person · Reporting owner

VIVO VENTURES VII, LLC

Disclosed activity across 4 companies

Tapewire entity: 125711
SEC CIK: 0001565020

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AIRXPANDERS INCAXP · Entity 159340	10% owner	August 30, 2018	August 31, 2018
Aclaris Therapeutics, Inc.ACRS · Entity 5041	10% owner	February 28, 2017	March 02, 2017

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.

AIRXPANDERS INC

Report date August 30, 2018 · Filed August 31, 2018

Jointly reported with Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures Fund VII, L.P.	36,195,409	Reported balance After 2018-08-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2018-08-30 · Purchase · Acquired 19,712,492 · Balance 36,195,409 F1: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures VII Affiliates Fund, L.P.	788,873	Reported balance After 2018-08-30 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2018-08-30 · Purchase · Acquired 429,631 · Balance 788,873 F1: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Aclaris Therapeutics, Inc.

Report date February 28, 2017 · Filed March 02, 2017

Jointly reported with Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures Fund VII, L.P.	2,797,597	Last balance in matching sequence After 2017-03-02 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2017-02-28 · Sale · Disposed 195,734 · Balance 3,017,798 F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2017-03-01 · Sale · Disposed 97,867 · Balance 2,919,931 F3: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.20, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2017-03-02 · Sale · Disposed 122,334 · Balance 2,797,597 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.86, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures VII Affiliates Fund, L.P.	60,972	Last balance in matching sequence After 2017-03-02 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2017-02-28 · Sale · Disposed 4,266 · Balance 65,771 F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2017-03-01 · Sale · Disposed 2,133 · Balance 63,638 F3: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.20, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2017-03-02 · Sale · Disposed 2,666 · Balance 60,972 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.86, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.20, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.86, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

Past disclosures · reporting ended (2)

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

CODEXIS, INC.

Report date September 14, 2017 · Filed September 19, 2017

Jointly reported with Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Section 16 reporting ended · disclosed 2017-09-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures Fund VII, L.P.	4,144,495	Reported balance After 2017-09-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-09-14 · Sale · Disposed 1,037,390 · Balance 4,144,495 F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Ventures VII Affiliates Fund, L.P.	90,330	Reported balance After 2017-09-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-09-14 · Sale · Disposed 22,610 · Balance 90,330 F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Sierra Oncology, Inc.

Report date July 01, 2022 · Filed July 01, 2022

Jointly reported with Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.

Section 16 reporting ended · disclosed 2022-07-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-07-01 · Disposition to issuer · Disposed 161,712 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-07-01 · Disposition to issuer · Disposed 2,735,853 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2022-07-01 · Disposition to issuer · Disposed 431,947 · Balance 0 F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Capital Fund IX, L.P.	Reported balance After 2022-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-07-01 · Disposition to issuer · Disposed 324,740 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	Reported balance After 2022-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-07-01 · Disposition to issuer · Disposed 1,455,384 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $13.20 · Expires 2024-11-13	IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.	Reported balance After 2022-07-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-07-01 · Disposition to issuer · Disposed 75,749 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest.

F3: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F5: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	75,749	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 75,749 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F1 · ownership.nature: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	1,455,384	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,384 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F3 · ownership.nature: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerSeries A Warrants · Derivative	324,740	$0.00 Strike: $13.20	$0.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,740 shares Expires 2024-11-13 F5 · timeliness: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. F2 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · price: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F4 · ownership.nature: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	431,947	$55.00	$23,757,085.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F4 · ownership.nature: Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	2,735,853	$55.00	$150,471,915.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F3 · ownership.nature: Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
July 01, 2022 Filed Jul 1, 2022 16:59 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	Disposition to issuerCommon Stock	161,712	$55.00	$8,894,160.00	Disclosure SEC source: 0001213900-22-036724 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · Director · 10% owner Vivo Opportunity Fund Holdings, L.P. · CIK 0001930214 · Director · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · Director · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · Director · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · Director · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · Director · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 F2 · acquired: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. F1 · ownership.nature: Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 31, 2022 Filed Jan 31, 2022 21:30 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	PurchaseCommon Stock	800,000	$27.00	$21,600,000.00	Disclosure SEC source: 0001213900-22-004647 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 2,735,853 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	324,740	$13.20 Strike: $13.20	$4,286,568.00	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 107,164 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	1,455,384	$13.20 Strike: $13.20	$19,211,068.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 480,277 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherSeries B Warrant (Right to Purchase ) · Derivative	75,749	$13.20 Strike: $13.20	$999,886.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 24,996 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	107,164	$13.20	$1,414,564.80	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 431,947 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	480,277	$13.20	$6,339,656.40	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 1,935,853 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 26, 2022 Filed Jan 28, 2022 20:12 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	OtherCommon Stock	24,996	$13.20	$329,947.20	Disclosure SEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 161,712 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	4,287	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 324,783 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F8 · shares: Consists of 4,287 shares of Series A Preferred Stock held by Vivo Capital Fund IX, L.P., which are convertible into an aggregate of 324,783 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	19,213	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,455,576 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F7 · shares: Consists of 19,213 shares of Series A Preferred Stock held by Vivo Opportunity Fund, L.P., which are convertible into an aggregate of 1,455,576 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionSeries A Convertible Voting Preferred Stock · Derivative	1,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 75,759 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F6 · shares: Consists of 1,000 shares of Series A Preferred Stock held by Vivo Fund VII, which are convertible into an aggregate of 75,759 shares of Common Stock, as adjusted for the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	324,783	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 324,783 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 January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	1,455,576	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 1,455,576 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 January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
January 29, 2020 Filed Jan 31, 2020 20:00 UTC	Sierra Oncology, Inc. SRRA · Entity 125698	ConversionCommon Stock	75,759	$0.00	$0.00	Disclosure SEC source: 0001213900-20-002313 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 136,715 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 January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date. F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
August 30, 2018 Filed Aug 31, 2018 20:50 UTC	AIRXPANDERS INC AXP · Entity 159340	PurchaseCommon Stock	429,631	$0.17	$71,834.30	Disclosure SEC source: 0001615774-18-009063 · s112489_form4.xml · nonDerivative · entry 2 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 788,873 F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2 · ownership.nature: In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
August 30, 2018 Filed Aug 31, 2018 20:50 UTC	AIRXPANDERS INC AXP · Entity 159340	PurchaseCommon Stock	19,712,492	$0.17	$3,295,928.66	Disclosure SEC source: 0001615774-18-009063 · s112489_form4.xml · nonDerivative · entry 1 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 36,195,409 F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2 · ownership.nature: In addition, Albert Cha, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
September 14, 2017 Filed Sep 19, 2017 00:52 UTC	CODEXIS, INC. CDXS · Entity 6428	SaleCommon Stock	22,610	$5.78	$130,572.75	Disclosure SEC source: 0001615774-17-005168 · s107541_f4.xml · nonDerivative · entry 2 Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 90,330 F2 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
September 14, 2017 Filed Sep 19, 2017 00:52 UTC	CODEXIS, INC. CDXS · Entity 6428	SaleCommon Stock	1,037,390	$5.78	$5,990,927.25	Disclosure SEC source: 0001615774-17-005168 · s107541_f4.xml · nonDerivative · entry 1 Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 4,144,495 F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
March 02, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	2,666	$31.20	$83,179.20	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 6 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 60,972 F4 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.86, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F2 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
March 02, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	122,334	$31.20	$3,816,820.80	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 5 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 2,797,597 F4 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.86, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
March 01, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	2,133	$30.98	$66,080.34	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 4 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 63,638 F3 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.20, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F2 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
March 01, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	97,867	$30.98	$3,031,919.66	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 3 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 2,919,931 F3 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.20, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 28, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	4,266	$30.50	$130,113.00	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 2 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 65,771 F2 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures VII Affiliates Fund, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 28, 2017 Filed Mar 2, 2017 20:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	195,734	$30.50	$5,969,887.00	Disclosure SEC source: 0001615774-17-000876 · s105466_form4.xml · nonDerivative · entry 1 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 3,017,798 F1 · ownership.nature: Vivo Ventures VII, LLC is the general partner of Vivo Ventures Fund VII, L.P., the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Each of Frank Kung, Edgar Engleman, Albert Cha, Chen Yu and Shan Fu is a managing member of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Ventures Fund VII, L.P. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
November 18, 2016 Filed Nov 18, 2016 19:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	9,598	$22.72	$218,066.56	Disclosure SEC source: 0001615774-16-008485 · s104763_form4.xml · nonDerivative · entry 4 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 70,037 Read SEC document
November 18, 2016 Filed Nov 18, 2016 19:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	440,402	$22.72	$10,005,933.44	Disclosure SEC source: 0001615774-16-008485 · s104763_form4.xml · nonDerivative · entry 3 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 3,213,532 Read SEC document
November 16, 2016 Filed Nov 18, 2016 19:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	9,765	$27.30	$266,584.50	Disclosure SEC source: 0001615774-16-008485 · s104763_form4.xml · nonDerivative · entry 2 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 79,635 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.50 to $24.90, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F3 · ownership.nature: VV LLC is the general partner of Vivo Ventures VII Affiliates Fund, L.P. ("VVAF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Albert Cha, a director of the issuer, Frank Kung and Edgar Engleman is a managing member of VV LLC and may be deemed to share voting and dispositive power over the securities held by VVAF. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
November 16, 2016 Filed Nov 18, 2016 19:44 UTC	Aclaris Therapeutics, Inc. ACRS · Entity 5041	SaleCommon Stock	448,063	$23.25	$10,417,464.75	Disclosure SEC source: 0001615774-16-008485 · s104763_form4.xml · nonDerivative · entry 1 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 3,653,934 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.50 to $24.90, inclusive. The reporting person undertakes to provide to Aclaris Therapeutics, Inc., any security holder of Aclaris Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. F2 · ownership.nature: Vivo Ventures VII, LLC ("VV LLC") is the general partner of Vivo Ventures Fund VII, L.P. ("VVF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. In addition, each of Albert Cha, a director of the issuer, Frank Kung and Edgar Engleman is a managing member of VV LLC and may be deemed to share voting and dispositive power over the securities held by VVF. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
September 08, 2016 Filed Sep 12, 2016 22:27 UTC	CODEXIS, INC. CDXS · Entity 6428	SaleCommon Stock	2,381	$4.25	$10,126.15	Disclosure SEC source: 0001225208-16-039231 · doc4.xml · nonDerivative · entry 2 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 112,940 F1 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.10 to $4.40 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F3 · ownership.nature: These shares are owned directly by Vivo Ventures Affliates Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares. Read SEC document
September 08, 2016 Filed Sep 12, 2016 22:27 UTC	CODEXIS, INC. CDXS · Entity 6428	SaleCommon Stock	109,219	$4.25	$464,497.49	Disclosure SEC source: 0001225208-16-039231 · doc4.xml · nonDerivative · entry 1 VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Ventures Fund VII, L.P. Disclosed balance after: 5,181,885 F1 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $4.10 to $4.40 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F2 · ownership.nature: These shares are owned directly by Vivo Ventures Fund VII, L.P. Vivo Ventures VII, LLC is its general partner, and as such may be deemed to beneficially own these shares. 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.