Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Entasis Therapeutics Holdings Inc.ETTX · Entity 16036 | 10% owner | September 28, 2018 | October 02, 2018 |
| Forty Seven, Inc.FTSV · Entity 16035 | 10% owner | July 02, 2018 | July 02, 2018 |
| Gritstone bio, Inc.GRTS · Entity 80946 | Director · 10% owner | June 18, 2020 | June 22, 2020 |
| Sientra, Inc.SIEN · Entity 108294 | Director | June 10, 2021 | June 15, 2021 |
| Venus Concept Inc.HAIR · Entity 55304 | 10% owner | October 16, 2017 | October 17, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Entasis Therapeutics Holdings Inc.
Report date September 28, 2018 · Filed October 02, 2018
Jointly reported with Clarus Lifesciences III, L.P., Clarus Ventures III GP, L.P., Clarus Ventures III, LLC, LIPTAK ROBERT, HENNER DENNIS, Requadt Scott, WHEELER KURT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 361,829 |
Reported balance
After 2018-09-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-09-28 · Conversion · Acquired 361,829 · Balance 361,829 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 685,170 |
Reported balance
After 2018-09-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-09-28 · Conversion · Acquired 323,341 · Balance 685,170 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,170,010 |
Reported balance
After 2018-09-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-09-28 · Conversion · Acquired 412,583 · Balance 1,170,010 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: This number includes an aggregate of 72,257 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,623,405 |
Reported balance
After 2018-09-28 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-09-28 · Purchase · Acquired 453,395 · Balance 1,623,405 F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-09-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-09-28 · Conversion · Disposed 7,500,000 · Balance 0 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B-1 Tranche A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-09-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-09-28 · Conversion · Disposed 6,702,213 · Balance 0 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
| Series B-1 Tranche B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-09-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-09-28 · Conversion · Disposed 8,552,024 · Balance 0 F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
F2: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.
F3: This number includes an aggregate of 72,257 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018.
Forty Seven, Inc.
Report date July 02, 2018 · Filed July 02, 2018
Jointly reported with Clarus Lifesciences III, L.P., Clarus Ventures III GP, L.P., Clarus Ventures III, LLC, HENNER DENNIS, GALAKATOS NICHOLAS, LIPTAK ROBERT, Requadt Scott, WHEELER KURT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee foonote | 938,489 |
Reported balance
After 2018-07-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-07-02 · Conversion · Acquired 938,489 · Balance 938,489 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,816,951 |
Last balance in matching sequence
After 2018-07-02 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2018-07-02 · Conversion · Acquired 755,780 · Balance 1,694,269 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Row 3 · 2018-07-02 · Conversion · Acquired 1,922,682 · Balance 3,616,951 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Row 4 · 2018-07-02 · Purchase · Acquired 200,000 · Balance 3,816,951 F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2018-07-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-07-02 · Conversion · Disposed 938,489 · Balance 0 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. |
| Series A-2 Preferred StockSEC Table II · derivative / convertible security | IndirectSee foonote | 0 |
Reported balance
After 2018-07-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-07-02 · Conversion · Disposed 755,780 · Balance 0 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2018-07-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-07-02 · Conversion · Disposed 1,922,682 · Balance 0 F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date.
F2: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest.
Gritstone bio, Inc.
Report date June 18, 2020 · Filed June 22, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.66 · Expires 2030-06-18 | Direct | 12,500 |
Reported balance
After 2020-06-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-06-18 · Grant · Acquired 12,500 · Balance 12,500 F1: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.
Sientra, Inc.
Report date June 10, 2021 · Filed June 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,569 |
Reported balance
After 2021-06-10 transaction · row 1
1 source rowRow 1 · 2021-06-10 · Grant · Acquired 16,870 · Balance 101,569 F1: The Restricted Stock Units shall vest on the earlier to occur of: (i) the day prior to the 2022 Annual Shareholders Meeting or (ii) on the one (1) year anniversary of the Annual Shareholders Meeting on which the Restricted Stock Award was granted, subject to continued service. F2: Each restricted stock unit represents a contingent right to receive one share of Sientra, Inc. Class A Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The Restricted Stock Units shall vest on the earlier to occur of: (i) the day prior to the 2022 Annual Shareholders Meeting or (ii) on the one (1) year anniversary of the Annual Shareholders Meeting on which the Restricted Stock Award was granted, subject to continued service.
F2: Each restricted stock unit represents a contingent right to receive one share of Sientra, Inc. Class A Common Stock.
Venus Concept Inc.
Report date October 16, 2017 · Filed October 17, 2017
Jointly reported with Clarus Lifesciences II, L.P., Clarus Ventures II GP, L.P., Clarus Ventures II, LLC, GALAKATOS NICHOLAS, WHEELER KURT, HENNER DENNIS, LIPTAK ROBERT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,569,986 |
Last balance in matching sequence
After 2017-10-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-10-16 · Conversion · Acquired 3,389,105 · Balance 3,389,105 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Row 2 · 2017-10-16 · Conversion · Acquired 180,881 · Balance 3,569,986 F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-10-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-10-16 · Conversion · Disposed 3,389,105 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3: The expiration date is not relevant to the conversion of these securities. F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 | Direct | 0 |
Reported balance
After 2017-10-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-16 · Conversion · Disposed Not disclosed · Balance 0 F4: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").
F2: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest.
F3: The expiration date is not relevant to the conversion of these securities.
F4: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 10, 2021 Filed Jun 15, 2021 20:14 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock | 16,870 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040772 · doc4.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,569 F1 · shares: The Restricted Stock Units shall vest on the earlier to occur of: (i) the day prior to the 2022 Annual Shareholders Meeting or (ii) on the one (1) year anniversary of the Annual Shareholders Meeting on which the Restricted Stock Award was granted, subject to continued service. F2 · price: Each restricted stock unit represents a contingent right to receive one share of Sientra, Inc. Class A Common Stock. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 17:39 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | GrantStock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $6.66 | $0.00 |
DisclosureSEC source: 0001567619-20-012489 · doc1.xml · derivative · entry 1 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2030-06-18 F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 18:35 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSUs) | 27,717 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035384 · doc4.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,699 F1 · shares: The Restricted Stock Units (RSUs) will vest on the earlier to occur of: (i) the day prior to the Annual Meeting for the fiscal year following the date of grant or (ii) the one (1) year anniversary of the Annual Meeting on which the Annual Grant was granted, subject to continued service as a director of the Issuer. Read SEC document |
| June 19, 2019 Filed Jun 20, 2019 16:14 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | GrantStock Option (Right to Buy) · Derivative | 8,570 | $0.00 Strike: $10.86 | $0.00 |
DisclosureSEC source: 0001567619-19-013760 · doc1.xml · derivative · entry 1 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,570 Underlying: Common Stock · 8,570 shares Expires 2029-06-19 F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date. Read SEC document |
| June 14, 2019 Filed Jun 18, 2019 19:50 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSUs) | 19,320 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-037846 · doc4.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,982 F1 · shares: The Restricted Stock Units (RSUs) will vest on the earlier to occur of: (i) the day prior to the Annual Meeting for the fiscal year following the date of grant or (ii) the one (1) year anniversary of the Annual Meeting on which the Annual Grant was granted, subject to continued service as a director of the Issuer. Read SEC document |
| October 02, 2018 Filed Oct 2, 2018 17:23 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | ConversionSeries B Convertible Preferred Stock · Derivative | 668,896 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-18-003534 · doc1.xml · derivative · entry 4 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 668,896 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 Convertible Preferred Stock automatically converted into shares of 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 · derivative.exercise_date: The Series B Convertible Preferred Stock automatically converted into shares of 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 · derivative.expiration_date: The Series B Convertible Preferred Stock automatically converted into shares of 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: Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document |
| October 02, 2018 Filed Oct 2, 2018 17:23 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | ConversionSeries A Convertible Preferred Stock · Derivative | 1,565,216 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-18-003534 · doc1.xml · derivative · entry 3 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote 1 Disclosed balance after: 0 Underlying: Common Stock · 1,565,216 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: The Series A Convertible Preferred Stock automatically converted into shares of 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: The Series A Convertible Preferred Stock automatically converted into shares of 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: The Series A Convertible Preferred Stock automatically converted into shares of 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. Read SEC document |
| October 02, 2018 Filed Oct 2, 2018 17:23 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | ConversionCommon Stock | 2,234,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-18-003534 · doc1.xml · nonDerivative · entry 2 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,567,445 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The Series A Convertible Preferred Stock automatically converted into shares of 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 · price: The Series B Convertible Preferred Stock automatically converted into shares of 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: Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche B Convertible Preferred Stock · Derivative | 8,552,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · derivative · entry 7 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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 · 412,583 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B-1 Tranche A Convertible Preferred Stock · Derivative | 6,702,213 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · derivative · entry 6 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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 · 323,341 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionSeries B Convertible Preferred Stock · Derivative | 7,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · derivative · entry 5 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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 · 361,829 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.exercise_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F1 · derivative.underlying_shares: Each share of Series B Preferred Stock, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | PurchaseCommon Stock | 453,395 | $15.00 | $6,800,925.00 |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · nonDerivative · entry 4 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 1,623,405 F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 412,583 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · nonDerivative · entry 3 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 1,170,010 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · balance_after: This number includes an aggregate of 72,257 shares of Common Stock received upon the conversion of the Issuer's Preferred Stock as payment of the accrued dividends through September 27, 2018. No dividends will accrue after September 27, 2018. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 323,341 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · nonDerivative · entry 2 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 685,170 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:36 UTC | Entasis Therapeutics Holdings Inc. ETTX · Entity 16036 | ConversionCommon Stock | 361,829 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053534 · doc4.xml · nonDerivative · entry 1 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 361,829 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, Series B-1 Tranche A Convertible Preferred Stock and Series B-1 Tranche B Convertible Preferred Stock (collectively, the "Preferred Stock") automatically converted into Common Stock on a 20.728-for-one basis upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · ownership.nature: The reportable securities are held directly by Clarus Lifesciences III, L.P. ("Clarus III"). Clarus Ventures III GP, L.P. ("Clarus III GP") is the sole general partner of Clarus III. Clarus Ventures III, LLC ("Clarus III GP LLC") is the sole general partner of Clarus III GP. Nicholas Galakatos, Dennis Henner, Robert Liptak, Scott Requadt, Nicholas Simon, and Kurt Wheeler are the managing directors of Clarus III GP LLC (the "Managing Members"). Each of Clarus III GP, Clarus III GP LLC and the Managing Members may be deemed to beneficially own the securities held by Clarus III. Each of Clarus III GP, Clarus III GP LLC and the Managing Members disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 17:23 UTC | Gritstone bio, Inc. GRTS · Entity 80946 | PurchaseCommon Stock | 333,333 | $15.00 | $4,999,995.00 |
DisclosureSEC source: 0001567619-18-003534 · doc1.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 333,333 F1 · ownership.nature: Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionSeries B Preferred Stock · Derivative | 1,922,682 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · derivative · entry 7 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,922,682 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · price: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionSeries A-2 Preferred Stock · Derivative | 755,780 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · derivative · entry 6 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonote Disclosed balance after: 0 Underlying: Common Stock · 755,780 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · price: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionSeries A-1 Preferred Stock · Derivative | 938,489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · derivative · entry 5 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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 · 938,489 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · price: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | PurchaseCommon Stock | 200,000 | $16.00 | $3,200,000.00 |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · nonDerivative · entry 4 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 3,816,951 F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionCommon Stock | 1,922,682 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · nonDerivative · entry 3 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 3,616,951 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionCommon Stock | 755,780 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · nonDerivative · entry 2 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 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: 1,694,269 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 17:14 UTC | Forty Seven, Inc. FTSV · Entity 16035 | ConversionCommon Stock | 938,489 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-040426 · doc4.xml · nonDerivative · entry 1 Clarus Lifesciences III, L.P. · CIK 0001597143 · 10% owner Clarus Ventures III GP, L.P. · CIK 0001620148 · 10% owner Clarus Ventures III, LLC · CIK 0001664942 · 10% owner HENNER DENNIS · CIK 0001249153 · Director · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner Requadt Scott · CIK 0001664852 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See foonote Disclosed balance after: 938,489 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 Issuer's preferred stock automatically converted into an equal number of shares of Issuer's common stock immediately upon the closing of the Issuer's initial public offering and has no expiration date. F2 · ownership.nature: Clarus Ventures III GP, LP, or GPLP, as the sole general partner of Clarus Lifesciences III, LP, or Clarus, may be deemed to beneficially own certain of the shares held by Clarus. GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have a pecuniary interest. Clarus Ventures III, LLC, or GPLLC, as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Each of Dennis Henner, Nicholas Galakatos, Robert Liptak, Nicholas Simon, Scott Requadt and Kurt Wheeler, as individual managing directors of GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Dr. Henner and Messrs. Galakatos, Liptak, Simon, Requadt and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which they do not have an actual pecuniary interest. Read SEC document |
| June 05, 2018 Filed Jun 7, 2018 20:35 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSUs) | 6,116 | $20.44 | $125,011.04 |
DisclosureSEC source: 0001209191-18-036541 · doc4.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,662 F1 · shares: The Common Stock underlying this grant of restricted stock will vest on the earlier to occur of: (i) the day prior to the annual meeting of stockholders for the year following the date of grant or (ii) the one (1) year anniversary of the annual meeting of stockholders of the year of grant, subject to continued service as a director of the Issuer. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:43 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $7.00 | $1,259,269.79 |
DisclosureSEC source: 0001140361-17-038920 · doc1.xml · derivative · entry 4 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 180,881 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:43 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 3,389,105 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038920 · doc1.xml · derivative · entry 3 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,389,105 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 shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:43 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 180,881 | $7.00 | $1,266,167.00 |
DisclosureSEC source: 0001140361-17-038920 · doc1.xml · nonDerivative · entry 2 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,569,986 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 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:43 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 3,389,105 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038920 · doc1.xml · nonDerivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,389,105 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 shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2 · ownership.direct: The shares are directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 19:04 UTC | Venus Concept Inc. HAIR · Entity 55304 | OtherConvertible Promissory Note · Derivative | Not disclosed | $1,259,269.79 Strike: $7.00 | $1,259,269.79 |
DisclosureSEC source: 0001140361-17-038670 · doc1.xml · derivative · entry 1 Clarus Lifesciences II, L.P. · CIK 0001431443 · 10% owner Clarus Ventures II GP, L.P. · CIK 0001431439 · 10% owner Clarus Ventures II, LLC · CIK 0001431437 · 10% owner Simon Nicholas · CIK 0001431403 · 10% owner LIPTAK ROBERT · CIK 0001252523 · 10% owner GALAKATOS NICHOLAS · CIK 0001252522 · 10% owner HENNER DENNIS · CIK 0001249153 · 10% owner WHEELER KURT · CIK 0001252525 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · kind: The securities were originally acquired from the Issuer on September 6, 2017; however, the conversion price was set upon the pricing of the Issuer's Initial Public Offering (the "IPO"). F2 · reported_value: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F2 · price: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F3 · derivative.exercise_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F3 · derivative.expiration_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F3 · derivative.underlying_shares: The outstanding principal and accrued interest of the Note automatically converts into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the Issuer's capital stock. F2 · valueOwnedAfter: The amount reported represents the principal amount of the Reporting Person's Convertible Promissory Note (the "Note") only. Accrued interest of 5% per year based on the actual number of days outstanding through the conversion date will also convert. F4 · ownership.direct: The convertible promissory note is directly held by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held by Clarus. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. Each of he GPLP and the GPLLC disclaim beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 19:31 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock | 12,861 | $9.72 | $125,008.92 |
DisclosureSEC source: 0000899243-17-017257 · doc4.xml · nonDerivative · entry 1 Simon Nicholas · CIK 0001431403 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,546 F1 · shares: The common stock underlying this grant of restricted stock will vest on the earlier to occur of: (i) day prior to the annual meeting of stockholders for the year following the date of grant, or (ii) the one-year anniversary of the annual meeting of stockholders of the year of grant, subject to continued service as a director. 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.