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5AM Co-Investors IV, L.P.

Disclosed activity across 6 companies

Tapewire entity
114515
SEC CIK
0001593361

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Reported 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.

Section 16 reporting ended · disclosed 2020-10-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes138,497 Reported balance After 2020-10-05 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeIndirectSee footnotes1,823,192 Reported balance Holding disclosure · report date 2020-10-05 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeIndirectSee footnotes75,965 Reported balance Holding disclosure · report date 2020-10-05 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footote2,267,797 Reported balance After 2019-06-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footote94,489 Reported balance After 2019-06-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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.

Section 16 reporting ended · disclosed 2020-11-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote2,187,428 Reported balance After 2020-11-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnote91,142 Reported balance After 2020-11-11 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnote384,496 Reported balance After 2020-11-11 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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.

Section 16 reporting ended · disclosed 2023-04-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote4,354,484 Reported balance After 2020-12-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectSee footnote181,435 Reported balance After 2020-12-22 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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.

Section 16 reporting ended · disclosed 2022-10-11. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy 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 rows

Row 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

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
February 20, 2019 Filed Feb 23, 2019 01:06 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 OtherCommon Stock 18,800 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-010154 · 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 foototes

Disclosed balance after: 110,683

F3 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors IV, L.P. ("Co-Investors IV") without consideration to its partners.

F4 · ownership.nature: These securities are held of record by Co-Investors IV.

F8 · ownership.nature: Partners IV is the sole general partner of Ventures IV and 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 Ventures IV and 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
February 20, 2019 Filed Feb 23, 2019 01:06 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 OtherCommon Stock 451,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-010154 · 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 foototes

Disclosed balance after: 2,656,442

F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures IV, L.P. ("Ventures IV") without consideration to its partners.

F2 · ownership.nature: These securities are held of record by Ventures IV.

F8 · ownership.nature: Partners IV is the sole general partner of Ventures IV and 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 Ventures IV and 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
January 22, 2019 Filed Jan 25, 2019 00:01 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 SaleCommon Stock 10,486 $21.88 $229,381.25
Disclosure

SEC source: 0001104659-19-003219 · 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 footnotes

Disclosed balance after: 129,483

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 129,483 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
January 22, 2019 Filed Jan 25, 2019 00:01 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 SaleCommon Stock 251,667 $21.88 $5,505,215.63
Disclosure

SEC source: 0001104659-19-003219 · 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 footnotes

Disclosed balance after: 3,107,642

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,107,642 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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 10, 2018 Filed Dec 13, 2018 01:10 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 623 $26.01 $16,201.18
Disclosure

SEC source: 0001104659-18-072619 · 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: 246,035

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 10, 2018 Filed Dec 13, 2018 01:10 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 14,952 $26.01 $388,828.26
Disclosure

SEC source: 0001104659-18-072619 · 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: 5,904,884

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 23, 2018 Filed Nov 27, 2018 23:08 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 1,187 $20.04 $23,782.73
Disclosure

SEC source: 0001104659-18-070148 · 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: 246,658

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
November 23, 2018 Filed Nov 27, 2018 23:08 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 28,495 $20.04 $570,925.82
Disclosure

SEC source: 0001104659-18-070148 · 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: 5,919,836

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 16, 2018 Filed Nov 20, 2018 22:05 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 21,036 $20.20 $424,927.20
Disclosure

SEC source: 0001104659-18-069431 · 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: 247,845

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
November 16, 2018 Filed Nov 20, 2018 22:05 UTC Q32 Bio Inc. FIXX · Entity 5594 SaleCommon Stock 504,864 $20.20 $10,198,252.80
Disclosure

SEC source: 0001104659-18-069431 · 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: 5,948,331

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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionSeries B Preferred Stock · Derivative 61,861 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · a4.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

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 footnotes

Disclosed balance after: 0

Underlying: Common Stock · 18,802 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 the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionSeries A Preferred Stock · Derivative 383,507 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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

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 footnotes

Disclosed balance after: 0

Underlying: Common Stock · 116,567 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 the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionSeries B Preferred Stock · Derivative 1,484,690 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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

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 footnotes

Disclosed balance after: 0

Underlying: Common Stock · 451,274 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 the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionSeries A Preferred Stock · Derivative 9,204,220 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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

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 footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,797,635 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 the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F4 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 PurchaseCommon Stock 4,600 $17.00 $78,200.00
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 139,969

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 PurchaseCommon Stock 110,400 $17.00 $1,876,800.00
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 3,359,309

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionCommon Stock 18,802 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 135,369

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 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionCommon Stock 116,567 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 116,567

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 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV"). Following the transactions reported herein, 139,969 shares of Common Stock are held of record by Co-Investors IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionCommon Stock 451,274 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 3,248,909

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 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
July 20, 2018 Filed Jul 20, 2018 23:02 UTC Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 ConversionCommon Stock 2,797,635 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-046330 · 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 footnotes

Disclosed balance after: 2,797,635

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 · price: Each share of the Issuer's Series A Preferred Stock and Series B Preferred Stock automatically converted into the Issuer's Common stock on a 3.29-for-1 basis, for no additional consideration, upon the closing of the Issuer's initial public offering. The Series A Preferred Stock and the Series B Preferred Stock had no expiration date.

F1 · ownership.nature: These securities are held of record by 5AM Ventures IV, L.P. ("Ventures IV"). Following the transactions reported herein, 3,359,309 shares of Common Stock are held of record by Ventures IV.

F3 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
April 02, 2018 Filed Apr 4, 2018 22:41 UTC Q32 Bio Inc. FIXX · Entity 5594 ConversionSeries B Preferred Stock · Derivative 1,187,535 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-022462 · a4.xml · derivative · entry 3

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: 0

Underlying: Common Stock · 1,187,535 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.

F3 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F3 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F3 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F2 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
April 02, 2018 Filed Apr 4, 2018 22:41 UTC Q32 Bio Inc. FIXX · Entity 5594 ConversionSeries A Preferred Stock · Derivative 4,204,502 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-022462 · a4.xml · derivative · 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: 0

Underlying: Common Stock · 4,204,502 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.

F3 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F3 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F3 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series A Preferred Stock and Series B Preferred Stock was automatically converted into one share of the Issuer's common stock.

F2 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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
April 02, 2018 Filed Apr 4, 2018 22:41 UTC Q32 Bio Inc. FIXX · Entity 5594 ConversionCommon Stock 5,392,037 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-022462 · 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 footnotes

Disclosed balance after: 6,722,076

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 · ownership.nature: Following the transactions reported herein, includes 6,453,195 shares of Common Stock held of record by 5AM Ventures IV, L.P. ("Ventures IV") and 268,881 shares of Common Stock held of record by 5AM Co-Investors IV, L.P. ("Co-Investors IV").

F2 · ownership.nature: 5AM Partners IV, LLC ("Partners IV") is the sole general partner of Ventures IV and 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 Ventures IV and 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 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionSeries B Preferred Stock · Derivative 302,652 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · derivative · entry 10

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Co-Investors IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 42,150 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.

F6 · derivative.exercise_price: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.underlying_shares: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionSeries A Preferred Stock · Derivative 443,708 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · derivative · entry 9

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Co-Investors IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 61,795 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.

F6 · derivative.exercise_price: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.underlying_shares: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionSeries B Preferred Stock · Derivative 7,263,649 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · derivative · entry 8

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Ventures IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,011,623 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.

F6 · derivative.exercise_price: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.underlying_shares: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionSeries A Preferred Stock · Derivative 10,649,003 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · derivative · entry 7

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Ventures IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,483,107 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.

F6 · derivative.exercise_price: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.exercise_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.expiration_date: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F6 · derivative.underlying_shares: All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 7.180193-for-1 basis on November 21, 2017 and had no expiration date.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 PurchaseCommon Stock 26,190 $14.00 $366,660.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 6

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Co-Investors IV, L.P.

Disclosed balance after: 130,135

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionCommon Stock 42,150 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 5

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Co-Investors IV, L.P.

Disclosed balance after: 103,945

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.

F5 · price: Represents the total number of shares of Common Stock received by 5AM Co-Investors IV, L.P., upon conversion of the Issuer's Series B Preferred Stock in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

Read SEC document
November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionCommon Stock 61,795 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 4

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Co-Investors IV, L.P.

Disclosed balance after: 61,795

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 · price: Represents the total number of shares of Common Stock received by 5AM Co-Investors IV, L.P., upon conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

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November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 PurchaseCommon Stock 628,572 $14.00 $8,800,008.00
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 3

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Ventures IV, L.P.

Disclosed balance after: 3,123,302

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

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November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionCommon Stock 1,011,623 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 2

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Ventures IV, L.P.

Disclosed balance after: 2,494,730

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: Represents the total number of shares of Common Stock received by 5AM Ventures IV, L.P., upon conversion of the Issuer's Series B Preferred Stock in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

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November 21, 2017 Filed Nov 21, 2017 19:16 UTC scPharmaceuticals Inc. SCPH · Entity 74456 ConversionCommon Stock 1,483,107 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027189 · doc4.xml · nonDerivative · entry 1

5AM Partners IV, LLC · CIK 0001589314 · 10% owner

5AM Ventures IV, L.P. · CIK 0001589315 · 10% owner

5AM Co-Investors IV, L.P. · CIK 0001593361 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 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 · by 5AM Ventures IV, L.P.

Disclosed balance after: 1,483,107

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Represents the total number of shares of Common Stock received by 5AM Ventures IV, L.P., upon conversion of the Issuer's Series A Preferred Stock in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: 5AM Partners IV, LLC is the general partner of 5AM Ventures IV, L.P. and 5AM Co-Investors IV, L.P. (the "5AM Funds"). Dr. John D. Diekman, Andrew J. Schwab, and Dr. Scott M. Rocklage are managing members of 5AM Partners IV, LLC. 5AM Partners IV, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by the 5AM Funds. Dr. Diekman, Mr. Schwab, and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially by the 5AM Funds. Each of 5AM Partners IV, LLC, Dr. Diekman, Mr. Schwab, and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or their pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.