organization · Reporting owner
Vivo Opportunity Fund, L.P.
Disclosed activity across 6 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALX ONCOLOGY HOLDINGS INCALXO · Entity 6040 | 10% owner | July 21, 2020 | July 22, 2020 |
| Bolt Biotherapeutics, Inc.BOLT · Entity 8082 | 10% owner | February 09, 2021 | February 09, 2021 |
| Crinetics Pharmaceuticals, Inc.CRNX · Entity 3579 | 10% owner | March 09, 2020 | March 11, 2020 |
| Kadmon Holdings, Inc.KDMN · Entity 133686 | 10% owner | January 07, 2019 | January 08, 2019 |
| Sierra Oncology, Inc.SRRA · Entity 125698 | 10% owner | January 31, 2022 | January 31, 2022 |
| Terns Pharmaceuticals, Inc.TERN · Entity 49595 | 10% owner | February 09, 2021 | February 09, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALX ONCOLOGY HOLDINGS INC
Report date July 21, 2020 · Filed July 22, 2020
Jointly reported with Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., Vivo Opportunity, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 789,474 |
Reported balance
After 2020-07-21 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-07-21 · Purchase · Acquired 789,474 · Balance 789,474 F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,034,522 |
Reported balance
After 2020-07-21 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-07-21 · Conversion · Acquired 3,245,048 · Balance 4,034,522 F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 185,526 |
Reported balance
After 2020-07-21 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-07-21 · Purchase · Acquired 185,526 · Balance 185,526 F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-07-21 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-07-21 · Conversion · Disposed 3,158,851 · Balance 0 F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
F2: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F3: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
F4: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Bolt Biotherapeutics, Inc.
Report date February 09, 2021 · Filed February 09, 2021
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Panda Fund, L.P., Vivo Panda, LLC, Vivo Opportunity, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo PANDA Fund, L.P. | 1,448,286 |
Last balance in matching sequence
After 2021-02-09 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2021-02-09 · Conversion · Acquired 944,056 · Balance 958,341 F1: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Row 2 · 2021-02-09 · Conversion · Acquired 472,296 · Balance 1,430,637 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Row 3 · 2021-02-09 · Other · Acquired 17,711 · Balance 1,448,348 F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Row 4 · 2021-02-09 · Sale · Disposed 62 · Balance 1,448,286 F4: Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Fund VIII, L.P. | 1,997,216 |
Last balance in matching sequence
After 2021-02-09 transaction · row 10
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 5 · 2021-02-09 · Conversion · Acquired 1,092,080 · Balance 1,117,184 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 6 · 2021-02-09 · Conversion · Acquired 317,922 · Balance 1,435,106 F6: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 7 · 2021-02-09 · Conversion · Acquired 345,568 · Balance 1,780,674 F7: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 8 · 2021-02-09 · Other · Acquired 40,953 · Balance 1,821,627 F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 9 · 2021-02-09 · Sale · Disposed 144 · Balance 1,821,483 F8: Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 10 · 2021-02-09 · Purchase · Acquired 175,733 · Balance 1,997,216 F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 275,789 |
Last balance in matching sequence
After 2021-02-09 transaction · row 16
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 11 · 2021-02-09 · Conversion · Acquired 150,802 · Balance 154,268 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 12 · 2021-02-09 · Conversion · Acquired 43,901 · Balance 198,169 F6: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 13 · 2021-02-09 · Conversion · Acquired 47,718 · Balance 245,887 F7: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 14 · 2021-02-09 · Other · Acquired 5,655 · Balance 251,542 F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 15 · 2021-02-09 · Sale · Disposed 20 · Balance 251,522 F10: Upon closing of the Issuer's IPO, Vivo Capital Surplus Fund VIII, L.P. exercised a warrant to purchase 5,655 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Surplus Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 20 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Surplus Fund VIII, L.P. the remaining 5,635 shares of Common Stock. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Row 16 · 2021-02-09 · Purchase · Acquired 24,267 · Balance 275,789 F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Opportunity Fund, L.P. | 150,000 |
Reported balance
After 2021-02-09 transaction · row 17
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 17 · 2021-02-09 · Purchase · Acquired 150,000 · Balance 150,000 F11: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF and has four managing members. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo PANDA Fund, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2021-02-09 · Conversion · Disposed 944,056 · Balance 0 F1: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo PANDA Fund, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2021-02-09 · Conversion · Disposed 472,296 · Balance 0 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.07 · Expires 2028-07-26 | IndirectBy Vivo PANDA Fund, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2021-02-09 · Other · Disposed 17,711 · Balance 0 F12: The shares subject to this warrant were fully vested prior to exercise. F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2021-02-09 · Conversion · Disposed 1,092,080 · Balance 0 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2021-02-09 · Conversion · Disposed 317,922 · Balance 0 F6: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2021-02-09 · Conversion · Disposed 345,568 · Balance 0 F7: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.07 · Expires 2028-07-26 | IndirectBy Vivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2021-02-09 · Other · Disposed 40,953 · Balance 0 F12: The shares subject to this warrant were fully vested prior to exercise. F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2021-02-09 · Conversion · Disposed 150,802 · Balance 0 F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Series C-1 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 26
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 26 · 2021-02-09 · Conversion · Disposed 43,901 · Balance 0 F6: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Series C-2 Preferred StockSEC Table II · derivative / convertible security | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 27
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 27 · 2021-02-09 · Conversion · Disposed 47,718 · Balance 0 F7: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.07 · Expires 2028-07-26 | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 28
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 28 · 2021-02-09 · Other · Disposed 5,655 · Balance 0 F12: The shares subject to this warrant were fully vested prior to exercise. F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.
F2: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC.
F3: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
F4: Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock.
F5: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC.
F6: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
F7: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
F8: Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock.
F9: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC.
F10: Upon closing of the Issuer's IPO, Vivo Capital Surplus Fund VIII, L.P. exercised a warrant to purchase 5,655 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Surplus Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 20 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Surplus Fund VIII, L.P. the remaining 5,635 shares of Common Stock.
F11: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF and has four managing members.
F12: The shares subject to this warrant were fully vested prior to exercise.
Crinetics Pharmaceuticals, Inc.
Report date March 09, 2020 · Filed March 11, 2020
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,722,045 |
Reported balance
After 2020-03-09 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-03-09 · Sale · Disposed 347 · Balance 2,722,045 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 375,880 |
Reported balance
After 2020-03-09 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-03-09 · Sale · Disposed 48 · Balance 375,880 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 168,165 |
Reported balance
After 2020-03-09 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-03-09 · Sale · Disposed 133 · Balance 168,165 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF").
F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF").
F3: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF").
F4: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
F5: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4.
Kadmon Holdings, Inc.
Report date January 07, 2019 · Filed January 08, 2019
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Fund VIII, L.P. | 3,195,151 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,195,151 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | 441,212 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 441,212 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Opportunity Fund, L.P. | 8,970,242 |
Reported balance
Holding disclosure · report date 2019-01-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 8,970,242 F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28 | IndirectBy Vivo Capital Fund VIII, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2019-01-07 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28 | IndirectBy Vivo Capital Surplus Fund VIII, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2019-01-07 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise.
Sierra Oncology, Inc.
Report date January 31, 2022 · Filed January 31, 2022
Jointly reported with Vivo Opportunity, LLC, Vivo Capital IX, LLC, Vivo Capital Fund IX, L.P., VIVO VENTURES VII, LLC, Vivo Ventures Fund VII, L.P., Vivo Ventures VII Affiliates Fund, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Vivo Opportunity Fund, L.P. | 2,735,853 |
Reported balance
After 2022-01-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-01-31 · Purchase · Acquired 800,000 · Balance 2,735,853 F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. | 161,712 |
Reported balance
Holding disclosure · report date 2022-01-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 161,712 |
| Common StockSEC Table I · non-derivative | IndirectBy: Vivo Capital Fund IX, L.P. | 431,947 |
Reported balance
Holding disclosure · report date 2022-01-31 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 431,947 |
Filing footnotes · ownership attribution and instrument terms
F1: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Terns Pharmaceuticals, Inc.
Report date February 09, 2021 · Filed February 09, 2021
Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Fund VIII, L.P., Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectVivo Capital Fund VIII, L.P. | 2,036,557 |
Last balance in matching sequence
After 2021-02-09 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-02-09 · Conversion · Acquired 1,933,185 · Balance 1,933,185 F1: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2021-02-09 · Purchase · Acquired 103,372 · Balance 2,036,557 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectVivo Capital Surplus Fund VIII, L.P. | 281,223 |
Last balance in matching sequence
After 2021-02-09 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2021-02-09 · Conversion · Acquired 266,948 · Balance 266,948 F1: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2021-02-09 · Purchase · Acquired 14,275 · Balance 281,223 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectVivo Opportunity Fund, L.P. | 357,353 |
Reported balance
After 2021-02-09 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2021-02-09 · Purchase · Acquired 357,353 · Balance 357,353 F4: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-02-09 · Conversion · Disposed 713,203 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-02-09 · Conversion · Disposed 98,484 · Balance 0 F1: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-02-09 · Conversion · Disposed 364,138 · Balance 0 F3: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectVivo Capital Surplus Fund VIII, L.P. | 0 |
Reported balance
After 2021-02-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-02-09 · Conversion · Disposed 50,282 · Balance 0 F3: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
F4: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
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 |
|---|---|---|---|---|---|---|
| January 31, 2022 Filed Jan 31, 2022 21:30 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | PurchaseCommon Stock | 800,000 | $27.00 | $21,600,000.00 |
DisclosureSEC source: 0001213900-22-004647 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 2,735,853 F1 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherSeries B Warrant (Right to Purchase ) · Derivative | 324,740 | $13.20 Strike: $13.20 | $4,286,568.00 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 6 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 107,164 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherSeries B Warrant (Right to Purchase ) · Derivative | 1,455,384 | $13.20 Strike: $13.20 | $19,211,068.80 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 5 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 480,277 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherSeries B Warrant (Right to Purchase ) · Derivative | 75,749 | $13.20 Strike: $13.20 | $999,886.80 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · derivative · entry 4 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 24,996 shares Expires not disclosed F1 · derivative.exercise_price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F2 · derivative.expiration_date: The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022. F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherCommon Stock | 107,164 | $13.20 | $1,414,564.80 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 3 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Capital Fund IX, L.P. Disclosed balance after: 431,947 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F5 · ownership.nature: Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherCommon Stock | 480,277 | $13.20 | $6,339,656.40 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 2 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Opportunity Fund, L.P. Disclosed balance after: 1,935,853 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 20:12 UTC | Sierra Oncology, Inc. SRRA · Entity 125698 | OtherCommon Stock | 24,996 | $13.20 | $329,947.20 |
DisclosureSEC source: 0001213900-22-004318 · ownership.xml · nonDerivative · entry 1 Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner VIVO VENTURES VII, LLC · CIK 0001565020 · 10% owner Vivo Ventures Fund VII, L.P. · CIK 0001509160 · 10% owner Vivo Ventures VII Affiliates Fund, L.P. · CIK 0001538309 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Disclosed balance after: 161,712 F1 · shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F1 · price: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock. F3 · ownership.nature: Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherWarrant (Right to Buy) · Derivative | 5,655 | $0.00 Strike: $0.07 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 28 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,655 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-2 Preferred Stock · Derivative | 47,718 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 27 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 47,718 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 C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F7 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F7 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-1 Preferred Stock · Derivative | 43,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 26 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 43,901 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F6 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F6 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries B Preferred Stock · Derivative | 150,802 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 25 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 150,802 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherWarrant (Right to Buy) · Derivative | 40,953 | $0.00 Strike: $0.07 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 24 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 40,953 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-2 Preferred Stock · Derivative | 345,568 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 23 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 345,568 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 C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F7 · derivative.exercise_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F7 · derivative.expiration_date: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries C-1 Preferred Stock · Derivative | 317,922 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 22 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 317,922 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F6 · derivative.exercise_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F6 · derivative.expiration_date: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries B Preferred Stock · Derivative | 1,092,080 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 21 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,092,080 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherWarrant (Right to Buy) · Derivative | 17,711 | $0.00 Strike: $0.07 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 20 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 17,711 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries B Preferred Stock · Derivative | 472,296 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 19 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 472,296 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F3 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionSeries A-1 Preferred Stock · Derivative | 944,056 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 18 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 944,056 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 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F1 · derivative.exercise_date: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F1 · derivative.expiration_date: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | PurchaseCommon Stock | 150,000 | $20.00 | $3,000,000.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 17 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 150,000 F11 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF and has four managing members. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | PurchaseCommon Stock | 24,267 | $20.00 | $485,340.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 16 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 275,789 F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 20 | $20.00 | $400.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 15 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 251,522 F10 · kind: Upon closing of the Issuer's IPO, Vivo Capital Surplus Fund VIII, L.P. exercised a warrant to purchase 5,655 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Surplus Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 20 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Surplus Fund VIII, L.P. the remaining 5,635 shares of Common Stock. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherCommon Stock | 5,655 | $0.07 | $395.85 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 14 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 251,542 F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 47,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 13 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 245,887 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 43,901 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 12 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 198,169 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 150,802 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 11 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 154,268 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F9 · ownership.nature: The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | PurchaseCommon Stock | 175,733 | $20.00 | $3,514,660.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 10 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,997,216 F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 144 | $20.00 | $2,880.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,483 F8 · kind: Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherCommon Stock | 40,953 | $0.07 | $2,866.71 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,627 F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 345,568 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,780,674 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · price: The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 317,922 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,435,106 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 1,092,080 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,117,184 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F5 · ownership.nature: The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | SaleCommon Stock | 62 | $20.00 | $1,240.00 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,286 F4 · kind: Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | OtherCommon Stock | 17,711 | $0.07 | $1,239.77 |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,348 F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 472,296 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,430,637 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:37 UTC | Bolt Biotherapeutics, Inc. BOLT · Entity 8082 | ConversionCommon Stock | 944,056 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 958,341 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date. F2 · ownership.nature: The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionSeries C Preferred Stock · Derivative | 50,282 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 50,282 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionSeries C Preferred Stock · Derivative | 364,138 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 364,138 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionSeries B Preferred Stock · Derivative | 98,484 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 216,666 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionSeries B Preferred Stock · Derivative | 713,203 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,569,047 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 357,353 | $17.00 | $6,075,001.00 |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Opportunity Fund, L.P. Disclosed balance after: 357,353 F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 14,275 | $17.00 | $242,675.00 |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 281,223 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | PurchaseCommon Stock | 103,372 | $17.00 | $1,757,324.00 |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,036,557 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionCommon Stock | 266,948 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 266,948 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 09, 2021 Filed Feb 9, 2021 20:08 UTC | Terns Pharmaceuticals, Inc. TERN · Entity 49595 | ConversionCommon Stock | 1,933,185 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,933,185 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:25 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionSeries C Convertible Preferred Stock · Derivative | 3,158,851 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019915 · doc4.xml · derivative · entry 4 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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 · 3,158,851 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:25 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 185,526 | $19.00 | $3,524,994.00 |
DisclosureSEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 3 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 185,526 F4 · ownership.nature: The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:25 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | ConversionCommon Stock | 3,245,048 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 2 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 4,034,522 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. F2 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document |
| July 21, 2020 Filed Jul 22, 2020 00:25 UTC | ALX ONCOLOGY HOLDINGS INC ALXO · Entity 6040 | PurchaseCommon Stock | 789,474 | $19.00 | $15,000,006.00 |
DisclosureSEC source: 0000899243-20-019915 · doc4.xml · nonDerivative · entry 1 Vivo Capital IX, LLC · CIK 0001750698 · 10% owner Vivo Capital Fund IX, L.P. · CIK 0001750117 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 789,474 F1 · ownership.nature: The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 21:12 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 133 | $19.50 | $2,593.50 |
DisclosureSEC source: 0001213900-20-006030 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 168,165 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F3 · ownership.nature: These securities are held of record by Vivo Opportunity Fund, L.P. ("VOF"). F5 · ownership.nature: Vivo Opportunity, LLC is the general partner of VOF. The voting members of Vivo Opportunity, LLC are Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 21:12 UTC | Crinetics Pharmaceuticals, Inc. CRNX · Entity 3579 | SaleCommon Stock | 48 | $19.50 | $936.00 |
DisclosureSEC source: 0001213900-20-006030 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 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: 375,880 F6 · price: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.3 to $19.7, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2 · ownership.nature: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F4 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes. 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.