organization · Reporting owner
5AM Co-Investors IV, L.P.
Disclosed activity across 6 companies
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (6)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aprea Therapeutics, Inc.
Report date October 05, 2020 · Filed October 08, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, Schwab Andrew J., PARMAR KUSH, ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 138,497 |
Reported balance
After 2020-10-05 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2020-10-05 · Sale · Disposed 175,000 · Balance 138,497 F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,823,192 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,823,192 F3: Shares are held directly by 5AM Ventures IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 75,965 |
Reported balance
Holding disclosure · report date 2020-10-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 75,965 F5: Shares are held directly by 5AM Co-Investors IV, L.P. F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4.
F2: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein.
F3: Shares are held directly by 5AM Ventures IV, L.P.
F4: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Dr. Scott M. Rocklage and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein.
F5: Shares are held directly by 5AM Co-Investors IV, L.P.
Crinetics Pharmaceuticals, Inc.
Report date June 21, 2019 · Filed June 25, 2019
Jointly reported with 5AM Ventures IV, L.P., 5AM Partners IV, LLC, ROCKLAGE SCOTT M, DIEKMAN JOHN D, Schwab Andrew J.
Section 16 reporting ended · disclosed 2019-06-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footote | 2,267,797 |
Reported balance
After 2019-06-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-21 · Sale · Disposed 240,000 · Balance 2,267,797 F1: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footote | 94,489 |
Reported balance
After 2019-06-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-21 · Sale · Disposed 10,000 · Balance 94,489 F2: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F2: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
IDEAYA Biosciences, Inc.
Report date November 11, 2020 · Filed November 14, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Partners IV, LLC, 5AM Opportunities I, L.P., 5AM Opportunities I (GP), LLC, DIEKMAN JOHN D, Schwab Andrew J., ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2020-11-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,187,428 |
Reported balance
After 2020-11-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-11-11 · Sale · Disposed 657,117 · Balance 2,187,428 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 91,142 |
Reported balance
After 2020-11-11 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-11-11 · Sale · Disposed 27,379 · Balance 91,142 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 384,496 |
Reported balance
After 2020-11-11 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-11-11 · Sale · Disposed 115,504 · Balance 384,496 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote.
F2: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F3: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F4: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Pear Therapeutics, Inc.
Report date April 10, 2023 · Filed April 12, 2023
Jointly reported with 5AM Partners IV, LLC, 5AM Ventures IV, L.P., 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.
Section 16 reporting ended · disclosed 2023-04-12. 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 | IndirectBy 5AM Ventures IV, L.P. | 0 |
Reported balance
After 2023-04-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-04-10 · Sale · Disposed 12,836,489 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. 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 range set forth in this footnote. F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors IV, L.P. | 0 |
Reported balance
After 2023-04-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-04-10 · Sale · Disposed 534,855 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. 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 range set forth in this footnote. F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 200,000 |
Reported balance
After 2023-04-10 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-04-10 · Sale · Disposed 3,172,769 · Balance 200,000 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. 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 range set forth in this footnote. F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.11 to $0.19 inclusive. 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 range set forth in this footnote.
F2: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F3: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Dr. Rocklage and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his respective pecuniary interest therein.
F4: Shares are held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of the shares of Common Stock held by Opportunities, except to the extent of its or his pecuniary interest therein.
Q32 Bio Inc.
Report date December 22, 2020 · Filed December 29, 2020
Jointly reported with 5AM Ventures IV, L.P., 5AM Partners IV, LLC, DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.
Section 16 reporting ended · disclosed 2020-12-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,354,484 |
Reported balance
After 2020-12-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-22 · Sale · Disposed 480,000 · Balance 4,354,484 F1: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 181,435 |
Reported balance
After 2020-12-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-12-22 · Sale · Disposed 20,000 · Balance 181,435 F2: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
F2: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.
scPharmaceuticals Inc.
Report date October 06, 2022 · Filed October 11, 2022
Jointly reported with 5AM Partners IV, LLC, 5AM Opportunities I (GP), LLC, 5AM Opportunities I, L.P., 5AM Ventures IV, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.
Section 16 reporting ended · disclosed 2022-10-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures IV, L.P. | 2,231,601 |
Last balance in matching sequence
After 2022-10-10 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-10-06 · Sale · Disposed 30,457 · Balance 2,688,014 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 4 · 2022-10-10 · Sale · Disposed 456,413 · Balance 2,231,601 F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors IV, L.P. | 92,983 |
Last balance in matching sequence
After 2022-10-10 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2022-10-06 · Sale · Disposed 1,269 · Balance 112,000 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Row 5 · 2022-10-10 · Sale · Disposed 19,017 · Balance 92,983 F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Opportunities I, L.P. | 410,268 |
Last balance in matching sequence
After 2022-10-10 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2022-10-06 · Sale · Disposed 5,808 · Balance 497,304 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. Row 6 · 2022-10-10 · Sale · Disposed 87,036 · Balance 410,268 F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F2: The shares are directly held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV and may be deemed to have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
F3: Shares are directly held by 5AM Opportunities I, L.P. ("Opportunities"). 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab is a managing member of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP and Mr. Schwab disclaims beneficial ownership of such shares, except to the extent of its or his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| December 14, 2020 Filed Dec 17, 2020 00:15 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 13,703 | $11.88 | $162,791.64 |
DisclosureSEC source: 0001209191-20-063902 · doc4.xml · nonDerivative · entry 4 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 201,435 F2 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 00:15 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 6,297 | $13.06 | $82,244.49 |
DisclosureSEC source: 0001209191-20-063902 · doc4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 215,138 F2 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 00:15 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 328,862 | $11.88 | $3,906,880.56 |
DisclosureSEC source: 0001209191-20-063902 · doc4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,834,484 F1 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| December 14, 2020 Filed Dec 17, 2020 00:15 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 151,138 | $13.06 | $1,973,998.30 |
DisclosureSEC source: 0001209191-20-063902 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,163,346 F1 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| November 11, 2020 Filed Nov 14, 2020 01:53 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | SaleCommon Stock | 115,504 | $13.66 | $1,577,784.64 |
DisclosureSEC source: 0001104659-20-125231 · a4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 384,496 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F4 · ownership.nature: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities I expressly disclaim status as a "group" for purposes of this Form 4. 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Dr. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| November 11, 2020 Filed Nov 14, 2020 01:53 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | SaleCommon Stock | 27,379 | $13.66 | $373,997.14 |
DisclosureSEC source: 0001104659-20-125231 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 91,142 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F3 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV" and, collectively with Ventures IV, the "5AM IV Funds"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| November 11, 2020 Filed Nov 14, 2020 01:53 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | SaleCommon Stock | 657,117 | $13.66 | $8,976,218.22 |
DisclosureSEC source: 0001104659-20-125231 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,187,428 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.75 inclusive. 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 range set forth in this footnote. F2 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| October 05, 2020 Filed Oct 8, 2020 01:30 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 175,000 | $25.30 | $4,427,500.00 |
DisclosureSEC source: 0001104659-20-113186 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · Former 10% holder 5AM Co-Investors IV, L.P. · CIK 0001593361 · Former 10% holder 5AM Partners IV, LLC · CIK 0001589314 · Former 10% holder 5AM Opportunities I, L.P. · CIK 0001753000 · Former 10% holder 5AM Opportunities I (GP), LLC · CIK 0001790778 · Former 10% holder DIEKMAN JOHN D · CIK 0001240357 · Former 10% holder Schwab Andrew J. · CIK 0001598549 · Former 10% holder PARMAR KUSH · CIK 0001664281 · Former 10% holder ROCKLAGE SCOTT M · CIK 0001219014 · Former 10% holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 138,497 F1 · ownership.direct: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2 · ownership.direct: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F2 · ownership.nature: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 23:22 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 19,836 | $33.30 | $660,538.80 |
DisclosureSEC source: 0001209191-20-037714 · doc4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 313,497 F4 · ownership.direct: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F5 · ownership.direct: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. F4 · ownership.nature: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F5 · ownership.nature: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Dr. Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Dr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 23:22 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 4,807 | $33.30 | $160,073.10 |
DisclosureSEC source: 0001209191-20-037714 · doc4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 75,965 F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 23:22 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 115,357 | $33.30 | $3,841,388.10 |
DisclosureSEC source: 0001209191-20-037714 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,823,192 F1 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 11, 2020 Filed Jun 16, 2020 01:12 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 9,800 | $28.75 | $281,776.46 |
DisclosureSEC source: 0001209191-20-036845 · doc4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 80,772 F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. Read SEC document |
| June 11, 2020 Filed Jun 16, 2020 01:12 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 235,200 | $28.75 | $6,762,635.04 |
DisclosureSEC source: 0001209191-20-036845 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,938,549 F1 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| May 19, 2020 Filed May 22, 2020 01:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 10,200 | $35.15 | $358,530.00 |
DisclosureSEC source: 0001209191-20-031545 · doc4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 90,572 F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. Read SEC document |
| May 19, 2020 Filed May 22, 2020 01:31 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | SaleCommon Stock | 244,800 | $35.15 | $8,604,720.00 |
DisclosureSEC source: 0001209191-20-031545 · doc4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,173,748 F1 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F1 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F2 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionSeries C Convertible Preferred Stock · Derivative | 20,519 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · derivative · entry 9 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 20,519 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionSeries C Convertible Preferred Stock · Derivative | 492,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · derivative · entry 8 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 492,475 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionSeries B Convertible Preferred Stock · Derivative | 79,746 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · derivative · entry 7 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 79,746 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionSeries B Convertible Preferred Stock · Derivative | 1,913,910 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · derivative · entry 6 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,913,910 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | PurchaseCommon Stock | 333,333 | $15.00 | $4,999,995.00 |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 5 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 333,333 F5 · ownership.direct: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F6 · ownership.direct: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. F5 · ownership.nature: Shares are held directly by 5AM Opportunities I, L.P. ("Opportunities"), which is under common control with the 5AM IV Funds. The 5AM IV Funds and Opportunities expressly disclaim status as a "group" for purposes of this Form 4. F6 · ownership.nature: 5AM Opportunities I (GP), LLC ("Opportunities GP") is the sole general partner of Opportunities. Andrew J. Schwab and Kush Parmar are managing members of Opportunities GP and may be deemed to have shared voting and investment power over the shares beneficially owned by Opportunities. Each of Opportunities GP, Mr. Schwab and Mr. Parmar disclaims beneficial ownership of the shares of Common Stock held directly by Opportunities, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionCommon Stock | 20,519 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 4 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 100,772 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionCommon Stock | 492,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,418,548 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionCommon Stock | 79,746 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 80,253 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F3 · ownership.direct: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F3 · ownership.nature: Shares are held directly by 5AM Co-Investors IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| October 07, 2019 Filed Oct 9, 2019 22:23 UTC | Aprea Therapeutics, Inc. APRE · Entity 7948 | ConversionCommon Stock | 1,913,910 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053617 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner 5AM Opportunities I, L.P. · CIK 0001753000 · 10% owner 5AM Opportunities I (GP), LLC · CIK 0001790778 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner PARMAR KUSH · CIK 0001664281 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,926,073 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: These shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (collectively, "Preferred Stock") automatically converted into shares of the Issuer's Common Stock ("Common Stock"), on a 1-for-1 basis, immediately prior to the completion of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date. F2 · ownership.direct: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.direct: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. F2 · ownership.nature: Shares are held directly by 5AM Ventures IV, L.P. F4 · ownership.nature: 5AM Partners IV, LLC is the sole general partner of each of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (collectively, the "5AM IV Funds"). Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by the 5AM IV Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaims beneficial ownership of the shares of Common Stock and Preferred Stock held directly by the 5AM IV Funds, except to the extent of its or his pecuniary interest therein. Read SEC document |
| June 21, 2019 Filed Jun 25, 2019 23:03 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 10,000 | $22.20 | $222,000.00 |
DisclosureSEC source: 0001104659-19-037468 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · Former 10% holder 5AM Co-Investors IV, L.P. · CIK 0001593361 · Former 10% holder 5AM Partners IV, LLC · CIK 0001589314 · Former 10% holder ROCKLAGE SCOTT M · CIK 0001219014 · Former 10% holder DIEKMAN JOHN D · CIK 0001240357 · Former 10% holder Schwab Andrew J. · CIK 0001598549 · Former 10% holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footote Disclosed balance after: 94,489 F2 · ownership.nature: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| June 21, 2019 Filed Jun 25, 2019 23:03 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 240,000 | $22.20 | $5,328,000.00 |
DisclosureSEC source: 0001104659-19-037468 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · Former 10% holder 5AM Co-Investors IV, L.P. · CIK 0001593361 · Former 10% holder 5AM Partners IV, LLC · CIK 0001589314 · Former 10% holder ROCKLAGE SCOTT M · CIK 0001219014 · Former 10% holder DIEKMAN JOHN D · CIK 0001240357 · Former 10% holder Schwab Andrew J. · CIK 0001598549 · Former 10% holder Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footote Disclosed balance after: 2,267,797 F1 · ownership.nature: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionSeries B Preferred Stock · Derivative | 24,101 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · derivative · entry 11 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 24,101 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.underlying_shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · derivative.underlying_shares: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionSeries A Preferred Stock · Derivative | 71,745 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · derivative · entry 10 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 71,745 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · derivative.exercise_date: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · derivative.expiration_date: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.underlying_shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · derivative.underlying_shares: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F5 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionSeries B Preferred Stock · Derivative | 578,447 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · derivative · entry 9 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 578,447 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.underlying_shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · derivative.underlying_shares: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionSeries A Preferred Stock · Derivative | 1,721,898 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · derivative · entry 8 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,721,898 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · derivative.exercise_date: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · derivative.expiration_date: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.underlying_shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · derivative.underlying_shares: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | PurchaseCommon Stock | 500,000 | $10.00 | $5,000,000.00 |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 7 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 500,000 F6 · ownership.nature: The shares are held by 5AM Opportunities I, L.P. ("Opportunities I"). 5AM Opportunities I (GP), LLC ("Opportunities I GP") is the sole general partner of Opportunities I. Kush Parmar and Andrew J. Schwab are the managing members of Opportunities I GP, and have shared voting and investment power over the shares beneficially owned by Opportunities I. Each of Opportunities I GP and Mr. Schwab disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | PurchaseCommon Stock | 10,000 | $10.00 | $100,000.00 |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 6 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 118,521 F5 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | PurchaseCommon Stock | 240,000 | $10.00 | $2,400,000.00 |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 5 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,844,545 F3 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionCommon Stock | 24,101 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 4 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 108,521 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · shares: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · balance_after: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F5 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionCommon Stock | 71,745 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 84,420 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · shares: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · balance_after: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F5 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionCommon Stock | 578,447 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,604,545 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F4 · shares: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F4 · price: Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · balance_after: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F3 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 28, 2019 Filed May 29, 2019 00:40 UTC | IDEAYA Biosciences, Inc. IDYA · Entity 4069 | ConversionCommon Stock | 1,721,898 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-012279 · doc1.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,026,098 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F2 · shares: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · price: Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · balance_after: Reflects a 1-for-10.2564 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. F3 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:26 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 24,600 | $21.47 | $528,162.00 |
DisclosureSEC source: 0001104659-19-030566 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 221,435 F2 · ownership.nature: The shares are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| May 16, 2019 Filed May 20, 2019 20:26 UTC | Q32 Bio Inc. FIXX · Entity 5594 | SaleCommon Stock | 590,400 | $21.47 | $12,675,888.00 |
DisclosureSEC source: 0001104659-19-030566 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,314,484 F1 · ownership.nature: The shares are held by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:48 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 6,194 | $24.25 | $150,208.84 |
DisclosureSEC source: 0001104659-19-016338 · a4.xml · nonDerivative · entry 2 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 104,489 F2 · ownership.nature: These securities are held by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Partners IV is the sole general partner of Co-Investors IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Co-Investors IV, and have shared voting and investment power over the shares beneficially owned by Co-Investors IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:48 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 148,645 | $24.25 | $3,604,745.30 |
DisclosureSEC source: 0001104659-19-016338 · a4.xml · nonDerivative · entry 1 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,507,797 F1 · ownership.nature: These securities are held by by 5AM Ventures IV, L.P. ("Ventures IV"). 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV. Dr. John Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners IV, and have shared voting and investment power over the shares beneficially owned by Ventures IV. Each of Partners IV, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaims beneficial ownership of such shares except to the extent of its or their pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 783 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 11 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,723 F19 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investors IV to the Scott M. Rocklage Trust u/d/t/ dated October 22, 2015; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust II"). F20 · ownership.nature: These securities are held of record by the Rocklage Trust II. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 783 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 10 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,723 F18 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investors IV to the Diekman Trust. F12 · ownership.nature: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 783 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 9 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,723 F17 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investors IV to the Schwab Family Trust. F10 · ownership.nature: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 587 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 8 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 940 F15 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners IV to MADRock II LLC ("MADRock II"). F16 · ownership.nature: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 353 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 7 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 353 F13 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners IV to Scott M. Rocklage Revocable Trust dated March 2, 1999 as amended February 8, 2008; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust"). F14 · ownership.nature: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 940 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 6 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 940 F11 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners IV to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust"). F12 · ownership.nature: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 940 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 5 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 940 F9 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners IV to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust"). F10 · ownership.nature: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 4,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 4 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F7 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Partners IV without consideration to its members. F6 · ownership.nature: These securities are held of record by Partners IV. Read SEC document |
| February 20, 2019 Filed Feb 23, 2019 01:06 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | OtherCommon Stock | 4,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-010154 · a4.xml · nonDerivative · entry 3 5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner 5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner 5AM Partners IV, LLC · CIK 0001589314 · 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner DIEKMAN JOHN D · CIK 0001240357 · 10% owner Schwab Andrew J. · CIK 0001598549 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,700 F5 · kind: Represents a change in the form of ownership of 5AM Partners IV, LLC ("Partners IV") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures IV and Co-Investors IV. F6 · ownership.nature: These securities are held of record by Partners IV. 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.