Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Invivyd, Inc.ADGI · Entity 721 | See Remarks | March 28, 2022 | March 30, 2022 |
| Lyra Therapeutics, Inc.LYRA · Entity 46837 | 10% owner | May 05, 2020 | May 06, 2020 |
| Pulmatrix, Inc.PULM · Entity 8249 | 10% owner | April 03, 2018 | April 06, 2018 |
| X4 Pharmaceuticals, IncASNS · Entity 5638 | 10% owner | November 20, 2017 | November 20, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Invivyd, Inc.
Report date March 28, 2022 · Filed March 30, 2022
Jointly reported with Polaris Venture Partners V, L.P., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners Founders' Fund V, L.P., Polaris Venture Partners Special Founders' Fund V, L.P., Polaris Venture Management Co. V, L.L.C., Polaris Partners IX, L.P., Polaris Partners GP IX, L.L.C., Polaris Healthcare Technology Opportunities Fund, L.P., Polaris Healthcare Technology Opportunities Fund GP, L.L.C.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,120,194 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,120,194 F1: These shares are held of record by Polaris Venture Partners V, L.P. ("PVP V"). The general partner of PVP V is Polaris Venture Management Co. V, L.L.C. ("PVM V") and may be deemed to have shared voting and investment power with respect to the shares held by PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 60,814 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 60,814 F2: These shares are held of record by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). The general partner of PVPEF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPEF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 21,374 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 21,374 F3: These shares are held of record by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). The general partner of PVPFF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPFF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 31,198 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 31,198 F4: These shares are held of record by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). The general partner of PVPSFF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPSFF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,800,460 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,800,460 F5: These shares are held of record by Polaris Partners IX, L.P. ("PP IX"). The general partner of PP IX is Polaris Partners GP IX, L.L.C. ("PPGP IX") and may be deemed to have shared voting and investment power with respect to the shares held by PP IX. Each of David Barrett ("Barrett"), Brian Chee ("Chee"), Amir Nashat ("Nashat") and Amy Schulman ("Schulman") are the managing members of PPGP IX (collectively, the "PPGP IX Managing Members"), and McGuire is an interest holder in PPGP IX, and may be deemed to have shared voting and dispositive power over the shares held by PP IX. Each of PPGP IX, the PPGP IX Managing Members and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6: (Continued from footnote 5) McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 497,660 |
Reported balance
Holding disclosure · report date 2022-03-28 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 497,660 F7: These shares are held of record by Polaris Healthcare Technology Opportunities Fund, L.P. ("PHCT"). The general partner of PHCT is Polaris Healthcare Technology Opportunities Fund GP, L.L.C. ("PHCT GP") and may be deemed to have shared voting and investment power with respect to the shares held by PHCT. Each of Barrett, Chee, Nashat and Schulman are the managing members of PHCT GP (collectively, the "PHCT GP Managing Members"), and McGuire is an interest holder in PHCT GP, and may be deemed to have shared voting and dispositive power over the shares held by PHCT. Each of PHCT GP, the PHCT GP Managing Members and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F8: (Continued from footnote 7) McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held of record by Polaris Venture Partners V, L.P. ("PVP V"). The general partner of PVP V is Polaris Venture Management Co. V, L.L.C. ("PVM V") and may be deemed to have shared voting and investment power with respect to the shares held by PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
F2: These shares are held of record by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). The general partner of PVPEF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPEF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
F3: These shares are held of record by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). The general partner of PVPFF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPFF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
F4: These shares are held of record by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). The general partner of PVPSFF V is PVM V and may be deemed to have shared voting and investment power with respect to the shares held by PVPSFF V. Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPEF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
F5: These shares are held of record by Polaris Partners IX, L.P. ("PP IX"). The general partner of PP IX is Polaris Partners GP IX, L.L.C. ("PPGP IX") and may be deemed to have shared voting and investment power with respect to the shares held by PP IX. Each of David Barrett ("Barrett"), Brian Chee ("Chee"), Amir Nashat ("Nashat") and Amy Schulman ("Schulman") are the managing members of PPGP IX (collectively, the "PPGP IX Managing Members"), and McGuire is an interest holder in PPGP IX, and may be deemed to have shared voting and dispositive power over the shares held by PP IX. Each of PPGP IX, the PPGP IX Managing Members and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F6: (Continued from footnote 5) McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
F7: These shares are held of record by Polaris Healthcare Technology Opportunities Fund, L.P. ("PHCT"). The general partner of PHCT is Polaris Healthcare Technology Opportunities Fund GP, L.L.C. ("PHCT GP") and may be deemed to have shared voting and investment power with respect to the shares held by PHCT. Each of Barrett, Chee, Nashat and Schulman are the managing members of PHCT GP (collectively, the "PHCT GP Managing Members"), and McGuire is an interest holder in PHCT GP, and may be deemed to have shared voting and dispositive power over the shares held by PHCT. Each of PHCT GP, the PHCT GP Managing Members and McGuire disclaims beneficial ownership of the securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F8: (Continued from footnote 7) McGuire is a director of the Issuer and, accordingly, files separate Section 16 reports.
Lyra Therapeutics, Inc.
Report date May 05, 2020 · Filed May 06, 2020
Jointly reported with Polaris Venture Management Co. V, L.L.C., Polaris Venture Partners Special Founders' Fund V, L.P., Polaris Venture Partners V, L.P., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners Founders' Fund V, L.P., MCGUIRE TERRANCE
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 993,981 |
Reported balance
After 2020-05-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-05-05 · Conversion · Acquired 993,981 · Balance 993,981 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 19,370 |
Reported balance
After 2020-05-05 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-05-05 · Conversion · Acquired 19,370 · Balance 19,370 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 9,936 |
Reported balance
After 2020-05-05 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-05-05 · Conversion · Acquired 9,936 · Balance 9,936 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 6,807 |
Reported balance
After 2020-05-05 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-05-05 · Conversion · Acquired 6,807 · Balance 6,807 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,011,285 |
Reported balance
After 2020-05-05 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2020-05-05 · Other · Acquired 17,304 · Balance 1,011,285 F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,001,951 |
Reported balance
After 2020-05-05 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2020-05-05 · Sale · Disposed 9,334 · Balance 1,001,951 F6: On May 5, 2020, PVP V exercised a warrant to purchase 17,304 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 9,334 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVP V. The Issuer also paid $10.48 to PVP V in lieu of a fractional share. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 19,707 |
Reported balance
After 2020-05-05 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2020-05-05 · Other · Acquired 337 · Balance 19,707 F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 19,525 |
Reported balance
After 2020-05-05 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2020-05-05 · Sale · Disposed 182 · Balance 19,525 F7: On May 5, 2020, PVPE V exercised a warrant to purchsae 337 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 182 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPE V. The Issuer also paid $3.69 to PVPE V in lieu of a fractional share. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,109 |
Reported balance
After 2020-05-05 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2020-05-05 · Other · Acquired 173 · Balance 10,109 F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,015 |
Reported balance
After 2020-05-05 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2020-05-05 · Sale · Disposed 94 · Balance 10,015 F8: On May 5, 2020, PVPSFF V exercised a warrant to purchase 173 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 94 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPSFF V. The Issuer also paid $11.01 to PVPSFF V in lieu of a fractional share. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 6,925 |
Reported balance
After 2020-05-05 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2020-05-05 · Other · Acquired 118 · Balance 6,925 F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 6,861 |
Reported balance
After 2020-05-05 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2020-05-05 · Sale · Disposed 64 · Balance 6,861 F9: On May 5, 2020, PVPFF V exercised a warrant to purchase 118 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 64 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPFF V. The Issuer also paid $5.66 to the PVPFF V in lieu of a fractional share. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,062,259 |
Reported balance
After 2020-05-05 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2020-05-05 · Purchase · Acquired 60,308 · Balance 1,062,259 F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 20,701 |
Reported balance
After 2020-05-05 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2020-05-05 · Purchase · Acquired 1,176 · Balance 20,701 F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 10,618 |
Reported balance
After 2020-05-05 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2020-05-05 · Purchase · Acquired 603 · Balance 10,618 F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 7,274 |
Reported balance
After 2020-05-05 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2020-05-05 · Purchase · Acquired 413 · Balance 7,274 F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1/C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2020-05-05 · Conversion · Disposed 6,268,687 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1/C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2020-05-05 · Conversion · Disposed 122,177 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1/C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2020-05-05 · Conversion · Disposed 62,687 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1/C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2020-05-05 · Conversion · Disposed 42,941 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2020-05-05 · Conversion · Disposed 3,296,014 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2020-05-05 · Conversion · Disposed 64,237 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2020-05-05 · Conversion · Disposed 32,961 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2020-05-05 · Conversion · Disposed 22,580 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2020-05-05 · Conversion · Disposed 8,610,081 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2020-05-05 · Conversion · Disposed 167,809 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2020-05-05 · Conversion · Disposed 86,101 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-3 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2020-05-05 · Conversion · Disposed 58,980 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-4 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2020-05-05 · Conversion · Disposed 7,693,406 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-4 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2020-05-05 · Conversion · Disposed 149,944 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-4 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2020-05-05 · Conversion · Disposed 76,934 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-4 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2020-05-05 · Conversion · Disposed 52,700 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2020-05-05 · Conversion · Disposed 6,418,387 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2020-05-05 · Conversion · Disposed 125,094 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2020-05-05 · Conversion · Disposed 64,183 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2020-05-05 · Conversion · Disposed 43,966 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 37
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 37 · 2020-05-05 · Conversion · Disposed 1,988,991 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 38
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 38 · 2020-05-05 · Conversion · Disposed 38,765 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 39
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 39 · 2020-05-05 · Conversion · Disposed 19,890 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 40
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 40 · 2020-05-05 · Conversion · Disposed 13,625 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-10 | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 41
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 41 · 2020-05-05 · Other · Disposed 17,304 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-10 | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 42
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 42 · 2020-05-05 · Other · Disposed 337 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-10 | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 43
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 43 · 2020-05-05 · Other · Disposed 173 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-10 | IndirectSee footnote | 0 |
Reported balance
After 2020-05-05 transaction · row 44
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 44 · 2020-05-05 · Other · Disposed 118 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.
F2: The reportable securities are owned directly by Polaris Venture Partners V, L.P. ("PVP V"). Polaris Venture Management Co. V, L.L.C. ("PVM V") is the general partner of PVP V. Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVP V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F3: The reportable securities are owned directly by Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPE V"). PVM V is the general partner of PVPE V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPE V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F4: The reportable securities are owned directly by Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V"). PVM V is the general partner of PVPSFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPSFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F5: The reportable securities are owned directly by Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"). PVM V is the general partner of PVPFF V. Each of Flint and McGuire are the managing members of PVM V and may be deemed to have shared voting and dispositive power over the shares held by PVPFF V. Each of PVM V, Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F6: On May 5, 2020, PVP V exercised a warrant to purchase 17,304 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 9,334 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVP V. The Issuer also paid $10.48 to PVP V in lieu of a fractional share.
F7: On May 5, 2020, PVPE V exercised a warrant to purchsae 337 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 182 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPE V. The Issuer also paid $3.69 to PVPE V in lieu of a fractional share.
F8: On May 5, 2020, PVPSFF V exercised a warrant to purchase 173 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 94 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPSFF V. The Issuer also paid $11.01 to PVPSFF V in lieu of a fractional share.
F9: On May 5, 2020, PVPFF V exercised a warrant to purchase 118 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 64 of the warrant shares to pay the exercise price and issued the remaining warrant shares to PVPFF V. The Issuer also paid $5.66 to the PVPFF V in lieu of a fractional share.
Pulmatrix, Inc.
Report date April 03, 2018 · Filed April 06, 2018
Jointly reported with MCGUIRE TERRANCE, Polaris Venture Management Co IV LLC, POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP, POLARIS VENTURE PARTNERS IV LP, Polaris Venture Management Co. V, L.L.C., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners V, L.P., Polaris Venture Partners Founders' Fund V, L.P., Polaris Venture Partners Special Founders' Fund V, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,556,676 |
Reported balance
After 2018-04-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 1,556,676 F1: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2: Securities held of record by PVP IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 29,178 |
Reported balance
After 2018-04-03 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 29,178 F5: The reported securities were included within 6,478 Units purchased by PVPE IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6: Securities held of record by PVPE IV. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,468,190 |
Reported balance
After 2018-04-03 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 3,468,190 F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8: Securities held of record by PVP V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 67,729 |
Reported balance
After 2018-04-03 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 67,729 F11: The reported securities were included within 15,007 Units purchased by PVPEF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12: Securities held of record by PVPEF V. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 23,875 |
Reported balance
After 2018-04-03 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 23,875 F13: The reported securities were included within 5,275 Units purchased by PVPFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14: Securities held of record by PVPFF V. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 34,587 |
Reported balance
After 2018-04-03 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 34,587 F15: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16: Securities held of record by PVPSFF V. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 345,551 |
Reported balance
After 2018-04-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 345,551 F1: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2: Securities held of record by PVP IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 6,478 |
Reported balance
After 2018-04-03 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 6,478 F5: The reported securities were included within 6,478 Units purchased by PVPE IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6: Securities held of record by PVPE IV. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 769,989 |
Reported balance
After 2018-04-03 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 769,989 F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8: Securities held of record by PVP V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 15,007 |
Reported balance
After 2018-04-03 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 15,007 F11: The reported securities were included within 15,007 Units purchased by PVPEF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12: Securities held of record by PVPEF V. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 5,275 |
Reported balance
After 2018-04-03 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 5,275 F13: The reported securities were included within 5,275 Units purchased by PVPFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14: Securities held of record by PVPFF V. |
| Series A Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2018-10-03 | IndirectSee Footnotes | 7,700 |
Reported balance
After 2018-04-03 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 7,700 F15: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16: Securities held of record by PVPSFF V. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 345,551 |
Reported balance
After 2018-04-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-04-03 · Purchase · Acquired 345,551 · Balance 345,551 F1: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2: Securities held of record by PVP IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 6,478 |
Reported balance
After 2018-04-03 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-04-03 · Purchase · Acquired 6,478 · Balance 6,478 F5: The reported securities were included within 6,478 Units purchased by PVPE IV. F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6: Securities held of record by PVPE IV. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 769,989 |
Reported balance
After 2018-04-03 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-04-03 · Purchase · Acquired 769,989 · Balance 769,989 F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8: Securities held of record by PVP V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 15,007 |
Reported balance
After 2018-04-03 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2018-04-03 · Purchase · Acquired 15,007 · Balance 15,007 F11: The reported securities were included within 15,007 Units purchased by PVPEF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12: Securities held of record by PVPEF V. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 5,275 |
Reported balance
After 2018-04-03 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2018-04-03 · Purchase · Acquired 5,275 · Balance 5,275 F13: The reported securities were included within 5,275 Units purchased by PVPFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14: Securities held of record by PVPFF V. |
| Series B Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.75 · Expires 2023-04-03 | IndirectSee Footnotes | 7,700 |
Reported balance
After 2018-04-03 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2018-04-03 · Purchase · Acquired 7,700 · Balance 7,700 F15: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16: Securities held of record by PVPSFF V. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share.
F2: Securities held of record by PVP IV.
F3: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV.
F4: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F5: The reported securities were included within 6,478 Units purchased by PVPE IV.
F6: Securities held of record by PVPE IV.
F7: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V").
F8: Securities held of record by PVP V.
F9: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V.
F10: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
F11: The reported securities were included within 15,007 Units purchased by PVPEF V.
F12: Securities held of record by PVPEF V.
F13: The reported securities were included within 5,275 Units purchased by PVPFF V.
F14: Securities held of record by PVPFF V.
F15: The reported securities were included within 7,700 Units purchased by PVPSFF V.
F16: Securities held of record by PVPSFF V.
X4 Pharmaceuticals, Inc
Report date November 20, 2017 · Filed November 20, 2017
Jointly reported with Polaris Venture Management Co. V, L.L.C., Polaris Venture Partners V, L.P., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners Founders' Fund V, L.P., Polaris Venture Partners Special Founders' Fund V, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 1,803,429 |
Last balance in matching sequence
After 2017-11-20 transaction · row 21
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2017-11-20 · Conversion · Acquired 18,848 · Balance 18,848 F1: The Series A-1 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 A-1 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Row 5 · 2017-11-20 · Conversion · Acquired 243,385 · Balance 262,233 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Row 9 · 2017-11-20 · Conversion · Acquired 317,376 · Balance 579,609 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Row 13 · 2017-11-20 · Conversion · Acquired 110,312 · Balance 689,921 F9: 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Row 17 · 2017-11-20 · Conversion · Acquired 631,041 · Balance 1,320,962 F10: 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Row 21 · 2017-11-20 · Purchase · Acquired 482,467 · Balance 1,803,429 F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 367 |
Reported balance
After 2017-11-20 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-11-20 · Conversion · Acquired 367 · Balance 367 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 129 |
Reported balance
After 2017-11-20 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-11-20 · Conversion · Acquired 129 · Balance 129 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 188 |
Reported balance
After 2017-11-20 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-11-20 · Conversion · Acquired 188 · Balance 188 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 5,110 |
Reported balance
After 2017-11-20 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2017-11-20 · Conversion · Acquired 4,743 · Balance 5,110 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,796 |
Reported balance
After 2017-11-20 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2017-11-20 · Conversion · Acquired 1,667 · Balance 1,796 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,621 |
Reported balance
After 2017-11-20 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2017-11-20 · Conversion · Acquired 2,433 · Balance 2,621 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 11,295 |
Reported balance
After 2017-11-20 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2017-11-20 · Conversion · Acquired 6,185 · Balance 11,295 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,969 |
Reported balance
After 2017-11-20 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2017-11-20 · Conversion · Acquired 2,173 · Balance 3,969 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 5,794 |
Reported balance
After 2017-11-20 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2017-11-20 · Conversion · Acquired 3,173 · Balance 5,794 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 13,445 |
Reported balance
After 2017-11-20 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2017-11-20 · Conversion · Acquired 2,150 · Balance 13,445 F9: 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,724 |
Reported balance
After 2017-11-20 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2017-11-20 · Conversion · Acquired 755 · Balance 4,724 F9: 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. F5: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 6,896 |
Reported balance
After 2017-11-20 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2017-11-20 · Conversion · Acquired 1,102 · Balance 6,896 F9: 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. F6: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 25,743 |
Reported balance
After 2017-11-20 transaction · row 18
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 18 · 2017-11-20 · Conversion · Acquired 12,298 · Balance 25,743 F10: 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. F4: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 9,046 |
Reported balance
After 2017-11-20 transaction · row 19
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 19 · 2017-11-20 · Conversion · Acquired 4,322 · Balance 9,046 F10: 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 13,206 |
Reported balance
After 2017-11-20 transaction · row 20
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 20 · 2017-11-20 · Conversion · Acquired 6,310 · Balance 13,206 F10: 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 35,146 |
Reported balance
After 2017-11-20 transaction · row 22
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 22 · 2017-11-20 · Purchase · Acquired 9,403 · Balance 35,146 F4: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 12,351 |
Reported balance
After 2017-11-20 transaction · row 23
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 23 · 2017-11-20 · Purchase · Acquired 3,305 · Balance 12,351 F5: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 18,031 |
Reported balance
After 2017-11-20 transaction · row 24
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 24 · 2017-11-20 · Purchase · Acquired 4,825 · Balance 18,031 F6: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2017-11-20 · Conversion · Disposed 64,329 · Balance 0 F1: The Series A-1 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 A-1 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2017-11-20 · Conversion · Disposed 1,254 · Balance 0 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2017-11-20 · Conversion · Disposed 441 · Balance 0 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2017-11-20 · Conversion · Disposed 643 · Balance 0 F1: The Series A-1 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 A-1 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 29
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 29 · 2017-11-20 · Conversion · Disposed 680,130 · Balance 0 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 30
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 30 · 2017-11-20 · Conversion · Disposed 13,256 · Balance 0 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 31
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 31 · 2017-11-20 · Conversion · Disposed 4,659 · Balance 0 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 32
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 32 · 2017-11-20 · Conversion · Disposed 6,801 · Balance 0 F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 33
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 33 · 2017-11-20 · Conversion · Disposed 710,817 · Balance 0 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 34
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 34 · 2017-11-20 · Conversion · Disposed 13,854 · Balance 0 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 35
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 35 · 2017-11-20 · Conversion · Disposed 4,869 · Balance 0 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 36
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 36 · 2017-11-20 · Conversion · Disposed 7,108 · Balance 0 F8: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 37
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 37 · 2017-11-20 · Conversion · Disposed 221,638 · Balance 0 F9: 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 38
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 38 · 2017-11-20 · Conversion · Disposed 4,315 · Balance 0 F9: 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: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 39
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 39 · 2017-11-20 · Conversion · Disposed 1,516 · Balance 0 F9: 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. F5: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 40
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 40 · 2017-11-20 · Conversion · Disposed 2,213 · Balance 0 F9: 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. F6: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-20 transaction · row 41
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 41 · 2017-11-20 · Conversion · Disposed 2,153,746 · Balance 0 F10: 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. F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 42
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 42 · 2017-11-20 · Conversion · Disposed 41,976 · Balance 0 F10: 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. F4: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 43
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 43 · 2017-11-20 · Conversion · Disposed 14,752 · Balance 0 F10: 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: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-11-20 transaction · row 44
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 44 · 2017-11-20 · Conversion · Disposed 21,537 · Balance 0 F10: 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: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A-1 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 A-1 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.
F2: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds").
F3: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F4: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F5: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F6: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.
F7: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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: 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.
F10: 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Phreesia, Inc.
Report date December 17, 2019 · Filed December 18, 2019
Jointly reported with Polaris Venture Management Co. V, L.L.C., Polaris Venture Partners Founders' Fund V, L.P., Polaris Venture Partners V, L.P., Polaris Venture Partners Entrepreneurs' Fund V, L.P., Polaris Venture Partners Special Founders' Fund V, L.P., MCGUIRE TERRANCE
Section 16 reporting ended · disclosed 2019-12-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Polaris Venture Partners V, L.P. | 3,101,386 |
Reported balance
After 2019-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-12-17 · Sale · Disposed 344,599 · Balance 3,101,386 F1: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of December 12, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Polaris Venture Partners Entrepreneurs' Fund V, L.P. | 60,446 |
Reported balance
After 2019-12-17 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-17 · Sale · Disposed 6,716 · Balance 60,446 F1: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of December 12, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Polaris Venture Partners Founders' Fund V, L.P. | 21,245 |
Reported balance
After 2019-12-17 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-12-17 · Sale · Disposed 2,360 · Balance 21,245 F1: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of December 12, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Polaris Venture Partners Special Founders' Fund V, L.P. | 31,015 |
Reported balance
After 2019-12-17 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-12-17 · Sale · Disposed 3,446 · Balance 31,015 F1: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of December 12, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of December 12, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein.
F2: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests 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 |
|---|---|---|---|---|---|---|
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionJunior Convertible Preferred Stock · Derivative | 163,973 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · derivative · entry 10 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Entrepreneurs' Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 74,624 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · price: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionJunior Convertible Preferred Stock · Derivative | 8,413,256 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · derivative · entry 9 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,828,872 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · price: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | SaleCommon Stock | 3,828 | $18.00 | $68,904.00 |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 8 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Special Founders' Fund V, L.P. Disclosed balance after: 34,461 F3 · kind: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of July 17, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | SaleCommon Stock | 2,622 | $18.00 | $47,196.00 |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 7 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Founders' Fund V, L.P. Disclosed balance after: 23,605 F3 · kind: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of July 17, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | SaleCommon Stock | 7,462 | $18.00 | $134,316.00 |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 6 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Entrepreneurs' Fund V, L.P. Disclosed balance after: 67,162 F3 · kind: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of July 17, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | SaleCommon Stock | 382,887 | $18.00 | $6,891,966.00 |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 5 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners V, L.P. Disclosed balance after: 3,445,985 F3 · kind: These shares were sold in a firm commitment underwritten public offering pursuant to an underwriting agreement dated as of July 17, 2019 by and among the Issuer, the several underwriters and the selling stockholders identified therein. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionCommon Stock | 38,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 4 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Special Founders' Fund V, L.P. Disclosed balance after: 38,289 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionCommon Stock | 26,227 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 3 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Founders' Fund V, L.P. Disclosed balance after: 26,227 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionCommon Stock | 74,624 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 2 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners Entrepreneurs' Fund V, L.P. Disclosed balance after: 74,624 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:16 UTC | Phreesia, Inc. PHR · Entity 2606 | ConversionCommon Stock | 3,828,872 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-020231 · doc4.xml · nonDerivative · entry 1 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner MCGUIRE TERRANCE · CIK 0001117003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Polaris Venture Partners V, L.P. Disclosed balance after: 3,828,872 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: Upon the closing of the Issuer's initial public offering, all shares of Junior Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-2.1973 basis. The Junior Convertible Preferred Stock had no expiration date. F2 · ownership.nature: Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire") are the managing members of Polaris Venture Management Co. V, L.L.C. ("PVM"), which is the sole general partner for each of Polaris Venture Partners V, L.P. ("PVP V"), Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"), Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), and Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSF V", and together with PVP V, PVPEF V, and PVPFF V, the "Polaris Funds"). Each of Flint, McGuire, and PVM may be deemed to beneficially own the shares held by the Polaris Funds, but Flint, McGuire and PVM disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 7,700 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 18 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 7,700 Underlying: Common Stock · 7,700 shares Expires 2023-04-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 7,700 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 17 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 7,700 Underlying: Common Stock · 7,700 shares Expires 2018-10-03 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 16 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 5,275 Underlying: Common Stock · 5,275 shares Expires 2023-04-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 5,275 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 15 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 5,275 Underlying: Common Stock · 5,275 shares Expires 2018-10-03 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 14 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 15,007 Underlying: Common Stock · 15,007 shares Expires 2023-04-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 15,007 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 13 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 15,007 Underlying: Common Stock · 15,007 shares Expires 2018-10-03 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 12 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 769,989 Underlying: Common Stock · 769,989 shares Expires 2023-04-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 769,989 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 11 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 769,989 Underlying: Common Stock · 769,989 shares Expires 2018-10-03 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 10 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 6,478 Underlying: Common Stock · 6,478 shares Expires 2023-04-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 6,478 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 9 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 6,478 Underlying: Common Stock · 6,478 shares Expires 2018-10-03 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries B Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 8 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 345,551 Underlying: Common Stock · 345,551 shares Expires 2023-04-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseSeries A Warrant (right to buy) · Derivative | 345,551 | Not disclosed Strike: $0.65 | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · derivative · entry 7 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 345,551 Underlying: Common Stock · 345,551 shares Expires 2018-10-03 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 7,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 6 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 34,587 F15 · price: The reported securities were included within 7,700 Units purchased by PVPSFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F16 · ownership.nature: Securities held of record by PVPSFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 5,275 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 5 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 23,875 F13 · price: The reported securities were included within 5,275 Units purchased by PVPFF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F14 · ownership.nature: Securities held of record by PVPFF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 15,007 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 4 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 67,729 F11 · price: The reported securities were included within 15,007 Units purchased by PVPEF V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F12 · ownership.nature: Securities held of record by PVPEF V. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 769,989 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 3 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 3,468,190 F7 · price: The reported securities were included within 769,989 Units purchased by Polaris Venture Partners V, L.P. ("PVP V"). F8 · ownership.nature: Securities held of record by PVP V. F9 · ownership.nature: Polaris Venture Management Co. V, LLC ("PVM V") is the general partner of PVP V, Polaris Venture Partners Founders' Fund V, L.P. ("PVPFF V"), Polaris Venture Partners Special Founders' Fund V, L.P. ("PVPSFF V") and Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("PVPEF V"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM V. PVM V disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM V is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM V, may be deemed to have shared voting and dispositive power over the shares held by each of PVP V, PVPFF V, PFPSFF V and PVPEF V. F10 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 6,478 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 2 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 29,178 F5 · price: The reported securities were included within 6,478 Units purchased by PVPE IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F6 · ownership.nature: Securities held of record by PVPE IV. Read SEC document |
| April 03, 2018 Filed Apr 6, 2018 00:21 UTC | Pulmatrix, Inc. PULM · Entity 8249 | PurchaseCommon Stock | 345,551 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-009612 · doc4.xml · nonDerivative · entry 1 MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner Flint Jonathan A · CIK 0001295676 · 10% owner Polaris Venture Management Co IV LLC · CIK 0001295438 · 10% owner POLARIS VENTURE PARTNERS ENTREPRENEURS FUND IV LP · CIK 0001170720 · 10% owner POLARIS VENTURE PARTNERS IV LP · CIK 0001157864 · 10% owner Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 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: 1,556,676 F1 · price: The reported securities were included within 345,551 Units purchased by Polaris Venture Partners IV, L.P. ("PVP IV") for $0.65 per Unit (each, a "Unit"). Each Unit consisted of one share of common stock, one Series A Warrant to purchase one share of common stock at an exercise price of $0.65 per share, and one Series B Warrant to purchase one share of common stock at an exercise price of $0.75 per share. F2 · ownership.nature: Securities held of record by PVP IV. F3 · ownership.nature: Polaris Venture Management Co. IV, L.L.C. ("PVM IV") is the general partner of PVP IV and Polaris Venture Partners Entrepreneurs' Fund IV, L.P. ("PVPE IV"). Each of Jonathan A. Flint and Terrance G. McGuire are the managing members of PVM IV. PVM IV disclaims beneficial ownership of these securities and this report shall not be deemed an admission that PVM IV is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of its pecuniary interest therein. Each of Jonathan A. Flint and Terrance G. McGuire, in their respective capacities with regard to PVM IV, may be deemed to have shared voting and dispositive power over the shares held by each of PVP IV and PVPE IV. F4 · ownership.nature: Each of Messrs. Flint and McGuire disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests 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 | 21,537 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 44 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 6,310 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. F10 · 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. F10 · 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. F10 · 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 Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 14,752 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 43 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 4,322 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. F10 · 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. F10 · 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. F10 · 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. F5 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 41,976 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 42 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 12,298 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. F10 · 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. F10 · 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. F10 · 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. F4 · ownership.nature: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 2,153,746 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 41 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 631,041 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. F10 · 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. F10 · 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. F10 · 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. F2 · ownership.nature: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3 · ownership.nature: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 2,213 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 40 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 1,102 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: 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 · 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. F9 · 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. F6 · ownership.nature: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 1,516 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 39 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 755 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: 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 · 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. F9 · 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. F5 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 4,315 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 38 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 2,150 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: 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 · 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. F9 · 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. F4 · ownership.nature: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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 | 221,638 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 37 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 110,312 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: 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 · 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. F9 · 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. F2 · ownership.nature: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3 · ownership.nature: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 7,108 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 36 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 3,173 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_price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 4,869 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 35 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 2,173 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_price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 13,854 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 34 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 6,185 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_price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · ownership.nature: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries B Convertible Preferred Stock · Derivative | 710,817 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 33 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 317,376 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_price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B 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. F2 · ownership.nature: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3 · ownership.nature: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 6,801 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 32 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 2,433 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: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 4,659 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 31 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 1,667 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: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 13,256 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 30 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 4,743 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: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · ownership.nature: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-2 Convertible Preferred Stock · Derivative | 680,130 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 29 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 243,385 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: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.exercise_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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 · derivative.expiration_date: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 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. F2 · ownership.nature: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3 · ownership.nature: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 643 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 28 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 188 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 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 A-1 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. F1 · derivative.exercise_date: The Series A-1 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 A-1 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. F1 · derivative.expiration_date: The Series A-1 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 A-1 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 Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 441 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 27 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 129 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 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 A-1 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. F1 · derivative.exercise_date: The Series A-1 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 A-1 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. F1 · derivative.expiration_date: The Series A-1 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 A-1 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 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 1,254 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 26 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 367 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 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 A-1 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. F1 · derivative.exercise_date: The Series A-1 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 A-1 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. F1 · derivative.expiration_date: The Series A-1 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 A-1 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 · ownership.nature: These shares are owned directly by Polaris Entrepreneurs' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | ConversionSeries A-1 Convertible Preferred Stock · Derivative | 64,329 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · derivative · entry 25 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 0 Underlying: Common Stock · 18,848 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A-1 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 A-1 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. F1 · derivative.exercise_date: The Series A-1 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 A-1 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. F1 · derivative.expiration_date: The Series A-1 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 A-1 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. F2 · ownership.nature: These shares are owned directly by Polaris Venture Partners V, L.P. ("Polaris V"), whose general partner is Polaris Venture Management Co. V, L.L.C. ("Polaris Management"). Each of Jonathan A. Flint ("Flint") and Terrance G. McGuire ("McGuire"), who is a member of the Issuer's Board of Directors and whose beneficial ownership is reported on a separate Form 4, are the managing members of Polaris Management and may each be deemed to share voting and dispositive power with respect to the shares held by each of Polaris V, Polaris Venture Partners Entrepreneurs' Fund V, L.P. ("Polaris Entrepreneurs' V"), Polaris Venture Partners Founders' Fund V, L.P. ("Polaris Founders' V") and Polaris Venture Partners Special Founders' Fund V, L.P. ("Polaris Special Founders' V", and together with Polaris V, Polaris Entrepreneurs' V and Polaris Founders' V, the "Polaris V Funds"). F3 · ownership.nature: (Continued from footnote 2) Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | PurchaseCommon Stock | 4,825 | $10.00 | $48,250.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · nonDerivative · entry 24 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 18,031 F6 · ownership.nature: These shares are owned directly by Polaris Special Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and, may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| November 20, 2017 Filed Nov 20, 2017 17:28 UTC | X4 Pharmaceuticals, Inc ASNS · Entity 5638 | PurchaseCommon Stock | 3,305 | $10.00 | $33,050.00 |
DisclosureSEC source: 0000899243-17-026998 · doc4.xml · nonDerivative · entry 23 Polaris Venture Management Co. V, L.L.C. · CIK 0001439589 · 10% owner Polaris Venture Partners V, L.P. · CIK 0001439590 · 10% owner Polaris Venture Partners Entrepreneurs' Fund V, L.P. · CIK 0001439587 · 10% owner Polaris Venture Partners Founders' Fund V, L.P. · CIK 0001439588 · 10% owner Polaris Venture Partners Special Founders' Fund V, L.P. · CIK 0001439586 · 10% owner Flint Jonathan A · CIK 0001295676 · 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: 12,351 F5 · ownership.nature: These shares are owned directly by Polaris Founders' V, whose general partner is Polaris Management. Each of Flint and McGuire are the managing members of Polaris Management and may each be deemed to share voting and dispositive power over the shares held by each of the Polaris V Funds. Polaris Management may be deemed to have sole power to vote and dispose of the shares held by the Polaris V Funds. Each of Flint, McGuire and Polaris Management disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests 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.