person · Reporting owner

Halak Brian K

Disclosed activity across 7 companies

Tapewire entity: 120873
SEC CIK: 0001354718

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ALIMERA SCIENCES INCALIM · Entity 11664	Director	January 04, 2023	January 06, 2023
Adynxx, Inc.ADYX · Entity 155807	10% owner	May 03, 2019	May 13, 2019
Bionano Genomics, Inc.BNGO · Entity 7831	10% owner	August 23, 2018	August 27, 2018
Vyome Holdings, IncOBLN · Entity 1824	10% owner	August 06, 2019	August 08, 2019

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.

ALIMERA SCIENCES INC

Report date January 04, 2023 · Filed January 06, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.72 · Expires 2033-01-03	Direct	6,000	Reported balance After 2023-01-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-01-04 · Grant · Acquired 6,000 · Balance 6,000 F1: Vests in full on the date of the Issuer's annual meeting of stockholders in 2023 or any special meeting held in lieu thereof, provided the Reporting Person provides continuous service to the Issuer through such date.

Filing footnotes · ownership attribution and instrument terms

F1: Vests in full on the date of the Issuer's annual meeting of stockholders in 2023 or any special meeting held in lieu thereof, provided the Reporting Person provides continuous service to the Issuer through such date.

Adynxx, Inc.

Report date May 03, 2019 · Filed May 13, 2019

Jointly reported with DP VIII Associates, L.P., BLAIR JAMES C, TREU JESSE I, DOVEY BRIAN H, VITULLO NICOLE

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	22,527	Reported balance Holding disclosure · report date 2019-05-03 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 22,527 F1: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 5(b)(iv) of Form 3, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 5(b)(iv) of Form 3, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Bionano Genomics, Inc.

Report date August 23, 2018 · Filed August 27, 2018

Jointly reported with DP VIII Associates, L.P., BLAIR JAMES C, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	6,891	Last balance in matching sequence After 2018-08-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2018-08-23 · Conversion · Acquired 4,386 · Balance 4,386 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Row 2 · 2018-08-23 · Conversion · Acquired 2,505 · Balance 6,891 F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series B Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-08-23 · Conversion · Disposed 50,532 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-08-23 · Conversion · Disposed 22,161 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series C Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-08-23 · Conversion · Disposed 40,268 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series D Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-08-23 · Conversion · Disposed 47,460 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series D-1 Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-08-23 · Conversion · Disposed 27,328 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $4.59	Direct	0	Reported balance After 2018-08-23 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2018-08-23 · Conversion · Disposed Not disclosed · Balance 0 F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

Vyome Holdings, Inc

Report date August 06, 2019 · Filed August 08, 2019

Jointly reported with DOMAIN PARTERS VII L P, BLAIR JAMES C, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	813,433	Reported balance After 2019-08-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-08-06 · Purchase · Acquired 250,000 · Balance 813,433 F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F2: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F4: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.40 · Expires 2024-08-06	Direct	187,500	Reported balance After 2019-08-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-08-06 · Purchase · Acquired 187,500 · Balance 187,500 F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F2: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019.

F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F4: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Dicerna Pharmaceuticals Inc

Report date November 02, 2018 · Filed November 06, 2018

Section 16 reporting ended · disclosed 2017-12-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Domain Partners VIII, L.P.	2,586,535	Last balance in matching sequence After 2018-11-06 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2018-11-02 · Sale · Disposed 189,359 · Balance 2,729,697 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.88. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 3 · 2018-11-05 · Sale · Disposed 39,606 · Balance 2,690,091 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.37. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 5 · 2018-11-06 · Sale · Disposed 102,067 · Balance 2,588,024 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.899. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 7 · 2018-11-06 · Sale · Disposed 1,489 · Balance 2,586,535 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.90 to $14.28. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.
Common StockSEC Table I · non-derivative	IndirectBy DP VIII Associates, L.P.	19,150	Last balance in matching sequence After 2018-11-06 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 2 · 2018-11-02 · Sale · Disposed 1,412 · Balance 20,217 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.88. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 4 · 2018-11-05 · Sale · Disposed 295 · Balance 19,922 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.37. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 6 · 2018-11-06 · Sale · Disposed 761 · Balance 19,161 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.899. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Row 8 · 2018-11-06 · Sale · Disposed 11 · Balance 19,150 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.90 to $14.28. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.

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 $13.01 to $13.88. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.37. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.899. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.90 to $14.28. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Ocera Therapeutics, Inc.

Report date December 11, 2017 · Filed December 13, 2017

Jointly reported with DOMAIN ASSOCIATES, BLAIR JAMES C, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Kamdar Kim P.

Section 16 reporting ended · disclosed 2017-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-12-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-12-11 · Disposition to issuer · Disposed 47,963 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Tobira Therapeutics, Inc.

Report date November 01, 2016 · Filed November 04, 2016

Jointly reported with DOMAIN ASSOCIATES, BLAIR JAMES C, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Kamdar Kim P.

Section 16 reporting ended · disclosed 2016-11-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2016-11-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-11-01 · Other · Disposed 38,094 · Balance 0 F1: Pursuant to the terms of a merger agreement, pursuant to which the Issuer was acquired by Allergan Holdco US, Inc., the shares were tendered for $28.35 per share in cash plus one non-transferable contingent value right per share, which represents the contractual right to receive one or more payments in cash of up to $49.84 per share in the aggregate, contingent upon the achievement of certain milestones. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly benefically owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.00	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2016-11-01 · Disposition to issuer · Acquired 1,996 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.93	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-11-01 · Disposition to issuer · Acquired 1,071 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.19	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2016-11-01 · Disposition to issuer · Acquired 17,695 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of a merger agreement, pursuant to which the Issuer was acquired by Allergan Holdco US, Inc., the shares were tendered for $28.35 per share in cash plus one non-transferable contingent value right per share, which represents the contractual right to receive one or more payments in cash of up to $49.84 per share in the aggregate, contingent upon the achievement of certain milestones.

F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly benefically owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger.

F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 04, 2023 Filed Jan 6, 2023 17:37 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	6,000	$0.00 Strike: $2.72	$0.00	Disclosure SEC source: 0001474506-23-000012 · primary_doc.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2033-01-03 F1 · derivative.exercise_date: Vests in full on the date of the Issuer's annual meeting of stockholders in 2023 or any special meeting held in lieu thereof, provided the Reporting Person provides continuous service to the Issuer through such date. Read SEC document
November 02, 2021 Filed Nov 4, 2021 20:32 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	6,000	$0.00 Strike: $4.05	$0.00	Disclosure SEC source: 0001474506-21-000163 · primary_doc.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2031-11-01 F1 · derivative.exercise_date: Vests in full on June 15, 2022, provided the Reporting Person provides continuous service to the Issuer through such date. Read SEC document
September 17, 2021 Filed Sep 17, 2021 16:49 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	OtherCommon Stock	215	$0.00	$0.00	Disclosure SEC source: 0000904454-21-000668 · edgar.xml · nonDerivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327 F1 · kind: Distribution of shares by One Partner Square Associates VI, LLC to its members. F1 · price: Distribution of shares by One Partner Square Associates VI, LLC to its members. Read SEC document
June 18, 2020 Filed Jun 22, 2020 16:39 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	3,333	$0.00 Strike: $6.70	$0.00	Disclosure SEC source: 0000904454-20-000413 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,333 shares Expires 2030-06-17 F1 · derivative.exercise_date: The option will vest in equal monthly installments over twelve months, beginning one month after the date of grant, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date. Read SEC document
August 06, 2019 Filed Aug 8, 2019 16:23 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseWarrants to Purchase Common Stock · Derivative	187,500	$4.00 Strike: $4.40	$750,000.00	Disclosure SEC source: 0000904454-19-000600 · edgar.xml · derivative · entry 2 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,500 Underlying: Common Stock · 187,500 shares Expires 2024-08-06 F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 06, 2019 Filed Aug 8, 2019 16:23 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseCommon Stock	250,000	$4.00	$1,000,000.00	Disclosure SEC source: 0000904454-19-000600 · edgar.xml · nonDerivative · entry 1 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 813,433 F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F2 · balance_after: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F4 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P. Read SEC document
June 19, 2019 Filed Jun 21, 2019 16:16 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $0.92	$0.00	Disclosure SEC source: 0000904454-19-000515 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-06-18 F1 · derivative.exercise_date: The option will vest in equal monthly installments over twelve months, beginning one month after the date of grant, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date. Read SEC document
November 06, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	11	$14.16	$155.76	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 8 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 19,150 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.90 to $14.28. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 06, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,489	$14.16	$21,084.24	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 7 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,586,535 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.90 to $14.28. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 06, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	761	$13.18	$10,029.98	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 6 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 19,161 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.899. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 06, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	102,067	$13.18	$1,345,243.06	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 5 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,588,024 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.899. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 05, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	295	$12.98	$3,829.10	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 4 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 19,922 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.37. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 05, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	39,606	$12.98	$514,085.88	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 3 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,690,091 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.90 to $13.37. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 02, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,412	$13.47	$19,019.64	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 2 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 20,217 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.88. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 02, 2018 Filed Nov 6, 2018 16:16 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	189,359	$13.47	$2,550,665.73	Disclosure SEC source: 0000904454-18-000702 · edgar.xml · nonDerivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,729,697 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.01 to $13.88. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 01, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,408	$13.37	$18,824.96	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 8 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 21,629 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.59. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 01, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	188,167	$13.37	$2,515,792.79	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 7 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,919,056 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.59. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 01, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,408	$13.37	$18,824.96	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 8 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 21,629 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.59. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
November 01, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	188,867	$13.37	$2,525,151.79	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 7 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 2,919,056 F6 · shares: This amendment is being filed solely to correct a typographical error in this share number as reported in the Form 4 filed on November 1, 2018. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.59. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 31, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	959	$13.60	$13,042.40	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 6 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 23,037 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.25 to $14.19. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 31, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	128,670	$13.60	$1,749,912.00	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 5 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,107,923 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.25 to $14.19. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 31, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	959	$13.60	$13,042.40	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 6 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 23,037 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.25 to $14.19. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 31, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	128,670	$13.60	$1,749,912.00	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 5 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,107,923 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.25 to $14.19. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	678	$14.31	$9,702.18	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 4 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 23,996 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.25 to $14.46. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	90,918	$14.31	$1,301,036.58	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 3 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,236,593 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.25 to $14.46. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,136	$13.68	$15,540.48	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 2 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 24,674 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.26 to $14.2499. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 1, 2018 18:08 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	152,364	$13.68	$2,084,339.52	Disclosure SEC source: 0000904454-18-000691 · edgar.xml · nonDerivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,327,511 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.26 to $14.2499. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	678	$14.31	$9,702.18	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 4 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 23,996 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.25 to $14.46. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	90,918	$14.31	$1,301,036.58	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 3 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,236,593 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.25 to $14.46. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	1,136	$13.68	$15,540.48	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 2 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 24,674 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.26 to $14.2499. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 30, 2018 Filed Nov 5, 2018 10:05 UTC Amendment	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	SaleCommon Stock	152,364	$13.68	$2,084,339.52	Disclosure SEC source: 0000904454-18-000697 · edgar.xml · nonDerivative · entry 1 Halak Brian K · CIK 0001354718 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 3,327,511 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.26 to $14.2499. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:32 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseCommon Stock	1,648,359	$1.82	$3,000,013.38	Disclosure SEC source: 0000904454-18-000526 · edgar.xml · nonDerivative · entry 1 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,634,329 F1 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F2 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 49,908 shares of Common Stock held by DP VII Associates, L.P. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionConvertible Promissory Note · Derivative	Not disclosed	$0.00 Strike: $4.59	$11,048.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 8 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,505 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: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D-1 Preferred Stock · Derivative	27,328	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 7 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 638 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D Preferred Stock · Derivative	47,460	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 6 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,109 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries C Preferred Stock · Derivative	40,268	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 5 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 941 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B-1 Preferred Stock · Derivative	22,161	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 4 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 518 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B Preferred Stock · Derivative	50,532	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 3 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,180 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	2,505	$4.59	$11,497.95	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 2 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,891 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: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	4,386	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 1 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,386 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	PurchaseWarrants to Purchase Common Stock · Derivative	15,000	Not disclosed Strike: $6.13	Not disclosed	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 10 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2023-09-20 F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F4 · derivative.exercise_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F4 · derivative.expiration_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionConvertible Promissory Note · Derivative	Not disclosed	$0.00 Strike: $4.59	$1,488,952.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 9 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 337,694 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: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D-1 Preferred Stock · Derivative	3,682,919	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 8 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 86,050 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D Preferred Stock · Derivative	6,396,105	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 7 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 149,441 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries C Preferred Stock · Derivative	5,426,808	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 6 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 126,794 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B-1 Preferred Stock · Derivative	2,986,762	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 5 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 69,784 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B Preferred Stock · Derivative	6,810,098	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 4 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 159,115 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	PurchaseCommon Stock	15,000	$6.13	$91,875.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 3 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,878 F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	337,694	$4.59	$1,550,015.46	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 2 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 929,878 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: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	591,184	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 1 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591,184 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document

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