Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | 10% owner | December 09, 2019 | December 09, 2019 |
| AVEO PHARMACEUTICALS, INC.AVEO · Entity 120602 | 10% owner | June 19, 2020 | June 22, 2020 |
| Achaogen, Inc.AKAO · Entity 158957 | 10% owner | December 19, 2016 | December 19, 2016 |
| Akouos, Inc.AKUS · Entity 11574 | 10% owner | June 30, 2020 | July 01, 2020 |
| Annexon, Inc.ANNX · Entity 5011 | 10% owner | July 23, 2020 | July 23, 2020 |
| Berkshire Grey, Inc.BGRY · Entity 111173 | 10% owner | July 21, 2021 | July 30, 2021 |
| Black Diamond Therapeutics, Inc.BDTX · Entity 6669 | 10% owner | January 29, 2020 | January 30, 2020 |
| Eargo, Inc.EAR · Entity 94112 | Director | October 12, 2022 | October 14, 2022 |
| GENOCEA BIOSCIENCES, INC.GNCA · Entity 12635 | 10% owner | July 24, 2020 | July 28, 2020 |
| Inozyme Pharma, Inc.INZY · Entity 77717 | 10% owner | July 28, 2020 | July 28, 2020 |
| Marker Therapeutics, Inc.MRKR · Entity 7609 | 10% owner | March 16, 2021 | March 18, 2021 |
| Metacrine, Inc.MTCR · Entity 115177 | 10% owner | September 18, 2020 | September 22, 2020 |
| Mirum Pharmaceuticals, Inc.MIRM · Entity 2416 | 10% owner | July 22, 2019 | July 24, 2019 |
| Monte Rosa Therapeutics, Inc.GLUE · Entity 4828 | 10% owner | June 28, 2021 | June 30, 2021 |
| NeueHealth, Inc.BHG · Entity 74308 | 10% owner | June 28, 2021 | July 01, 2021 |
| Nkarta, Inc.NKTK · Entity 6346 | 10% owner | July 14, 2020 | July 16, 2020 |
| OnKure Therapeutics, Inc.RPHM · Entity 6550 | 10% owner | April 13, 2021 | April 15, 2021 |
| Robinhood Markets, Inc.HOOD · Entity 584 | Director · 10% owner | July 29, 2021 | July 29, 2021 |
| Savara IncSVRA · Entity 4900 | 10% owner | March 15, 2021 | March 16, 2021 |
| Tempest Therapeutics, Inc.MLND · Entity 7734 | 10% owner | December 07, 2018 | December 11, 2018 |
| Trevi Therapeutics, Inc.TRVI · Entity 4387 | 10% owner | April 03, 2020 | April 13, 2020 |
| Verona Pharma plcVRNA · Entity 74409 | 10% owner | January 01, 2021 | January 04, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARDELYX, INC.
Report date December 09, 2019 · Filed December 09, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 3,482,186 |
Reported balance
After 2019-12-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-09 · Grant · Acquired 400,000 · Balance 3,482,186 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,082,186 |
Reported balance
Holding disclosure · report date 2019-12-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,082,186 F2: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.
F2: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
AVEO PHARMACEUTICALS, INC.
Report date June 19, 2020 · Filed June 22, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 3,952,958 |
Reported balance
After 2020-06-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-06-19 · Purchase · Acquired 1,428,571 · Balance 3,952,958 F1: On February 19, 2020, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 19, 2020, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Achaogen, Inc.
Report date December 19, 2016 · Filed December 19, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,215,128 |
Reported balance
After 2016-12-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2016-12-19 · Purchase · Acquired 500,000 · Balance 5,215,128 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Akouos, Inc.
Report date June 30, 2020 · Filed July 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,294,207 |
Last balance in matching sequence
After 2020-06-30 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2020-06-30 · Conversion · Acquired 513,758 · Balance 513,758 F1: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-06-30 · Conversion · Acquired 1,992,238 · Balance 2,505,996 F3: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-06-30 · Conversion · Acquired 1,199,976 · Balance 3,705,972 F4: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 4 · 2020-06-30 · Purchase · Acquired 588,235 · Balance 4,294,207 F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series Seed Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-30 · Conversion · Disposed 513,758 · Balance 0 F1: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-06-30 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-06-30 · Conversion · Disposed 1,992,238 · Balance 0 F3: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-06-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-06-30 · Conversion · Disposed 1,199,976 · Balance 0 F4: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F4: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Annexon, Inc.
Report date July 23, 2020 · Filed July 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of Series B Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: The shares of Series C Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2020-07-23 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: The shares of Series D Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Series B Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: The shares of Series C Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
F4: The shares of Series D Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. The shares have no expiration date.
Berkshire Grey, Inc.
Report date July 21, 2021 · Filed July 30, 2021
Jointly reported with New Enterprise Associates 15, L.P., NEA Partners 15, L.P., NEA 15 GP, LLC, BASKETT FOREST, Florence Anthony A. Jr., Makhzoumi Mohamad, SANDELL SCOTT D, Sonsini Peter W.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 38,183,023 |
Reported balance
Holding disclosure · report date 2021-07-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 38,183,023 F1: In connection with the business combination between Berkshire Grey, Inc. (f/k/a Revolution Acceleration Acquisition Corp) (the "Company") and Berkshire Grey Operating Company, Inc. (f/k/a Berkshire Grey, Inc.) ("Legacy Berkshire Grey"), each share of Legacy Berkshire Grey preferred stock was converted into Legacy Berkshire Grey common stock, and each share of Legacy Berkshire Grey common stock was converted into the right to receive approximately 5.87585 shares of the Company's Class A Common Stock. F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the business combination between Berkshire Grey, Inc. (f/k/a Revolution Acceleration Acquisition Corp) (the "Company") and Berkshire Grey Operating Company, Inc. (f/k/a Berkshire Grey, Inc.) ("Legacy Berkshire Grey"), each share of Legacy Berkshire Grey preferred stock was converted into Legacy Berkshire Grey common stock, and each share of Legacy Berkshire Grey common stock was converted into the right to receive approximately 5.87585 shares of the Company's Class A Common Stock.
F2: The securities are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and are indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP (collectively, the "Managers"), together, the "Indirect Reporting Persons"). The Managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest.
Black Diamond Therapeutics, Inc.
Report date January 29, 2020 · Filed January 30, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-01-29 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series B Preferred Stock has no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: Each share of Series C Preferred Stock is convertible into shares of the Issuer's Common Stock on a one-for-3.01581 basis. Upon the closing of the Issuer's initial public offering, all shares of Series C Preferred Stock will convert into the number of shares of Common Stock of the Issuer shown in column 3. The Series C Preferred Stock has no expiration date.
Eargo, Inc.
Report date October 12, 2022 · Filed October 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.70 · Expires 2032-10-11 | Direct | 74,074 |
Reported balance
After 2022-10-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-10-12 · Grant · Acquired 74,074 · Balance 74,074 F1: The Stock Option vests and becomes excercisable as to 1/12th of the underlying shares on each monthly anniversary of the date of the grant, provided, that if the Company's annual meeting immediately following the date of grant takes place prior to the first anniversary of the date of grant, the Stock Option will vest and become excercisable immediately prior to the Company's annual meeting following the date of grant, subject to the Reporting Person's continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Stock Option vests and becomes excercisable as to 1/12th of the underlying shares on each monthly anniversary of the date of the grant, provided, that if the Company's annual meeting immediately following the date of grant takes place prior to the first anniversary of the date of grant, the Stock Option will vest and become excercisable immediately prior to the Company's annual meeting following the date of grant, subject to the Reporting Person's continued service through the applicable vesting date.
GENOCEA BIOSCIENCES, INC.
Report date July 24, 2020 · Filed July 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 10,376,936 |
Reported balance
After 2020-07-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-07-24 · Purchase · Acquired 3,151,260 · Balance 10,376,936 F1: Acquired from the issuer pursuant to a Stock Purchase Agreement dated July 22, 2020, with a closing date of July 24, 2020. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.25 · Expires 2024-07-24 | IndirectSee Note 2 | 3,151,260 |
Reported balance
After 2020-07-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-07-24 · Purchase · Acquired 3,151,260 · Balance 3,151,260 F1: Acquired from the issuer pursuant to a Stock Purchase Agreement dated July 22, 2020, with a closing date of July 24, 2020. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquired from the issuer pursuant to a Stock Purchase Agreement dated July 22, 2020, with a closing date of July 24, 2020.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Inozyme Pharma, Inc.
Report date July 28, 2020 · Filed July 28, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,437,689 |
Last balance in matching sequence
After 2020-07-28 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-07-28 · Conversion · Acquired 2,000,533 · Balance 2,000,533 F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-07-28 · Conversion · Acquired 187,156 · Balance 2,187,689 F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-07-28 · Purchase · Acquired 250,000 · Balance 2,437,689 F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-25 · Conversion · Disposed 2,000,533 · Balance 0 F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-25 · Conversion · Disposed 187,156 · Balance 0 F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Marker Therapeutics, Inc.
Report date March 16, 2021 · Filed March 18, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 10,714,285 |
Reported balance
After 2021-03-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-03-16 · Purchase · Acquired 5,714,285 · Balance 10,714,285 F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Metacrine, Inc.
Report date September 18, 2020 · Filed September 22, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote 2 | 3,060,527 |
Last balance in matching sequence
After 2020-09-18 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-09-18 · Conversion · Acquired 1,958,333 · Balance 1,958,333 F1: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-09-18 · Conversion · Acquired 332,964 · Balance 2,291,297 F1: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-09-18 · Purchase · Acquired 769,230 · Balance 3,060,527 F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote 2 | 0 |
Reported balance
After 2020-09-18 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-09-18 · Conversion · Disposed 1,958,333 · Balance 0 F1: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote 2 | 0 |
Reported balance
After 2020-09-18 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-09-18 · Conversion · Disposed 332,964 · Balance 0 F1: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
Mirum Pharmaceuticals, Inc.
Report date July 22, 2019 · Filed July 24, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 4,186,243 |
Last balance in matching sequence
After 2019-07-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-07-22 · Conversion · Acquired 3,736,243 · Balance 3,736,243 F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2019-07-22 · Purchase · Acquired 450,000 · Balance 4,186,243 F3: The shares were purchased in the Issuer's initial public offering. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2019-07-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-07-22 · Conversion · Disposed 29,889,945 · Balance 0 F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date.
F2: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F3: The shares were purchased in the Issuer's initial public offering.
Monte Rosa Therapeutics, Inc.
Report date June 28, 2021 · Filed June 30, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 7,692,298 |
Last balance in matching sequence
After 2021-06-28 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2021-06-28 · Conversion · Acquired 2,715,968 · Balance 2,715,968 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 2 · 2021-06-28 · Conversion · Acquired 3,257,328 · Balance 5,973,296 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 3 · 2021-06-28 · Conversion · Acquired 669,002 · Balance 6,642,298 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 4 · 2021-06-28 · Purchase · Acquired 1,050,000 · Balance 7,692,298 F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A-2 convertible preferred stockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-28 · Conversion · Disposed 9,588,725 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series B convertible preferred stockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-06-28 · Conversion · Disposed 11,500,000 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series C convertible preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-06-28 · Conversion · Disposed 2,361,912 · Balance 0 F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date. F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series A-2 convertible preferred stock, Series B convertible preferred stock and Series C convertible preferred stock (collectively, the "Preferred Stock") was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock converted into Common Stock on a one-for-3.5305 basis upon the closing of the Issuer's initial public offering without payment or additional consideration. The Preferred Stock had no expiration date.
F2: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
NeueHealth, Inc.
Report date June 28, 2021 · Filed July 01, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 107,041,764 |
Last balance in matching sequence
After 2021-06-28 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2021-06-28 · Conversion · Acquired 10,601,925 · Balance 57,461,346 F1: Each share of the Issuer's Series A Preferred Stock converted into shares of the Issuer's common stock ("Common Stock") on a 1:0.67874873 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2021-06-28 · Conversion · Acquired 26,703,498 · Balance 84,164,844 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2021-06-28 · Conversion · Acquired 19,549,068 · Balance 103,713,912 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 4 · 2021-06-28 · Conversion · Acquired 3,327,852 · Balance 107,041,764 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 3,494,244 |
Reported balance
After 2021-06-28 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2021-06-28 · Conversion · Acquired 3,494,244 · Balance 3,494,244 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 5 | 47,925,199 |
Last balance in matching sequence
After 2021-06-28 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 6 · 2021-06-28 · Conversion · Acquired 5,864,718 · Balance 5,864,718 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 7 · 2021-06-28 · Conversion · Acquired 38,137,197 · Balance 44,001,915 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 8 · 2021-06-28 · Conversion · Acquired 3,673,284 · Balance 47,675,199 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 9 · 2021-06-28 · Purchase · Acquired 250,000 · Balance 47,925,199 F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee Note 6 | 23,983,073 |
Last balance in matching sequence
After 2021-06-28 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 10 · 2021-06-28 · Conversion · Acquired 14,942,061 · Balance 14,942,061 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 11 · 2021-06-28 · Conversion · Acquired 7,346,568 · Balance 22,288,629 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. Row 12 · 2021-06-28 · Purchase · Acquired 1,694,444 · Balance 23,983,073 F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series A PreferredSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2021-06-28 · Conversion · Disposed 15,619,807 · Balance 0 F1: Each share of the Issuer's Series A Preferred Stock converted into shares of the Issuer's common stock ("Common Stock") on a 1:0.67874873 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series B PreferredSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2021-06-28 · Conversion · Disposed 8,901,166 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series C PreferredSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2021-06-28 · Conversion · Disposed 6,516,356 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series C PreferredSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2021-06-28 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2021-06-28 · Conversion · Disposed 1,954,906 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series D PreferredSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2021-06-28 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2021-06-28 · Conversion · Disposed 1,109,284 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series D PreferredSEC Table II · derivative / convertible security | IndirectSee Note 4 | 0 |
Reported balance
After 2021-06-28 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2021-06-28 · Conversion · Disposed 1,164,748 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15-OF in which the Reporting Person has no pecuniary interest. |
| Series D PreferredSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2021-06-28 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2021-06-28 · Conversion · Disposed 12,712,399 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series D PreferredSEC Table II · derivative / convertible security | IndirectSee Note 6 | 0 |
Reported balance
After 2021-06-28 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2021-06-28 · Conversion · Disposed 4,980,687 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series E PreferredSEC Table II · derivative / convertible security | IndirectSee Note 5 | 0 |
Reported balance
After 2021-06-28 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2021-06-28 · Conversion · Disposed 1,224,428 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Series E PreferredSEC Table II · derivative / convertible security | IndirectSee Note 6 | 0 |
Reported balance
After 2021-06-28 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2021-06-28 · Conversion · Disposed 2,448,856 · Balance 0 F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date. F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series A Preferred Stock converted into shares of the Issuer's common stock ("Common Stock") on a 1:0.67874873 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: Each share of the Issuer's Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into shares of Common Stock on a 1:3 basis immediately prior to the closing of the Issuer's initial public offering. These preferred shares had no expiration date.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15-OF in which the Reporting Person has no pecuniary interest.
F5: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 16 in which the Reporting Person has no pecuniary interest.
F6: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
Nkarta, Inc.
Report date July 14, 2020 · Filed July 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,902,115 |
Last balance in matching sequence
After 2020-07-14 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-07-14 · Conversion · Acquired 522,639 · Balance 522,639 F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-07-14 · Conversion · Acquired 1,712,810 · Balance 2,235,449 F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2020-07-14 · Purchase · Acquired 666,666 · Balance 2,902,115 F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-14 · Conversion · Disposed 522,639 · Balance 0 F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | 0 |
Reported balance
After 2020-07-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-14 · Conversion · Disposed 1,712,810 · Balance 0 F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
OnKure Therapeutics, Inc.
Report date April 13, 2021 · Filed April 15, 2021
Jointly reported with New Enterprise Associates 15, L.P., NEA Partners 15, L.P., NEA 15 GP, LLC, BASKETT FOREST, Florence Anthony A. Jr., Makhzoumi Mohamad, SANDELL SCOTT D, Sonsini Peter W.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,785,494 |
Last balance in matching sequence
After 2021-04-13 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2021-04-13 · Conversion · Acquired 2,128,956 · Balance 2,128,956 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Row 2 · 2021-04-13 · Conversion · Acquired 1,989,872 · Balance 4,118,828 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. Row 3 · 2021-04-13 · Purchase · Acquired 666,666 · Balance 4,785,494 F3: The shares were purchased in the Issuer's initial public offering. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-04-13 · Conversion · Disposed 9,526,652 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-04-13 · Conversion · Disposed 8,904,280 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration at a rate of 1 share of Common Stock for each 4.4748 shares of Preferred Stock. The Preferred Stock had no expiration date.
F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15"), and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 15 shares in which the Indirect Reporting Persons have no pecuniary interest.
F3: The shares were purchased in the Issuer's initial public offering.
Robinhood Markets, Inc.
Report date July 29, 2021 · Filed July 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 2,509,120 |
Reported balance
Holding disclosure · report date 2021-07-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,509,120 F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series D Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series E Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Series E Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Series F Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Note 4 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance Not disclosed F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Tranche I Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $26.60 | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance Not disclosed F5: The Convertible Notes and Warrants were initially issued on February 12, 2021 and contained various predetermined and automatic adjustment provisions contingent upon the occurrence of specified events. As a result of the IPO pricing, the ultimate conversion or exercise price, as applicable, became fixed at $26.60, contingent upon closing of the IPO. Upon closing of the IPO, the Warrants will become exercisable for shares of Class A Common Stock. F6: Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Convertible Notes (together with accrued interest thereon) will convert upon closing of the IPO into Class A Common Stock at a conversion price equal to $26.60. The Convertible Notes do not have a maturity date. The number of shares reported in Column 3 represents the principal amount divided by the conversion price, and the ultimate conversion amount will include additional shares representing accrued interest. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Tranche I Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $26.60 | IndirectSee Note 4 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance Not disclosed F5: The Convertible Notes and Warrants were initially issued on February 12, 2021 and contained various predetermined and automatic adjustment provisions contingent upon the occurrence of specified events. As a result of the IPO pricing, the ultimate conversion or exercise price, as applicable, became fixed at $26.60, contingent upon closing of the IPO. Upon closing of the IPO, the Warrants will become exercisable for shares of Class A Common Stock. F6: Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Convertible Notes (together with accrued interest thereon) will convert upon closing of the IPO into Class A Common Stock at a conversion price equal to $26.60. The Convertible Notes do not have a maturity date. The number of shares reported in Column 3 represents the principal amount divided by the conversion price, and the ultimate conversion amount will include additional shares representing accrued interest. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
| Warrants to Purchase StockSEC Table II · derivative / convertible security · Conversion / exercise price $26.60 · Expires 2031-02-12 | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance Not disclosed F5: The Convertible Notes and Warrants were initially issued on February 12, 2021 and contained various predetermined and automatic adjustment provisions contingent upon the occurrence of specified events. As a result of the IPO pricing, the ultimate conversion or exercise price, as applicable, became fixed at $26.60, contingent upon closing of the IPO. Upon closing of the IPO, the Warrants will become exercisable for shares of Class A Common Stock. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Warrants to Purchase StockSEC Table II · derivative / convertible security · Conversion / exercise price $26.60 · Expires 2031-02-12 | IndirectSee Note 4 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-07-29 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance Not disclosed F5: The Convertible Notes and Warrants were initially issued on February 12, 2021 and contained various predetermined and automatic adjustment provisions contingent upon the occurrence of specified events. As a result of the IPO pricing, the ultimate conversion or exercise price, as applicable, became fixed at $26.60, contingent upon closing of the IPO. Upon closing of the IPO, the Warrants will become exercisable for shares of Class A Common Stock. F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification"). F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Immediately prior to closing of the Issuer's initial public offering ("IPO"), the shares of Series B Redeemable Convertible Preferred Stock, Series C Redeemable Convertible Preferred Stock, Series D Redeemable Convertible Preferred Stock, Series E Redeemable Convertible Preferred Stock and Series F Redeemable Convertible Preferred Stock (collectively, the "Preferred Stock") will automatically convert into shares of Common Stock. Immediately following such conversion but prior to closing of the IPO, the shares of Common Stock will be reclassified into Class A Common Stock on a one-for-one basis (the "Reclassification").
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: These shares of Preferred Stock are convertible into Common Stock at the option of the holder, and will automatically convert into the number of shares shown in column 3 upon closing of the IPO. The Preferred Stock has no expiration date.
F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 17 in which the Reporting Person has no pecuniary interest.
F5: The Convertible Notes and Warrants were initially issued on February 12, 2021 and contained various predetermined and automatic adjustment provisions contingent upon the occurrence of specified events. As a result of the IPO pricing, the ultimate conversion or exercise price, as applicable, became fixed at $26.60, contingent upon closing of the IPO. Upon closing of the IPO, the Warrants will become exercisable for shares of Class A Common Stock.
F6: Following the conversion of the Preferred Stock and the Reclassification, the principal amount of the Convertible Notes (together with accrued interest thereon) will convert upon closing of the IPO into Class A Common Stock at a conversion price equal to $26.60. The Convertible Notes do not have a maturity date. The number of shares reported in Column 3 represents the principal amount divided by the conversion price, and the ultimate conversion amount will include additional shares representing accrued interest.
Savara Inc
Report date March 15, 2021 · Filed March 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 24,137,931 |
Reported balance
Holding disclosure · report date 2021-03-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 24,137,931 F1: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the GEO 17 shares in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of Growth Equity Opportunities 17, LLC ("GEO 17"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the GEO 17 shares in which the Reporting Person has no pecuniary interest.
Tempest Therapeutics, Inc.
Report date December 07, 2018 · Filed December 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 1,766,407 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,766,407 F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
Trevi Therapeutics, Inc.
Report date April 03, 2020 · Filed April 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 1 | 5,937,998 |
Last balance in matching sequence
After 2020-04-03 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-04-03 · Other · Acquired 1,500,000 · Balance 5,938,562 F1: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Row 2 · 2020-04-03 · Sale · Disposed 564 · Balance 5,937,998 F2: On April 3, 2020, NEA 16 exercised a call option to purchase 1,500,000 shares of the Issuer's common stock ("Common Stock") for $0.001 per share. NEA 16 paid the exercise price through the forfeiture of 564 shares of Common Stock. F1: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
| Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-05-06 | IndirectSee Note 1 | 0 |
Reported balance
After 2020-04-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-04-03 · Other · Disposed 1,500,000 · Balance 0 F3: The call option became exercisable upon the closing of the Issuer's initial public offering. F1: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
F2: On April 3, 2020, NEA 16 exercised a call option to purchase 1,500,000 shares of the Issuer's common stock ("Common Stock") for $0.001 per share. NEA 16 paid the exercise price through the forfeiture of 564 shares of Common Stock.
F3: The call option became exercisable upon the closing of the Issuer's initial public offering.
Verona Pharma plc
Report date January 01, 2021 · Filed January 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 2 | 9,757,393 |
Reported balance
Holding disclosure · report date 2021-01-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 9,757,393 F1: Consists of 1 Ordinary Share and 1,219,674 American Depository Shares ("ADSs") held by Growth Equity Opportunities Fund IV, LLC ("GEO IV"). Each ADS represents eight (8) Ordinary Shares of the Issuer. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Note 4 | 31,111,112 |
Reported balance
Holding disclosure · report date 2021-01-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 31,111,112 F3: Consists of 3,888,889 ADSs held by Growth Equity Opportunities 17, LLC ("GEO 17"). Each ADS represents eight (8) Ordinary Shares of the Issuer. F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of GEO 17, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest. |
| Ordinary Shares Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.33 · Expires 2022-05-02 | IndirectSee Note 2 | Not disclosed |
Reported balance
Holding disclosure · report date 2021-01-01 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F5: The exercise price of the warrants is GBP 1.7238 per ordinary share. The amount in Column 4 is converted to USD using the exchange rate as of December 23, 2020 as reported by the H.10 statistical release of the Board of Governors of the Federal Reserve System. F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 1 Ordinary Share and 1,219,674 American Depository Shares ("ADSs") held by Growth Equity Opportunities Fund IV, LLC ("GEO IV"). Each ADS represents eight (8) Ordinary Shares of the Issuer.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"). NEA 15 is the sole member of GEO IV, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO IV in which the Reporting Person has no pecuniary interest.
F3: Consists of 3,888,889 ADSs held by Growth Equity Opportunities 17, LLC ("GEO 17"). Each ADS represents eight (8) Ordinary Shares of the Issuer.
F4: The Reporting Person is a manager of NEA 17 GP, LLC, which is the sole general partner of NEA Partners 17, L.P. ("NEA Partners 17"). NEA Partners 17 is the sole general partner of New Enterprise Associates 17, L.P. ("NEA 17"). NEA 17 is the sole member of GEO 17, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO 17 in which the Reporting Person has no pecuniary interest.
F5: The exercise price of the warrants is GBP 1.7238 per ordinary share. The amount in Column 4 is converted to USD using the exchange rate as of December 23, 2020 as reported by the H.10 statistical release of the Board of Governors of the Federal Reserve System.
Past disclosures · reporting ended (5)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Cascadian Therapeutics, Inc.
Report date March 09, 2018 · Filed March 13, 2018
Section 16 reporting ended · disclosed 2018-03-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-03-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-03-09 · Other · Disposed 10,882,574 · Balance 0 F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc., to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.001 per share, at a purchase price of $10.00 per share, net to the seller in cash, without interest and less any required withholding taxes.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Desktop Metal, Inc.
Report date June 08, 2021 · Filed June 10, 2021
Section 16 reporting ended · disclosed 2021-06-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 19,263,413 |
Reported balance
After 2021-06-08 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-06-08 · Other · Disposed 9,000,000 · Balance 19,263,413 F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 9,000,000 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on June 8, 2021. F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 4 | 0 |
Last balance in matching sequence
After 2021-06-08 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2021-06-08 · Other · Acquired 135,000 · Balance 135,000 F3: NEA Partners 15 received 135,000 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. Row 3 · 2021-06-08 · Other · Disposed 135,000 · Balance 0 F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 135,000 shares of Class A Common Stock of the Issuer to its limited partners on June 8, 2021. F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Note 7 | 2,285 |
Reported balance
After 2021-06-08 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2021-06-08 · Other · Acquired 2,285 · Balance 2,285 F6: The Reporting Person, as trustee of the Makower Family Trust u/a 5/6/97 (the "Makower Trust"), received 2,285 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on June 8, 2021. F7: The Reporting Person is the trustee of the Makower Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Makower Trust in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: New Enterprise Associates 15, L.P. ("NEA 15") made a pro rata distribution for no consideration of an aggregate of 9,000,000 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on June 8, 2021.
F2: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of NEA 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 15 in which the Reporting Person has no pecuniary interest.
F3: NEA Partners 15 received 135,000 shares of Class A Common Stock of the Issuer in the distribution by NEA 15 on June 8, 2021.
F4: The Reporting Person is a manager of NEA 15 GP, which is the sole general partner of NEA Partners 15, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 15 in which the Reporting Person has no pecuniary interest.
F5: NEA Partners 15 made a pro rata distribution for no consideration of an aggregate of 135,000 shares of Class A Common Stock of the Issuer to its limited partners on June 8, 2021.
F6: The Reporting Person, as trustee of the Makower Family Trust u/a 5/6/97 (the "Makower Trust"), received 2,285 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 15 on June 8, 2021.
F7: The Reporting Person is the trustee of the Makower Trust, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the securities held by the Makower Trust in which the Reporting Person has no pecuniary interest.
Nightstar Therapeutics plc
Report date June 07, 2019 · Filed June 07, 2019
Jointly reported with New Enterprise Associates 15, L.P., Makhzoumi Mohamad, Sonsini Peter W., BARRIS PETER J, SANDELL SCOTT D, BASKETT FOREST, Florence Anthony A. Jr., NEA 15 GP, LLC, NEA Partners 15, L.P.
Section 16 reporting ended · disclosed 2019-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-06-07 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-07 · Disposition to issuer · Disposed 6,662,532 · Balance 0 F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer.
F2: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest.
Oruka Therapeutics, Inc.
Report date February 26, 2018 · Filed February 27, 2018
Section 16 reporting ended · disclosed 2018-02-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Note 2 | 0 |
Reported balance
After 2018-02-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-02-26 · Sale · Disposed 1,460,209 · Balance 0 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.475 to $0.625, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest.
Regulus Therapeutics Inc.
Report date March 09, 2021 · Filed March 16, 2021
Section 16 reporting ended · disclosed 2021-03-16. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionSeries C-1 Preferred Stock · Derivative | 762,959 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · derivative · entry 9 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 0 Underlying: Common Stock · 791,214 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock on a 1:1.037033844 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F4 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock on a 1:1.037033844 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F4 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock on a 1:1.037033844 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionSeries C Preferred Stock · Derivative | 1,274,929 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · derivative · entry 8 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,426,354 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1.118772093 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · derivative.exercise_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1.118772093 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · derivative.expiration_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1.118772093 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionSeries B-1 Preferred Stock · Derivative | 546,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · derivative · entry 7 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,858,716 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. F1 · derivative.exercise_price: The Series B-1 Preferred Stock automatically converted into shares of Common Stock on a 1:3.400930233 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B-1 Preferred Stock automatically converted into shares of Common Stock on a 1:3.400930233 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B-1 Preferred Stock automatically converted into shares of Common Stock on a 1:3.400930233 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | PurchaseCommon Stock | 311,111 | $18.00 | $5,599,998.00 |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 6 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 6,520,017 F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionCommon Stock | 1,433,459 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 5 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 6,208,906 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: The Series E Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionCommon Stock | 699,163 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 4,775,447 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: The Series D Preferred Stock automatically converted into shares of Common Stock on a 1:1.246748888 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionCommon Stock | 791,214 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 4,076,284 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock on a 1:1.037033844 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionCommon Stock | 1,426,354 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 3,285,070 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. F3 · price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1.118772093 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 20, 2020 Filed Oct 22, 2020 19:53 UTC | Eargo, Inc. EAR · Entity 94112 | ConversionCommon Stock | 1,858,716 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-055620 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See note 2 Disclosed balance after: 1,858,716 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series B-1 Preferred Stock automatically converted into shares of Common Stock on a 1:3.400930233 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 18:42 UTC | Eargo, Inc. EAR · Entity 94112 | GrantStock Option (Right to Buy) · Derivative | 6,666 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001209191-20-055338 · doc4.xml · derivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,666 Underlying: Common Stock · 6,666 shares Expires 2030-10-14 F1 · derivative.exercise_date: The stock option shall vest and become exercisable with respect to one twelfth (1/12th) of the shares subject to the stock option on each monthly anniversary of October 15, 2020 (the "Vesting Start Date") until all of the shares subject to the stock option have vested and became exercisable on the first anniversary of the Vesting Start Date, so long as the Reporting Person remains an employee, consultant, director or officer of the Issuer through each such date. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:45 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionSeries C Convertible Preferred Stock · Derivative | 332,964 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051532 · doc4.xml · derivative · entry 5 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 Disclosed balance after: 0 Underlying: Common Stock · 332,964 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:45 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionSeries B Convertible Preferred Stock · Derivative | 1,958,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-051532 · doc4.xml · derivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 Disclosed balance after: 0 Underlying: Common Stock · 1,958,333 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:45 UTC | Metacrine, Inc. MTCR · Entity 115177 | PurchaseCommon Stock | 769,230 | $13.00 | $9,999,990.00 |
DisclosureSEC source: 0001209191-20-051532 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 Disclosed balance after: 3,060,527 F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:45 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionCommon Stock | 332,964 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-051532 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 Disclosed balance after: 2,291,297 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · price: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| September 18, 2020 Filed Sep 22, 2020 17:45 UTC | Metacrine, Inc. MTCR · Entity 115177 | ConversionCommon Stock | 1,958,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-051532 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote 2 Disclosed balance after: 1,958,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F1 · price: Every 5.1 shares of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock (the "Preferred Stock") automatically converted into 1 share of Common Stock upon the closing of the Issuer's initial public offering. Share numbers give effect to such conversion. The Preferred Stock has no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:29 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | PurchaseCommon Stock | 250,000 | $16.00 | $4,000,000.00 |
DisclosureSEC source: 0001209191-20-043884 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,437,689 F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:29 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionCommon Stock | 187,156 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-043884 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,187,689 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 · shares: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · price: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 28, 2020 Filed Jul 28, 2020 18:29 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionCommon Stock | 2,000,533 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-043884 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,000,533 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · price: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 25, 2020 Filed Jul 28, 2020 18:29 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionSeries A-2 Preferred Stock · Derivative | 187,156 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043884 · doc4.xml · derivative · entry 5 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 187,156 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: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On July 28, 2020, the Series A-2 Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 25, 2020 Filed Jul 28, 2020 18:29 UTC | Inozyme Pharma, Inc. INZY · Entity 77717 | ConversionSeries A Preferred Stock · Derivative | 2,000,533 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-043884 · doc4.xml · derivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 2,000,533 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On July 28, 2020, the Series A Preferred Stock converted into Common Stock on a 7.473-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 17:24 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | PurchaseWarrant to Purchase Common Stock · Derivative | 3,151,260 | $0.13 Strike: $2.25 | $409,663.80 |
DisclosureSEC source: 0001209191-20-043869 · doc4.xml · derivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 3,151,260 Underlying: Common Stock · 3,151,260 shares Expires 2024-07-24 F1 · kind: Acquired from the issuer pursuant to a Stock Purchase Agreement dated July 22, 2020, with a closing date of July 24, 2020. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 17:24 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | PurchaseCommon Stock | 3,151,260 | $2.25 | $7,090,335.00 |
DisclosureSEC source: 0001209191-20-043869 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 10,376,936 F1 · kind: Acquired from the issuer pursuant to a Stock Purchase Agreement dated July 22, 2020, with a closing date of July 24, 2020. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 14, 2020 Filed Jul 16, 2020 17:00 UTC | Nkarta, Inc. NKTK · Entity 6346 | ConversionSeries B Preferred Stock · Derivative | 1,712,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042651 · doc4.xml · derivative · entry 5 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,712,810 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: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 14, 2020 Filed Jul 16, 2020 17:00 UTC | Nkarta, Inc. NKTK · Entity 6346 | ConversionSeries A Preferred Stock · Derivative | 522,639 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042651 · doc4.xml · derivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 522,639 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 14, 2020 Filed Jul 16, 2020 17:00 UTC | Nkarta, Inc. NKTK · Entity 6346 | PurchaseCommon Stock | 666,666 | $18.00 | $11,999,988.00 |
DisclosureSEC source: 0001209191-20-042651 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,902,115 F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 14, 2020 Filed Jul 16, 2020 17:00 UTC | Nkarta, Inc. NKTK · Entity 6346 | ConversionCommon Stock | 1,712,810 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-042651 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,235,449 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 · shares: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · price: On July 14, 2020, the Series B Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 14, 2020 Filed Jul 16, 2020 17:00 UTC | Nkarta, Inc. NKTK · Entity 6346 | ConversionCommon Stock | 522,639 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-042651 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 522,639 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · price: On July 14, 2020, the Series A Preferred Stock converted into Common Stock on a 3.7-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L.P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries B Preferred Stock · Derivative | 1,199,976 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · derivative · entry 7 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,199,976 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.exercise_date: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.expiration_date: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries A Preferred Stock · Derivative | 1,992,238 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · derivative · entry 6 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,992,238 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: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionSeries Seed Preferred Stock · Derivative | 513,758 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · derivative · entry 5 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 513,758 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | PurchaseCommon Stock | 588,235 | $17.00 | $9,999,995.00 |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · nonDerivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,294,207 F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 1,199,976 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 3,705,972 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F4 · price: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 1,992,238 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,505,996 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 · shares: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · price: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 30, 2020 Filed Jul 1, 2020 17:36 UTC | Akouos, Inc. AKUS · Entity 11574 | ConversionCommon Stock | 513,758 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-039834 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 513,758 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · price: On June 30, 2020, the Series Seed Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC ("NEA 16 GP"), which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 19, 2020 Filed Jun 22, 2020 17:29 UTC | AVEO PHARMACEUTICALS, INC. AVEO · Entity 120602 | PurchaseCommon Stock | 1,428,571 | $5.25 | $7,499,997.75 |
DisclosureSEC source: 0001209191-20-038243 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 3,952,958 F1 · balance_after: On February 19, 2020, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC ("NEA 15 GP"), which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"). NEA 15 is the sole member of Growth Equity Opportunities Fund IV, LLC ("GEO IV"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by GEO IV in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 03, 2020 Filed Apr 13, 2020 21:00 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | OtherCall Option (right to buy) · Derivative | 1,500,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-024287 · doc4.xml · derivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 0 Underlying: Common Stock · 1,500,000 shares Expires 2022-05-06 F3 · derivative.exercise_date: The call option became exercisable upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 03, 2020 Filed Apr 13, 2020 21:00 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | SaleCommon Stock | 564 | $2.66 | $1,500.24 |
DisclosureSEC source: 0001209191-20-024287 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 5,937,998 F2 · kind: On April 3, 2020, NEA 16 exercised a call option to purchase 1,500,000 shares of the Issuer's common stock ("Common Stock") for $0.001 per share. NEA 16 paid the exercise price through the forfeiture of 564 shares of Common Stock. F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| April 03, 2020 Filed Apr 13, 2020 21:00 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | OtherCommon Stock | 1,500,000 | $0.00 | $1,500.00 |
DisclosureSEC source: 0001209191-20-024287 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 5,938,562 F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 17:01 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseClass A-2 Convertible Preferred Stock · Derivative | 900,900 | $6.66 | $5,999,994.00 |
DisclosureSEC source: 0001209191-19-061972 · doc4.xml · derivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 900,900 Underlying: Common Stock · 9,009,000 shares Expires not disclosed F3 · derivative.exercise_price: Each share of Class A-2 Convertible Preferred Stock, par value $0.001 per share ("Class A-2 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-2 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-2 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-2 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F2 · kind: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of December 24, 2019. F3 · derivative.expiration_date: Each share of Class A-2 Convertible Preferred Stock, par value $0.001 per share ("Class A-2 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-2 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-2 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-2 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F4 · derivative.underlying_shares: Each share of Class A-1 Convertible Preferred Stock, par value $0.001 per share ("Class A-1 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of the Issuer at a rate of 10 shares of Common Stock for each share of Class A-1 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-1 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-1 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion. F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 17:01 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock Purchase Warrant (Right to Buy) · Derivative | 9,009,000 | $0.13 Strike: $0.67 | $1,126,125.00 |
DisclosureSEC source: 0001209191-19-061972 · doc4.xml · derivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 9,009,000 Underlying: Common Stock · 9,009,000 shares Expires 2024-12-24 F2 · kind: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of December 24, 2019. F1 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest. Read SEC document |
| December 09, 2019 Filed Dec 9, 2019 22:01 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 400,000 | $6.25 | $2,500,000.00 |
DisclosureSEC source: 0001209191-19-059720 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 1 Disclosed balance after: 3,482,186 F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:55 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | ConversionSeries A Preferred Stock · Derivative | 29,889,945 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-043059 · doc4.xml · derivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 3,736,243 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F1 · derivative.underlying_shares: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:55 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | PurchaseCommon Stock | 450,000 | $15.00 | $6,750,000.00 |
DisclosureSEC source: 0001209191-19-043059 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,186,243 F3 · kind: The shares were purchased in the Issuer's initial public offering. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:55 UTC | Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 | ConversionCommon Stock | 3,736,243 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-043059 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 3,736,243 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F1 · price: Automatic conversion, in connection with the Issuer's initial public offering, of each share of the Issuer's Series A preferred stock into 0.125 shares of the Issuer's common stock. The shares have no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 24, 2019 Filed Jun 25, 2019 16:51 UTC | GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635 | PurchaseCommon Stock | 2,857,142 | $3.50 | $9,999,997.00 |
DisclosureSEC source: 0001209191-19-038963 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 7,225,676 F1 · balance_after: On May 22, 2019 the issuer effected a 1-for-8 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| June 07, 2019 Filed Jun 7, 2019 20:43 UTC | Nightstar Therapeutics plc NITE · Entity 156809 | Disposition to issuerOrdinary Shares | 6,662,532 | $25.50 | $169,894,566.00 |
DisclosureSEC source: 0001209191-19-035594 · doc4.xml · nonDerivative · entry 1 New Enterprise Associates 15, L.P. · CIK 0001629794 · 10% owner Makhzoumi Mohamad · CIK 0001630226 · 10% owner Sonsini Peter W. · CIK 0001559807 · 10% owner BARRIS PETER J · CIK 0001005561 · 10% owner MAKOWER JOSHUA · CIK 0001235952 · 10% owner SANDELL SCOTT D · CIK 0001237289 · 10% owner BASKETT FOREST · CIK 0001277631 · 10% owner Florence Anthony A. Jr. · CIK 0001559827 · 10% owner NEA 15 GP, LLC · CIK 0001640033 · 10% owner NEA Partners 15, L.P. · CIK 0001640031 · 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 · security: The ordinary shares, nominal value GBP 0.01 per share, of Nightstar Therapeutics plc (the "Issuer") may be represented by American Depositary Shares ("ADSs"). Each ADS represents one ordinary share of the Issuer. F2 · ownership.direct: The shares are directly held by New Enterprise Associates 15, L.P. ("NEA 15") and indirectly held by NEA Partners 15, L.P. ("NEA Partners 15"), the sole general partner of NEA 15, NEA 15 GP, LLC ("NEA 15 GP"), the sole general partner of NEA Partners 15, and the individual managers of NEA 15 GP (NEA 15, NEA Partners 15, NEA 15 GP and the individual managers of NEA 15 GP, together, the "Indirect Reporting Persons"). The individual managers of NEA 15 GP are Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, David M. Mott, Scott D. Sandell and Peter W. Sonsini. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 15 in which the Indirect Reporting Persons have no pecuniary interest. Read SEC document |
| May 09, 2019 Filed May 13, 2019 17:13 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | ConversionSeries C Preferred Stock · Derivative | 17,099,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-029400 · doc4.xml · derivative · entry 4 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 0 Underlying: Common Stock · 1,938,562 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.exercise_date: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · derivative.expiration_date: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 09, 2019 Filed May 13, 2019 17:13 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 1,500,000 | $10.00 | $15,000,000.00 |
DisclosureSEC source: 0001209191-19-029400 · doc4.xml · nonDerivative · entry 3 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 4,438,562 F3 · kind: Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 6, 2019 with a closing date of May 9, 2019. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 09, 2019 Filed May 13, 2019 17:13 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | PurchaseCommon Stock | 1,000,000 | $10.00 | $10,000,000.00 |
DisclosureSEC source: 0001209191-19-029400 · doc4.xml · nonDerivative · entry 2 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 2,938,562 F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. Read SEC document |
| May 09, 2019 Filed May 13, 2019 17:13 UTC | Trevi Therapeutics, Inc. TRVI · Entity 4387 | ConversionCommon Stock | 1,938,562 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-029400 · doc4.xml · nonDerivative · entry 1 MAKOWER JOSHUA · CIK 0001235952 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Note 2 Disclosed balance after: 1,938,562 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest. 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.