Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Astria Therapeutics, Inc.CATB · Entity 68888 | Director | June 07, 2018 | June 07, 2018 |
| Deciphera Pharmaceuticals, Inc.DCPH · Entity 90033 | Director | June 11, 2019 | June 13, 2019 |
| IVERIC bio, Inc.OPHT · Entity 111416 | Director | May 23, 2018 | July 11, 2018 |
| SUTRO BIOPHARMA, INC.STRO · Entity 5797 | Director · 10% owner | September 27, 2018 | October 01, 2018 |
| TRex Bio, Inc.TRXB · Entity 184308 | Director | October 08, 2026 | October 09, 2026 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | Director | June 05, 2018 | June 07, 2018 |
| Xilio Therapeutics, Inc.XLO · Entity 7122 | Director | June 15, 2022 | June 17, 2022 |
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.
Astria Therapeutics, Inc.
Report date June 07, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.48 · Expires 2028-06-06 | Direct | 14,000 |
Reported balance
After 2018-06-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-07 · Grant · Acquired 14,000 · Balance 14,000 F1: This option was granted on June 7, 2018 and is scheduled to vest in full on June 7, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: This option was granted on June 7, 2018 and is scheduled to vest in full on June 7, 2019.
Deciphera Pharmaceuticals, Inc.
Report date June 11, 2019 · Filed June 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.05 · Expires 2029-06-11 | Direct | 12,000 |
Reported balance
After 2019-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-11 · Grant · Acquired 12,000 · Balance 12,000 F1: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 11, 2020, subject to continued service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 11, 2020, subject to continued service through such date.
IVERIC bio, Inc.
Report date May 23, 2018 · Filed July 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.78 · Expires 2028-05-22 | Direct | 16,000 |
Reported balance
After 2018-05-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-05-23 · Grant · Acquired 16,000 · Balance 16,000 F1: Subject to Reporting Person providing continued services to the Issuer and other terms and conditions under the Issuer's 2013 Stock Incentive Plan, the option will vest and become exercisable in 12 consecutive, equal installments on each consecutive monthly anniversary of the date of grant, until fully vested and exercisable on the first anniversary of the date of grant. Any unvested shares subject to the option will be accelerated in full one business day prior to the Issuer's 2019 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to Reporting Person providing continued services to the Issuer and other terms and conditions under the Issuer's 2013 Stock Incentive Plan, the option will vest and become exercisable in 12 consecutive, equal installments on each consecutive monthly anniversary of the date of grant, until fully vested and exercisable on the first anniversary of the date of grant. Any unvested shares subject to the option will be accelerated in full one business day prior to the Issuer's 2019 annual meeting of stockholders.
SUTRO BIOPHARMA, INC.
Report date September 27, 2018 · Filed October 01, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 10,952 |
Last balance in matching sequence
After 2018-10-01 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-10-01 · Conversion · Acquired 943 · Balance 943 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 2 · 2018-10-01 · Conversion · Acquired 7,610 · Balance 8,553 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 · 2018-10-01 · Conversion · Acquired 2,399 · Balance 10,952 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 International Life Sciences Fund III (LP1), L.P. | 923,022 |
Last balance in matching sequence
After 2018-10-01 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 4 · 2018-10-01 · Conversion · Acquired 79,467 · Balance 79,467 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 · 2018-10-01 · Conversion · Acquired 641,440 · Balance 720,907 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 · 2018-10-01 · Conversion · Acquired 202,115 · Balance 923,022 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 International Life Sciences Fund III Strategic Partners, L.P. | 8,817 |
Last balance in matching sequence
After 2018-10-01 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 7 · 2018-10-01 · Conversion · Acquired 758 · Balance 758 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 8 · 2018-10-01 · Conversion · Acquired 6,128 · Balance 6,886 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 9 · 2018-10-01 · Conversion · Acquired 1,931 · Balance 8,817 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 SV Life Sciences Fund V, L.P. | 863,503 |
Last balance in matching sequence
After 2018-10-01 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 10 · 2018-10-01 · Conversion · Acquired 341,030 · Balance 341,030 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 11 · 2018-10-01 · Conversion · Acquired 270,690 · Balance 611,720 F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 12 · 2018-10-01 · Conversion · Acquired 251,783 · Balance 863,503 F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 SV Life Sciences Fund V Strategic Partners, L.P. | 18,248 |
Last balance in matching sequence
After 2018-10-01 transaction · row 15
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 13 · 2018-10-01 · Conversion · Acquired 7,207 · Balance 7,207 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 14 · 2018-10-01 · Conversion · Acquired 5,721 · Balance 12,928 F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 15 · 2018-10-01 · Conversion · Acquired 5,320 · Balance 18,248 F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series C Preferred Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.48 | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 5,361 |
Reported balance
After 2018-09-27 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2018-09-27 · Exercise / conversion · Disposed 6,183 · Balance 5,361 F8: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 64,815 |
Reported balance
After 2018-09-27 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2018-09-27 · Exercise / conversion · Acquired 6,183 · Balance 64,815 F9: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2018-10-01 · Conversion · Disposed 64,815 · Balance 0 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.48 | IndirectBy International Life Sciences Fund III (LPI) L.P. | 451,869 |
Reported balance
After 2018-09-27 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2018-09-27 · Exercise / conversion · Disposed 521,159 · Balance 451,869 F8: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III (LPI) L.P. | 5,462,550 |
Reported balance
After 2018-09-27 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2018-09-27 · Exercise / conversion · Acquired 521,159 · Balance 5,462,550 F9: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.48 | IndirectBy International Life Sciences Fund III Strategic Partners L.P. | 4,315 |
Reported balance
After 2018-09-27 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2018-09-27 · Exercise / conversion · Disposed 4,978 · Balance 4,315 F8: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Strategic Partners L.P. | 52,183 |
Reported balance
After 2018-09-27 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2018-09-27 · Exercise / conversion · Acquired 4,978 · Balance 52,183 F9: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2018-10-01 · Conversion · Disposed 21,776 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Co-Investment, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2018-10-01 · Conversion · Disposed 131,683 · Balance 0 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III (LP1), L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2018-10-01 · Conversion · Disposed 1,835,270 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III (LP1), L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2018-10-01 · Conversion · Disposed 11,097,596 · Balance 0 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III (LP1), L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2018-10-01 · Conversion · Disposed 5,462,550 · Balance 0 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2018-10-01 · Conversion · Disposed 17,533 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2018-10-01 · Conversion · Disposed 106,019 · Balance 0 F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy International Life Sciences Fund III Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2018-10-01 · Conversion · Disposed 52,183 · Balance 0 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2018-10-01 · Conversion · Disposed 9,217,015 · Balance 0 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2018-10-01 · Conversion · Disposed 6,683,697 · Balance 0 F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series E Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2018-10-01 · Conversion · Disposed 9,155,794 · Balance 0 F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2018-10-01 · Conversion · Disposed 194,786 · Balance 0 F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series D Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2018-10-01 · Conversion · Disposed 141,249 · Balance 0 F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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. |
| Series E Preferred StockSEC Table II · derivative / convertible security | IndirectBy SV Life Sciences Fund V Strategic Partners, L.P. | 0 |
Reported balance
After 2018-10-01 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2018-10-01 · Conversion · Disposed 193,492 · Balance 0 F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F2: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F5: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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.
F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F8: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.
F9: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
TRex Bio, Inc.
Report date October 08, 2026 · Filed October 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.00 · Expires 2036-10-08 | Direct | 17,500 |
Reported balance
After 2026-10-08 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-10-08 · Grant · Acquired 17,500 · Balance 17,500 F1: The option vests in full on October 8, 2027, subject to the reporting person's continued service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in full on October 8, 2027, subject to the reporting person's continued service through such date.
X4 Pharmaceuticals, Inc
Report date June 05, 2018 · Filed June 07, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.99 · Expires 2028-06-04 | Direct | 10,000 |
Reported balance
After 2018-06-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-05 · Grant · Acquired 10,000 · Balance 10,000 F1: The option becomes exercisable as to 1/12th of the shares underlying the award on the one-month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option becomes exercisable as to 1/12th of the shares underlying the award on the one-month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.
Xilio Therapeutics, Inc.
Report date June 15, 2022 · Filed June 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.28 · Expires 2032-06-14 | Direct | 13,200 |
Reported balance
After 2022-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-15 · Grant · Acquired 13,200 · Balance 13,200 F1: The option award was granted on June 15, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 15, 2023 and (ii) the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a director of the Issuer through the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option award was granted on June 15, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 15, 2023 and (ii) the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a director of the Issuer through the vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 08, 2026 Filed Oct 9, 2026 01:52 UTC | TRex Bio, Inc. TRXB · Entity 184308 | GrantStock Option (Right to Buy) · Derivative | 17,500 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001193125-26-418296 · ownership.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2036-10-08 F1 · derivative.exercise_date: The option vests in full on October 8, 2027, subject to the reporting person's continued service through such date. Read SEC document |
| June 15, 2022 Filed Jun 17, 2022 16:30 UTC | Xilio Therapeutics, Inc. XLO · Entity 7122 | GrantStock Option (right to buy) · Derivative | 13,200 | $0.00 Strike: $2.28 | $0.00 |
DisclosureSEC source: 0001415889-22-006746 · form4-06172022_040630.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,200 Underlying: Common Stock · 13,200 shares Expires 2032-06-14 F1 · derivative.exercise_date: The option award was granted on June 15, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 15, 2023 and (ii) the Issuer's next annual meeting of stockholders following the grant date, subject to the Reporting Person's continued service as a director of the Issuer through the vesting date. Read SEC document |
| October 21, 2021 Filed Oct 25, 2021 17:18 UTC | Xilio Therapeutics, Inc. XLO · Entity 7122 | GrantStock Option (right to buy) · Derivative | 26,400 | $0.00 Strike: $16.00 | $0.00 |
DisclosureSEC source: 0001104659-21-129571 · tm2130646-22_4seq1.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,400 Underlying: Common Stock · 26,400 shares Expires 2031-10-20 F1 · derivative.exercise_date: The option award was granted on October 21, 2021 and will vest in three equal installments on October 21, 2022, October 21, 2023 and October 21, 2024. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 18:33 UTC | Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 | GrantStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $21.05 | $0.00 |
DisclosureSEC source: 0001209191-19-036926 · doc4.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2029-06-11 F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 11, 2020, subject to continued service through such date. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries E Preferred Stock · Derivative | 193,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 36 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,320 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. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries D Preferred Stock · Derivative | 141,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 35 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,721 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 194,786 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 34 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 7,207 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries E Preferred Stock · Derivative | 9,155,794 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 33 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 251,783 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. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries D Preferred Stock · Derivative | 6,683,697 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 32 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 270,690 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 9,217,015 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 31 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 341,030 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 52,183 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 30 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,931 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 106,019 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 29 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 6,128 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries A Preferred Stock · Derivative | 17,533 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 28 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 758 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 5,462,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 27 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 202,115 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 11,097,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 26 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 641,440 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries A Preferred Stock · Derivative | 1,835,270 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 25 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 79,467 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 64,815 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 24 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,399 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 131,683 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 23 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 7,610 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries A Preferred Stock · Derivative | 21,776 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 22 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 943 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 5,320 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 15 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 18,248 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. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 5,721 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 14 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 12,928 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 7,207 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 13 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 7,207 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 251,783 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 12 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 863,503 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. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 270,690 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 11 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 611,720 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 341,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 10 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 341,030 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 1,931 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 9 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 8,817 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 6,128 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 8 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 6,886 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 758 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 7 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 758 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 202,115 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 6 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 923,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 641,440 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 5 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 720,907 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 79,467 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 4 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 79,467 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 2,399 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 3 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 10,952 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 7,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 2 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 8,553 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 |
| October 01, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 943 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 943 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock · Derivative | 4,978 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 21 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P. Disclosed balance after: 52,183 Underlying: Common Stock · 184 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. F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative | 4,978 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 20 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P. Disclosed balance after: 4,315 Underlying: Series C Preferred Stock · 4,978 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. F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock · Derivative | 521,159 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 19 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P. Disclosed balance after: 5,462,550 Underlying: Common Stock · 19,282 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. F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative | 521,159 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 18 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P. Disclosed balance after: 451,869 Underlying: Series C Preferred Stock · 521,159 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. F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock · Derivative | 6,183 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 17 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 64,815 Underlying: Common Stock · 228 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. F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 27, 2018 Filed Oct 1, 2018 17:26 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative | 6,183 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 16 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 5,361 Underlying: Series C Preferred Stock · 6,183 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. F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person 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 26, 2018 Filed Sep 27, 2018 18:06 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | GrantStock Option (right to buy Common Stock) · Derivative | 26,033 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052495 · doc4.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,033 Underlying: Common Stock · 26,033 shares Expires 2028-09-25 F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| June 07, 2018 Filed Jun 7, 2018 18:19 UTC | Astria Therapeutics, Inc. CATB · Entity 68888 | GrantStock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $1.48 | $0.00 |
DisclosureSEC source: 0001179110-18-008249 · edgar.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,000 Underlying: Common Stock · 14,000 shares Expires 2028-06-06 F1 · derivative.exercise_date: This option was granted on June 7, 2018 and is scheduled to vest in full on June 7, 2019. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 16:23 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $16.99 | $0.00 |
DisclosureSEC source: 0001209191-18-036347 · doc4.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-06-04 F1 · derivative.exercise_date: The option becomes exercisable as to 1/12th of the shares underlying the award on the one-month anniversary of the date of grant, with the remainder vesting in equal monthly installments until the first anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date. Read SEC document |
| May 23, 2018 Filed Jul 11, 2018 17:09 UTC | IVERIC bio, Inc. OPHT · Entity 111416 | GrantStock Option (Right to Buy) · Derivative | 16,000 | $0.00 Strike: $2.78 | $0.00 |
DisclosureSEC source: 0001209191-18-042364 · doc4.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2028-05-22 F1 · derivative.exercise_date: Subject to Reporting Person providing continued services to the Issuer and other terms and conditions under the Issuer's 2013 Stock Incentive Plan, the option will vest and become exercisable in 12 consecutive, equal installments on each consecutive monthly anniversary of the date of grant, until fully vested and exercisable on the first anniversary of the date of grant. Any unvested shares subject to the option will be accelerated in full one business day prior to the Issuer's 2019 annual meeting of stockholders. Read SEC document |
| May 17, 2018 Filed May 21, 2018 16:27 UTC | Deciphera Pharmaceuticals, Inc. DCPH · Entity 90033 | GrantStock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $25.73 | $0.00 |
DisclosureSEC source: 0000899243-18-013557 · doc4.xml · derivative · entry 1 Ross Michael Jay · CIK 0001254452 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2017 Stock Option and Incentive Plan and will vest in full on May 17, 2019, subject to the Reporting Person's continuous service with the Issuer. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 50,477 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026997 · doc4.xml · derivative · entry 26 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 14,789 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9 · ownership.nature: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. The reporting person, a member of the investment committee of SVLSF VI, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,474,348 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026997 · doc4.xml · derivative · entry 25 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 431,980 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. The reporting person, a member of the investment committee of SVLSF VI, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 14,635 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026997 · doc4.xml · derivative · entry 24 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 4,288 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries D Convertible Preferred Stock · Derivative | 692,552 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026997 · doc4.xml · derivative · entry 23 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 202,915 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries C Convertible Preferred Stock · Derivative | 4,747 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026997 · doc4.xml · derivative · entry 22 Ross Michael Jay · CIK 0001254452 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,365 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F4 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9 · ownership.nature: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. The reporting person, a member of the investment committee of SVLSF VI, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. 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.