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
June 21, 2018 Filed Jun 25, 2018 16:53 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $13.08	$0.00	Disclosure SEC source: 0000904454-18-000439 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-06-21 F1 · derivative.exercise_date: This option vests monthly over 12 months from June 21, 2018 ("Grant Date") in substantially equal monthly installments, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service to the Issuer through each such date or, if earlier, such annual meeting. Read SEC document
June 19, 2018 Filed Jun 21, 2018 16:37 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	40,000	$0.00 Strike: $0.86	$0.00	Disclosure SEC source: 0000904454-18-000437 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2028-06-18 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Exercise / conversionWarrant to Purchase Common Stock · Derivative	156	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0000904454-18-000422 · edgar.xml · derivative · entry 6 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VIII Associates, L.P. Disclosed balance after: 0 Underlying: Common Stock · 156 shares Expires 2018-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Exercise / conversionWarrant to Purchase Common Stock · Derivative	21,041	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0000904454-18-000422 · edgar.xml · derivative · entry 5 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 21,041 shares Expires 2018-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Tax withholdingCommon Stock	76	$14.45	$1,098.20	Disclosure SEC source: 0000904454-18-000422 · 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: 25,810 F1 · 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Tax withholdingCommon Stock	10,195	$14.45	$147,317.75	Disclosure SEC source: 0000904454-18-000422 · 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: 3,479,875 F1 · 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Exercise / conversionCommon Stock	156	$7.00	$1,092.00	Disclosure SEC source: 0000904454-18-000422 · 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: 25,886 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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
June 07, 2018 Filed Jun 11, 2018 16:12 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	Exercise / conversionCommon Stock	21,041	$7.00	$147,287.00	Disclosure SEC source: 0000904454-18-000422 · 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: 3,490,070 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionRedeemable Convertible Preferred Stock · Derivative	368	$0.00 Strike: $3.19	$0.00	Disclosure SEC source: 0000904454-17-000741 · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,444 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_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F2 · derivative.underlying_shares: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price. 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 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
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantCommon Stock	282	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000741 · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,730 F4 · price: The Reporting Person received an additional 282 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018. 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 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
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionCommon Stock	12,444	$3.19	$39,696.36	Disclosure SEC source: 0000904454-17-000741 · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,448 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 · 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 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
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionRedeemable Convertible Preferred Stock · Derivative	49,632	$0.00 Strike: $3.19	$0.00	Disclosure SEC source: 0000904454-17-000739 · edgar.xml · derivative · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,678,432 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_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F2 · derivative.underlying_shares: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price. 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 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
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantCommon Stock	37,890	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000739 · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,469,029 F4 · price: The Reporting Person received an additional 37,890 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018. 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 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
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionCommon Stock	1,678,432	$3.19	$5,354,198.08	Disclosure SEC source: 0000904454-17-000739 · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,431,139 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 · 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 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
December 11, 2017 Filed Dec 13, 2017 16:58 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	47,963	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000727 · edgar.xml · nonDerivative · entry 1 DOMAIN ASSOCIATES · CIK 0001020733 · 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 Kamdar Kim P. · CIK 0001535065 · 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 F1 · kind: 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 · kind: (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. F1 · price: 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 · price: (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 · 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 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
December 11, 2017 Filed Dec 13, 2017 16:38 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	7,333	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000720 · 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: 0 F1 · kind: 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 · kind: (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. F1 · price: 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 · price: (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 · 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 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
December 11, 2017 Filed Dec 13, 2017 16:32 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	988,285	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000718 · 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: 0 F1 · kind: 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 · kind: (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. F1 · price: 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 · price: (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 · 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 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
July 18, 2017 Filed Jul 20, 2017 16:02 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $3.42	$0.00	Disclosure SEC source: 0000904454-17-000523 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-07-18 F1 · derivative.exercise_date: The option vests monthly over 12 months from July 11, 2017, in substantially equal monthly installments, subject to the Reporting Person's continued service to the Issuer through each such date. Read SEC document
June 22, 2017 Filed Jun 26, 2017 16:20 UTC	ALIMERA SCIENCES INC ALIM · Entity 11664	GrantStock Option (Right to Buy) · Derivative	40,000	$0.00 Strike: $1.37	$0.00	Disclosure SEC source: 0000904454-17-000467 · edgar.xml · derivative · entry 1 Halak Brian K · CIK 0001354718 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2027-06-21 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
April 11, 2017 Filed Apr 12, 2017 17:49 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	PurchaseRedeemable Convertible Preferred Stock · Derivative	49,632	$100.00 Strike: $3.19	$4,963,200.00	Disclosure SEC source: 0000904454-17-000304 · edgar.xml · derivative · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,632 Underlying: Common Stock · 1,555,862 shares Expires not disclosed F1 · derivative.exercise_date: The Redeemable Convertible Preferred Stock is immediately convertible, provided that such conversion would not cause the Reporting Person and its affiliates to beneficially own, in the aggregate, a number of shares of the Issuer's capital stock that represents in excess of 19.99% of the Issuer's voting power, subject to certain exceptions pursuant to the terms of the Redeemable Convertible Preferred Stock. The Redeemable Convertible Preferred Stock has no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock is immediately convertible, provided that such conversion would not cause the Reporting Person and its affiliates to beneficially own, in the aggregate, a number of shares of the Issuer's capital stock that represents in excess of 19.99% of the Issuer's voting power, subject to certain exceptions pursuant to the terms of the Redeemable Convertible Preferred Stock. The Redeemable Convertible Preferred Stock has 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 Palmer 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 · ownership.direct: As managing members of the sole general partner of DP VIII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VIII Associates, L.P., as reported on a Form 4 for DP VIII Associates, L.P. filed on the same date as this Form 4. Read SEC document
April 11, 2017 Filed Apr 12, 2017 18:04 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	PurchaseRedeemable Convertible Preferred Stock · Derivative	368	$100.00 Strike: $3.19	$36,800.00	Disclosure SEC source: 0000904454-17-000306 · edgar.xml · derivative · 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 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368 Underlying: Common Stock · 11,536 shares Expires not disclosed F1 · derivative.exercise_date: The Redeemable Convertible Preferred Stock is immediately convertible, provided that such conversion would not cause the Reporting Person and its affiliates to beneficially own, in the aggregate, a number of shares of the Issuer's capital stock that represents in excess of 19.99% of the Issuer's voting power, subject to certain exceptions pursuant to the terms of the Redeemable Convertible Preferred Stock. The Redeemable Convertible Preferred Stock has no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock is immediately convertible, provided that such conversion would not cause the Reporting Person and its affiliates to beneficially own, in the aggregate, a number of shares of the Issuer's capital stock that represents in excess of 19.99% of the Issuer's voting power, subject to certain exceptions pursuant to the terms of the Redeemable Convertible Preferred Stock. The Redeemable Convertible Preferred Stock has 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 Palmer 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 · ownership.direct: As managing members of the sole general partner of Domain Partners VIII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VIII, L.P., as reported on a Form 4 for Domain Partners VIII, L.P. filed on the same date as this Form 4. Read SEC document
November 01, 2016 Filed Nov 3, 2016 21:47 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	OtherCommon Stock	3,553,322	$28.35	$100,736,678.70	Disclosure SEC source: 0000904454-16-001531 · 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: 0 F2 · price: 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. 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. Read SEC document
November 01, 2016 Filed Nov 3, 2016 21:45 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	OtherCommon Stock	47,613	$28.35	$1,349,828.55	Disclosure SEC source: 0000904454-16-001529 · edgar.xml · nonDerivative · entry 1 DP VII ASSOCIATES LP · CIK 0001372932 · 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 F2 · price: 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. 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. Read SEC document
November 01, 2016 Filed Nov 4, 2016 08:30 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	Disposition to issuerStock Option (Right to Buy) · Derivative	17,695	Not disclosed Strike: $8.19	Not disclosed	Disclosure SEC source: 0000904454-16-001535 · edgar.xml · derivative · entry 4 DOMAIN ASSOCIATES · CIK 0001020733 · 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 Kamdar Kim P. · CIK 0001535065 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Jesse I. Treu Disclosed balance after: 0 Underlying: Common Stock · 17,695 shares Expires not disclosed F3 · price: 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 · price: 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. F3 · derivative.exercise_date: 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 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · derivative.expiration_date: 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. Read SEC document
November 01, 2016 Filed Nov 4, 2016 08:30 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	Disposition to issuerStock Option (Right to Buy) · Derivative	1,071	Not disclosed Strike: $42.93	Not disclosed	Disclosure SEC source: 0000904454-16-001535 · edgar.xml · derivative · entry 3 DOMAIN ASSOCIATES · CIK 0001020733 · 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 Kamdar Kim P. · CIK 0001535065 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Jesse I. Treu Disclosed balance after: 0 Underlying: Common Stock · 1,071 shares Expires not disclosed F3 · price: 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 · price: 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. F3 · derivative.exercise_date: 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 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · derivative.expiration_date: 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. Read SEC document
November 01, 2016 Filed Nov 4, 2016 08:30 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	Disposition to issuerStock Option (Right to Buy) · Derivative	1,996	Not disclosed Strike: $36.00	Not disclosed	Disclosure SEC source: 0000904454-16-001535 · edgar.xml · derivative · entry 2 DOMAIN ASSOCIATES · CIK 0001020733 · 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 Kamdar Kim P. · CIK 0001535065 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Jesse I. Treu Disclosed balance after: 0 Underlying: Common Stock · 1,996 shares Expires not disclosed F3 · price: 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 · price: 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. F3 · derivative.exercise_date: 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 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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 · derivative.expiration_date: 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. Read SEC document
November 01, 2016 Filed Nov 4, 2016 08:30 UTC	Tobira Therapeutics, Inc. TBRA · Entity 181299	OtherCommon Stock	38,094	$28.35	$1,079,964.90	Disclosure SEC source: 0000904454-16-001535 · edgar.xml · nonDerivative · entry 1 DOMAIN ASSOCIATES · CIK 0001020733 · 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 Kamdar Kim P. · CIK 0001535065 · 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 F1 · price: 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 · ownership.direct: 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. Read SEC document
October 12, 2016 Filed Oct 14, 2016 12:04 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries C Preferred Stock · Derivative	14,271	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001502 · edgar.xml · derivative · entry 4 DP VII ASSOCIATES LP · CIK 0001372932 · 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 · 14,271 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of Domain Partners VII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VII, L.P., as reported on a Form 4 for Domain Partners VII, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 12:04 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries B Preferred Stock · Derivative	20,583	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001502 · edgar.xml · derivative · entry 3 DP VII ASSOCIATES LP · CIK 0001372932 · 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 · 20,583 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of Domain Partners VII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VII, L.P., as reported on a Form 4 for Domain Partners VII, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 12:04 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries A Preferred Stock · Derivative	11,083	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001502 · edgar.xml · derivative · entry 2 DP VII ASSOCIATES LP · CIK 0001372932 · 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 · 14,716 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of Domain Partners VII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VII, L.P., as reported on a Form 4 for Domain Partners VII, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 12:04 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionCommon Stock	49,570	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-16-001502 · edgar.xml · nonDerivative · entry 1 DP VII ASSOCIATES LP · CIK 0001372932 · 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: 49,570 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of Domain Partners VII, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by Domain Partners VII, L.P., as reported on a Form 4 for Domain Partners VII, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries E Preferred Stock · Derivative	482,326	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001500 · edgar.xml · derivative · entry 6 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: 0 Underlying: Common Stock · 482,326 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries D Preferred Stock · Derivative	597,207	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001500 · edgar.xml · derivative · entry 5 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: 0 Underlying: Common Stock · 597,207 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries C Preferred Stock · Derivative	836,722	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001500 · edgar.xml · derivative · entry 4 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: 0 Underlying: Common Stock · 836,722 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries B Preferred Stock · Derivative	1,206,836	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001500 · edgar.xml · derivative · entry 3 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: 0 Underlying: Common Stock · 1,206,836 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionSeries A Preferred Stock · Derivative	649,835	$0.00	$0.00	Disclosure SEC source: 0000904454-16-001500 · 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: 0 Underlying: Common Stock · 862,879 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.exercise_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. F3 · derivative.expiration_date: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. Read SEC document
October 12, 2016 Filed Oct 14, 2016 11:58 UTC	Vyome Holdings, Inc OBLN · Entity 1824	ConversionCommon Stock	3,985,970	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-16-001500 · 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: 3,985,970 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: All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date. 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 the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4. 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.