person · Reporting owner
Crestline Investors, Inc.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MIDWEST HOLDING INC.MDWT · Entity 95904 | Director · 10% owner | June 14, 2022 | June 16, 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.
MIDWEST HOLDING INC.
Report date June 14, 2022 · Filed June 16, 2022
Jointly reported with BRATTON DOUGLAS K, CRESTLINE ASSURANCE HOLDINGS LLC, Crestline Management, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | IndirectSee Footnote | 447,845 |
Reported balance
After 2022-06-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-06-14 · Grant · Acquired 2,674 · Balance 447,845 F1: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board.
F2: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance.
F3: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Denali Therapeutics Inc.
Report date February 12, 2021 · Filed February 17, 2021
Jointly reported with BRATTON DOUGLAS K, AKDL, L.P., Crestline SI (GP), L.P., Crestline Management, L.P.
Section 16 reporting ended · disclosed 2021-02-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy AKDL, L.P. | 9,984,836 |
Reported balance
After 2021-02-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-02-12 · Sale · Disposed 2,216,798 · Balance 9,984,836 F1: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Bratton Family Partners L.P. | 100,102 |
Reported balance
Holding disclosure · report date 2021-02-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 100,102 F3: These shares of common stock of the Issuer are held directly by Bratton Family Partners L.P., an entity controlled by Douglas K. Bratton. Such shares of common stock of the Issuer held by Bratton Family Partners L.P. were received in a previously reported pro rata in-kind distribution from Neuro Line Partners, L.P. without a change in pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL.
F2: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein.
F3: These shares of common stock of the Issuer are held directly by Bratton Family Partners L.P., an entity controlled by Douglas K. Bratton. Such shares of common stock of the Issuer held by Bratton Family Partners L.P. were received in a previously reported pro rata in-kind distribution from Neuro Line Partners, L.P. without a change in pecuniary interest.
Juno Therapeutics, Inc.
Report date July 13, 2017 · Filed July 17, 2017
Jointly reported with BRATTON DOUGLAS K, Crestline SI (GP), L.P., Crestline Management, L.P., CL Alaska, L.P.
Section 16 reporting ended · disclosed 2017-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy CL Alaska, L.P. | 9,166,130 |
Reported balance
After 2017-07-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-07-13 · Sale · Disposed 8,000,000 · Balance 9,166,130 F1: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share. F2: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015. F3: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy JT Line Partners LP | 182,669 |
Reported balance
Holding disclosure · report date 2017-07-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 182,669 F4: The shares of the Issuer reported in Column 5 are held directly by JT Line Partners LP ("JT"). The general partner of JT is Bratton Capital Management L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. JT is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of the shares of the Issuer held by JT, as well as a partial pecuniary interest in such shares. JT directly beneficially owns these shares of the Issuer. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to indirectly beneficially own the shares of the Issuer held by JT. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share.
F2: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015.
F3: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein.
F4: The shares of the Issuer reported in Column 5 are held directly by JT Line Partners LP ("JT"). The general partner of JT is Bratton Capital Management L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. JT is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of the shares of the Issuer held by JT, as well as a partial pecuniary interest in such shares. JT directly beneficially owns these shares of the Issuer. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to indirectly beneficially own the shares of the Issuer held by JT. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| June 14, 2022 Filed Jun 16, 2022 16:07 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantVoting Common Stock | 2,674 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-022799 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 447,845 F1 · kind: On June 14, 2022, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 2,674 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2), Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| November 11, 2021 Filed Nov 15, 2021 16:18 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantVoting Common Stock | 727 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-044580 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 445,171 F1 · kind: On November 11, 2021, the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer") granted to Mr. Bratton, a member of the Board, 727 restricted stock units ("RSUs"). The RSUs vest 100% into shares of Voting Common Stock of the Issuer on a 1-for-1 basis on the earlier of the first anniversary of its date of grant and the date of the Issuer's next annual meeting of its stockholders, subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the RSUs reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such RSUs. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the RSUs through indirect membership interests in Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2) The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 20:39 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 2,216,798 | $65.00 | $144,091,870.00 |
DisclosureSEC source: 0000899243-21-007016 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 9,984,836 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2 · ownership.nature: (Continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 16:50 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 1,443,247 | $31.65 | $45,678,767.55 |
DisclosureSEC source: 0000899243-20-022430 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 12,201,634 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. F2 · ownership.nature: (Continued from footnote 1) Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 21:15 UTC | MIDWEST HOLDING INC. MDWT · Entity 95904 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.05 | $0.00 |
DisclosureSEC source: 0000899243-20-021314 · doc4.xml · derivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner CRESTLINE ASSURANCE HOLDINGS LLC · CIK 0001810802 · Director · 10% owner Crestline Management, LP · CIK 0001536054 · Director · 10% owner Crestline Investors, Inc. · CIK 0001626596 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 50,000 Underlying: Voting Common Stock · 50,000 shares Expires 2020-07-31 F1 · shares: Non-Qualified Stock Options granted under the Midwest Holding Inc. 2019 Long-Term Incentive Plan to Douglas K. Bratton for his service on the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer"). The Non-Qualified Stock Options vest as follows: (i) 25,000 Options shall vest on July 31, 2022; and (ii) 25,000 Options shall vest on July 31, 2024, in each case subject to Mr. Bratton's continued service on the Issuer's Board. F1 · derivative.exercise_date: Non-Qualified Stock Options granted under the Midwest Holding Inc. 2019 Long-Term Incentive Plan to Douglas K. Bratton for his service on the Board of Directors (the "Board") of Midwest Holding Inc. (the "Issuer"). The Non-Qualified Stock Options vest as follows: (i) 25,000 Options shall vest on July 31, 2022; and (ii) 25,000 Options shall vest on July 31, 2024, in each case subject to Mr. Bratton's continued service on the Issuer's Board. F2 · ownership.nature: Mr. Bratton serves on the Issuer's Board as a representative of Crestline Assurance Holdings LLC ("Crestline Assurance") and its affiliates. Mr. Bratton holds the Options reported herein for the benefit of Crestline Assurance and as a result does not have any direct pecuniary interest in such Options. Mr. Bratton may be deemed to have an indirect pecuniary interest in a portion of the Options through indirect membership interests in Crestline Assurance. The Manager of Crestline Assurance is Mr. Bratton and the Sole Member of Crestline Assurance is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of Crestline Management. Mr. Bratton is the sole director of Crestline. Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities beneficially owned by Crestline Assurance. F3 · ownership.nature: (Continued from Footnote 2) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 16:10 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 1,922,855 | $25.75 | $49,513,516.25 |
DisclosureSEC source: 0000899243-20-015779 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 13,644,881 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. F2 · ownership.nature: (Continued in footnote 1) Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| February 26, 2020 Filed Feb 28, 2020 16:25 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | SaleCommon Stock | 3,894,764 | $20.25 | $78,868,971.00 |
DisclosureSEC source: 0000899243-20-006252 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 15,567,736 F1 · ownership.nature: These shares of common stock of Denali Therapeutics Inc. (the "Issuer") are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. F2 · ownership.nature: (continued from footnote 1) Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 240,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 13 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 240,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.exercise_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.expiration_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 128,200 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 12 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 128,200 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.exercise_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.expiration_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 743,599 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 11 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 743,599 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.exercise_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.expiration_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries B-1 Convertible Preferred Stock · Derivative | 1,875,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 10 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,875,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.exercise_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F3 · derivative.expiration_date: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 2,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 9 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,500,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.exercise_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F2 · derivative.expiration_date: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 14,499,999 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · derivative · entry 8 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 0 Underlying: Common Stock · 14,499,999 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.exercise_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F1 · derivative.expiration_date: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | PurchaseCommon Stock | 275,000 | $18.00 | $4,950,000.00 |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 7 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 19,462,499 F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 240,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 6 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 1,111,799 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 128,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 5 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 871,799 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 743,599 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 4 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Neuro Line Partners, L.P. Disclosed balance after: 743,599 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F6 · ownership.nature: These securities are held directly by Neuro Line Partners, L.P. ("Neuro Line"). The general partner of Neuro Line is Bratton Capital Management, L.P. ("Bratton Capital Management"). The general partner of Bratton Capital Management is Bratton Capital, Inc. ("Bratton Capital"). Douglas K. Bratton is the sole director of Bratton Capital. Neuro Line is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by Neuro Line. F7 · ownership.nature: (Continued from Footnote 6) In addition, Bratton Capital Management, Bratton Capital, and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line due to Bratton Capital Management's right to receive performance-based allocations and Bratton Capital Management and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by Neuro Line through direct or indirect limited partner and/or general partner interests in Neuro Line. Bratton Capital Management, Bratton Capital and Mr. Bratton may each be deemed to beneficially own the securities held by Neuro Line. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 1,875,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 3 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 19,187,499 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: All shares of Series B-1 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 2,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 2 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 17,312,499 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: All shares of Series A-2 Convertible Preferred Stock of the Issuer automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 16:09 UTC | Denali Therapeutics Inc. DNLI · Entity 1735 | ConversionCommon Stock | 14,499,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-028694 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner AKDL, L.P. · CIK 0001716958 · 10% owner Neuro Line Partners LP · CIK 0001723842 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner Bratton Capital Inc. · CIK 0001723783 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By AKDL, L.P. Disclosed balance after: 14,812,499 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: All shares of Series A-1 Convertible Preferred Stock of Denali Therapeutics Inc. (the "Issuer") automatically converted into shares of common stock of the Issuer at a one-for-one ratio immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. F4 · ownership.nature: These securities are held directly by AKDL, L.P. ("AKDL"). The general partner of AKDL is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of AKDL is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. AKDL is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all securities held by AKDL. F5 · ownership.nature: (Continued from Footnote 4) In addition, Crestline SI, Crestline and Mr. Bratton may be deemed to have a pecuniary interest in a portion of the securities held by AKDL through direct or indirect limited partner interests, including limited partner profit interests, and/or general partner interests in AKDL. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to beneficially own the securities held by AKDL. Each such entity and Mr. Bratton disclaims beneficial ownership of such securities except to the extent of its or his respective pecuniary interest therein. Read SEC document |
| July 13, 2017 Filed Jul 17, 2017 17:48 UTC | Juno Therapeutics, Inc. JUNO · Entity 168572 | SaleCommon Stock | 8,000,000 | $27.00 | $216,000,000.00 |
DisclosureSEC source: 0000899243-17-018338 · doc4.xml · nonDerivative · entry 1 BRATTON DOUGLAS K · CIK 0001281933 · 10% owner Crestline Investors, Inc. · CIK 0001626596 · 10% owner Crestline SI (GP), L.P. · CIK 0001626597 · 10% owner Crestline Management, LP · CIK 0001536054 · 10% owner CL Alaska, L.P. · CIK 0001626595 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By CL Alaska, L.P. Disclosed balance after: 9,166,130 F1 · shares: The purchase reported in Column 4 occurred in a block transaction at a price of $27.00 per share. F2 · ownership.nature: These 9,166,130 shares of the Issuer are held directly by CL Alaska, L.P. ("CLA"). The general partner of CLA is Crestline SI (GP), L.P. ("Crestline SI") and the investment manager of CLA is Crestline Management, L.P. ("Crestline Management"). Crestline Investors, Inc. ("Crestline") is the general partner of both Crestline SI and Crestline Management. Douglas K. Bratton is the sole director of Crestline. CLA is ultimately controlled by Mr. Bratton and Mr. Bratton has voting and investment power over all of these shares of the Issuer as well as a partial pecuniary interest in the shares held by CLA. Mr. Bratton does not intend to sell additional shares of the Issuer from CLA at this time, however, please see the related disclosures in Item 4 of the Schedule 13D/A filed on June 25, 2015. F3 · ownership.nature: (Continued from footnote 2) CLA may be deemed to directly beneficially own all of these shares of the Issuer. Crestline SI, Crestline Management, Crestline and Mr. Bratton may each be deemed to indirectly beneficially own all of these shares of the Issuer. Each such entity and Mr. Bratton disclaims beneficial ownership of these shares, except to the extent of its or his respective 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.