150,624 Underlying: Common Stock · 17,589 shares Expires not disclosed F4 · derivative.exercise_price: Commencing March 24, 2017, the Reporting Person entered into an equity swap with the Counterparty for 168,213 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 17,589 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $85,989. The equity swap remains in place upon its original terms with respect to the remaining 150,624 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F4 · kind: Commencing March 24, 2017, the Reporting Person entered into an equity swap with the Counterparty for 168,213 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 17,589 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $85,989. The equity swap remains in place upon its original terms with respect to the remaining 150,624 shares of Common Stock. F4 · price: Commencing March 24, 2017, the Reporting Person entered into an equity swap with the Counterparty for 168,213 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $7.1531 per share (including the Purchase Commission), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 17,589 shares, for an average market value of $4.8888 per share (net of the Sale Commission). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $85,989. The equity swap remains in place upon its original terms with respect to the remaining 150,624 shares of Common Stock. F6 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F7 · ownership.nature: Of the aggregate of 579,744 shares of Common Stock currently underlying the equity swaps, PWIMF held the economic equivalent of 540,229 shares, and PWPI held the economic equivalent of 39,515 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. Read SEC document |
| May 20, 2020 Filed May 22, 2020 23:32 UTC | Kindred Biosciences, Inc. KIN · Entity 135544 | OtherEquity Swap · Derivative | 8,997 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-000514 · kindredbiosc_fm4may202020.xml · derivative · entry 1 Park West Asset Management LLC · CIK 0001386928 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 401,003 Underlying: Common Stock · 8,977 shares Expires not disclosed F3 · derivative.exercise_price: Commencing October 5, 2016, the Reporting Person entered into an equity swap with the Counterparty for 410,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 8,997 shares, for an average market value of $4.8888 per share (net of a $0.02 per share commission (the "Sale Commission")). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $43,984. The equity swap remains in place upon its original terms with respect to the remaining 401,003 shares of Common Stock. F2 · kind: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F3 · kind: Commencing October 5, 2016, the Reporting Person entered into an equity swap with the Counterparty for 410,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 8,997 shares, for an average market value of $4.8888 per share (net of a $0.02 per share commission (the "Sale Commission")). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $43,984. The equity swap remains in place upon its original terms with respect to the remaining 401,003 shares of Common Stock. F3 · price: Commencing October 5, 2016, the Reporting Person entered into an equity swap with the Counterparty for 410,000 shares of Common Stock, under which, on the Settlement Date, (i) the Reporting Person is obligated to pay to the Counterparty $5.18 per share (including a $0.03 per share commission (the "Purchase Commission")), and (ii) the Counterparty is obligated to pay to the Reporting Person the aggregate market value as of the Settlement Date for such shares. Upon the Cancellation Date, the Reporting Person terminated the equity swap early with respect to 8,997 shares, for an average market value of $4.8888 per share (net of a $0.02 per share commission (the "Sale Commission")). The net payment by the Reporting Person to the Counterparty in connection with such termination was approximately $43,984. The equity swap remains in place upon its original terms with respect to the remaining 401,003 shares of Common Stock. F6 · price: During the term of the equity swaps, any dividends earned on the shares of Common Stock underlying the equity swaps are required to be paid to the Reporting Person, and the Reporting Person must pay to the Counterparty "interest" on the aggregate swap amount at the Federal Funds rate plus 30 basis points. F2 · derivative.expiration_date: The Reporting Person previously entered into certain equity swaps with a securities broker (the "Counterparty"), as described below, covering certain shares of Common Stock, par value $0.0001 per share (the "Common Stock"), of Kindred Biosciences, Inc. (the "Company"). The equity swaps are scheduled to expire on June 4, 2020 (the "Settlement Date"). However, on May 20, 2020 (the "Cancellation Date"), the Reporting Person agreed with the Counterparty to terminate the equity swaps early with respect to certain shares for the payments described below. F1 · ownership.nature: Park West Asset Management LLC (the "Reporting Person") is the investment manager to Park West Investors Master Fund, Limited, a Cayman Islands exempted company ("PWIMF"), and Park West Partners International, Limited, a Cayman Islands exempted company ("PWPI"). Peter S. Park ("Mr. Park") is the sole member and manager of the Reporting Person. F7 · ownership.nature: Of the aggregate of 579,744 shares of Common Stock currently underlying the equity swaps, PWIMF held the economic equivalent of 540,229 shares, and PWPI held the economic equivalent of 39,515 shares. The Reporting Person's and Mr. Park's beneficial ownership is limited to their pecuniary interest, if any, in such securities. 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.