person · Reporting owner

BLAIR JAMES C

Disclosed activity across 9 companies

Tapewire entity: 138386
SEC CIK: 0001024000

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Adynxx, Inc.ADYX · Entity 155807	10% owner	May 03, 2019	May 13, 2019
Bionano Genomics, Inc.BNGO · Entity 7831	10% owner	August 23, 2018	August 27, 2018
Clovis Oncology, Inc.CLVS · Entity 122635	Director	June 10, 2021	June 11, 2021
Vyome Holdings, IncOBLN · Entity 1824	10% owner	August 06, 2019	August 08, 2019
aTYR PHARMA INCLIFE · Entity 7233	Director	May 08, 2019	May 10, 2019

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.

Adynxx, Inc.

Report date May 03, 2019 · Filed May 13, 2019

Jointly reported with DP VIII Associates, L.P., TREU JESSE I, DOVEY BRIAN H, VITULLO NICOLE, Halak Brian K

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	22,527	Reported balance Holding disclosure · report date 2019-05-03 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 22,527 F1: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 5(b)(iv) of Form 3, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 5(b)(iv) of Form 3, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Bionano Genomics, Inc.

Report date August 23, 2018 · Filed August 27, 2018

Jointly reported with DP VIII Associates, L.P., DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Halak Brian K

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	6,891	Last balance in matching sequence After 2018-08-23 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2018-08-23 · Conversion · Acquired 4,386 · Balance 4,386 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Row 2 · 2018-08-23 · Conversion · Acquired 2,505 · Balance 6,891 F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series B Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-08-23 · Conversion · Disposed 50,532 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-08-23 · Conversion · Disposed 22,161 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series C Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-08-23 · Conversion · Disposed 40,268 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series D Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-08-23 · Conversion · Disposed 47,460 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Series D-1 Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2018-08-23 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-08-23 · Conversion · Disposed 27,328 · Balance 0 F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $4.59	Direct	0	Reported balance After 2018-08-23 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2018-08-23 · Conversion · Disposed Not disclosed · Balance 0 F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F3: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

Clovis Oncology, Inc.

Report date June 10, 2021 · Filed June 11, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.97 · Expires 2031-06-10	Direct	42,223	Reported balance After 2021-06-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2021-06-10 · Grant · Acquired 42,223 · Balance 42,223 F1: The options shall vest on the one-year anniversary of the date of grant.

Filing footnotes · ownership attribution and instrument terms

F1: The options shall vest on the one-year anniversary of the date of grant.

Vyome Holdings, Inc

Report date August 06, 2019 · Filed August 08, 2019

Jointly reported with DOMAIN PARTERS VII L P, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Halak Brian K

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	813,433	Reported balance After 2019-08-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-08-06 · Purchase · Acquired 250,000 · Balance 813,433 F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F2: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F4: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.40 · Expires 2024-08-06	Direct	187,500	Reported balance After 2019-08-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-08-06 · Purchase · Acquired 187,500 · Balance 187,500 F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F2: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019.

F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F4: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.

aTYR PHARMA INC

Report date May 08, 2019 · Filed May 10, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.58 · Expires 2029-05-08	Direct	20,000	Reported balance After 2019-05-08 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-05-08 · Grant · Acquired 20,000 · Balance 20,000 F1: The option vests in full on the earlier of the one-year anniversary of the date of grant or the Issuer's 2020 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Board of Directors.

Filing footnotes · ownership attribution and instrument terms

F1: The option vests in full on the earlier of the one-year anniversary of the date of grant or the Issuer's 2020 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Board of Directors.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

CoLucid Pharmaceuticals, Inc.

Report date September 09, 2016 · Filed September 13, 2016

Jointly reported with Domain Partners VI, L.P., DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE

Section 16 reporting ended · disclosed 2016-09-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2016-09-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-09-09 · Other · Disposed 1,943,109 · Balance 0 F1: Distribution of shares in kind by Domain Partners VI, L.P. to its partners. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the sole general partner of Domain Partners VI, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by Domain Partners VI, L.P., however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein, and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: Distribution of shares in kind by Domain Partners VI, L.P. to its partners.

F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the sole general partner of Domain Partners VI, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by Domain Partners VI, L.P., however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein, and/or that are not actually distributed to him or her.

Dicerna Pharmaceuticals Inc

Report date December 18, 2017 · Filed December 20, 2017

Jointly reported with DP VIII Associates, L.P., DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Halak Brian K

Section 16 reporting ended · disclosed 2017-12-20. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	25,730	Last balance in matching sequence After 2017-12-18 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-12-18 · Conversion · Acquired 12,444 · Balance 25,448 F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Row 2 · 2017-12-18 · Grant · Acquired 282 · Balance 25,730 F4: The Reporting Person received an additional 282 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Redeemable Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $3.19	Direct	0	Reported balance After 2017-12-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2017-12-18 · Conversion · Disposed 368 · Balance 0 F1: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F2: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date.

F2: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price.

F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F4: The Reporting Person received an additional 282 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018.

Ocera Therapeutics, Inc.

Report date December 11, 2017 · Filed December 13, 2017

Jointly reported with DOMAIN ASSOCIATES, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Halak Brian K, Kamdar Kim P.

Section 16 reporting ended · disclosed 2017-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-12-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-12-11 · Disposition to issuer · Disposed 47,963 · Balance 0 F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F3: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

Tobira Therapeutics, Inc.

Report date November 01, 2016 · Filed November 04, 2016

Jointly reported with DOMAIN ASSOCIATES, DOVEY BRIAN H, TREU JESSE I, VITULLO NICOLE, Halak Brian K, Kamdar Kim P.

Section 16 reporting ended · disclosed 2016-11-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2016-11-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-11-01 · Other · Disposed 38,094 · Balance 0 F1: Pursuant to the terms of a merger agreement, pursuant to which the Issuer was acquired by Allergan Holdco US, Inc., the shares were tendered for $28.35 per share in cash plus one non-transferable contingent value right per share, which represents the contractual right to receive one or more payments in cash of up to $49.84 per share in the aggregate, contingent upon the achievement of certain milestones. F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly benefically owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.00	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2016-11-01 · Disposition to issuer · Acquired 1,996 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.93	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-11-01 · Disposition to issuer · Acquired 1,071 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.19	IndirectHeld by Jesse I. Treu	Reported balance After 2016-11-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2016-11-01 · Disposition to issuer · Acquired 17,695 · Balance 0 F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger. F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of a merger agreement, pursuant to which the Issuer was acquired by Allergan Holdco US, Inc., the shares were tendered for $28.35 per share in cash plus one non-transferable contingent value right per share, which represents the contractual right to receive one or more payments in cash of up to $49.84 per share in the aggregate, contingent upon the achievement of certain milestones.

F2: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly benefically owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F3: Pursuant to the terms of the merger described above, each outstanding option to purchase Common Stock which had an exercise price less than $28.35 per share was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) $28.35 over (y) the exercise price per share, multiplied by (B) the total number of shares subject to such option immediately prior to the effective time of the merger and (ii) a contingent value right with respect to the total number of shares subject to such option immediately prior to the effective time of the merger.

F4: Each other outstanding option to purchase Common Stock was cancelled and converted into the right to receive a cash payment, if any, from Allergan Holdco US, Inc. with respect to each share subject to such option upon each date that a payment would be required to a holder of a contingent value right under the terms of the contingent value rights agreement that was entered into in connection with the merger agreement on or prior to the fifth anniversary of the effective time of the merger.

Transaction history

JSON API

Purchases/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 11, 2021 21:02 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	GrantStock Option (right to buy) · Derivative	42,223	$0.00 Strike: $5.97	$0.00	Disclosure SEC source: 0000899243-21-023422 · doc4.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,223 Underlying: Common Stock · 42,223 shares Expires 2031-06-10 F1 · derivative.exercise_date: The options shall vest on the one-year anniversary of the date of grant. Read SEC document
June 04, 2020 Filed Jun 5, 2020 16:50 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	GrantStock Option (right to buy) · Derivative	40,138	$0.00 Strike: $6.48	$0.00	Disclosure SEC source: 0000899243-20-015483 · doc4.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,138 Underlying: Common Stock · 40,138 shares Expires 2030-06-04 F1 · derivative.exercise_date: One-twelfth (1/12) of the shares subject to the option shall vest on each of the first twelve (12) monthly anniversaries of the date of grant. Read SEC document
August 20, 2019 Filed Aug 20, 2019 21:49 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	PurchaseCommon Stock	20,000	$5.97	$119,400.00	Disclosure SEC source: 0000899243-19-022160 · doc4.xml · nonDerivative · entry 2 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 20,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.88 to $6.09. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · ownership.nature: The Reporting Person disclaims beneficial ownership of such shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. Read SEC document
August 16, 2019 Filed Aug 20, 2019 21:49 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	PurchaseCommon Stock	20,000	$5.70	$114,000.00	Disclosure SEC source: 0000899243-19-022160 · doc4.xml · nonDerivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,439 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.65 to $5.73. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
August 06, 2019 Filed Aug 8, 2019 16:23 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseWarrants to Purchase Common Stock · Derivative	187,500	$4.00 Strike: $4.40	$750,000.00	Disclosure SEC source: 0000904454-19-000600 · edgar.xml · derivative · entry 2 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,500 Underlying: Common Stock · 187,500 shares Expires 2024-08-06 F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 06, 2019 Filed Aug 8, 2019 16:23 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseCommon Stock	250,000	$4.00	$1,000,000.00	Disclosure SEC source: 0000904454-19-000600 · edgar.xml · nonDerivative · entry 1 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 813,433 F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit. F2 · balance_after: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F4 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P. Read SEC document
June 06, 2019 Filed Jun 10, 2019 16:46 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	GrantStock Option (Right to buy) · Derivative	28,882	$0.00 Strike: $14.66	$0.00	Disclosure SEC source: 0000904454-19-000484 · edgar.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,882 Underlying: Common Stock · 28,882 shares Expires 2029-06-06 F1 · derivative.exercise_date: The option vests over 12 months in equal monthly installments on each monthly anniversary of the date of grant, beginning on 07/06/2019 and ending on 6/06/2020, subject to the Reporting Person's continued service to the Issuer through each such vesting date. Read SEC document
May 08, 2019 Filed May 10, 2019 19:40 UTC	aTYR PHARMA INC LIFE · Entity 7233	GrantStock Option (right to buy) · Derivative	20,000	$0.00 Strike: $0.58	$0.00	Disclosure SEC source: 0000904454-19-000386 · edgar.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-05-08 F1 · derivative.exercise_date: The option vests in full on the earlier of the one-year anniversary of the date of grant or the Issuer's 2020 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Board of Directors. Read SEC document
March 18, 2019 Filed Mar 18, 2019 16:53 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	522	$0.00	$0.00	Disclosure SEC source: 0000904454-19-000331 · edgar.xml · nonDerivative · entry 4 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,439 F3 · kind: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F3 · price: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. Read SEC document
March 18, 2019 Filed Mar 18, 2019 16:53 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	701	$0.00	$0.00	Disclosure SEC source: 0000904454-19-000331 · edgar.xml · nonDerivative · entry 3 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Susan W. and James C. Blair Family L.P. Disclosed balance after: 10,105 F3 · kind: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F3 · price: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F4 · ownership.nature: The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
March 18, 2019 Filed Mar 18, 2019 16:53 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0000904454-19-000331 · edgar.xml · nonDerivative · entry 2 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By One Palmer Square Associates VII, LLC Disclosed balance after: 0 F3 · kind: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F3 · price: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members. F2 · ownership.nature: The Reporting Person is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of DP VII Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
March 14, 2019 Filed Mar 18, 2019 16:53 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	SaleCommon Stock	17,056	$27.79	$473,986.24	Disclosure SEC source: 0000904454-19-000331 · edgar.xml · nonDerivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By DP VII Associates, L.P. Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.67 to $27.94. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F2 · ownership.nature: The Reporting Person is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of DP VII Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
February 01, 2019 Filed Feb 5, 2019 16:46 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0000904454-19-000158 · edgar.xml · nonDerivative · entry 2 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By One Palmer Square Associates VII, LLC Disclosed balance after: 10,000 F1 · kind: Distribution-in-kind of shares by Domain Partners VII, L.P. pro rata to its partners. F1 · price: Distribution-in-kind of shares by Domain Partners VII, L.P. pro rata to its partners. F2 · ownership.nature: The Reporting Person is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of Domain Partners VII, L.P. and DP VII Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
February 01, 2019 Filed Feb 5, 2019 16:46 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	1,000,000	$0.00	$0.00	Disclosure SEC source: 0000904454-19-000158 · edgar.xml · nonDerivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Partners VII, L.P. Disclosed balance after: 0 F1 · kind: Distribution-in-kind of shares by Domain Partners VII, L.P. pro rata to its partners. F1 · price: Distribution-in-kind of shares by Domain Partners VII, L.P. pro rata to its partners. F2 · ownership.nature: The Reporting Person is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of Domain Partners VII, L.P. and DP VII Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
October 11, 2018 Filed Oct 15, 2018 16:19 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	GrantStock Option (Right to buy) · Derivative	14,770	$0.00 Strike: $27.92	$0.00	Disclosure SEC source: 0000904454-18-000657 · edgar.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,770 Underlying: Common Stock · 14,770 shares Expires 2028-10-11 F1 · derivative.exercise_date: The option vests over 12 months in equal monthly installments on each monthly anniversary of the date of grant, beginning on 11/11/2018 and ending on 10/11/2019. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:32 UTC	Vyome Holdings, Inc OBLN · Entity 1824	PurchaseCommon Stock	1,648,359	$1.82	$3,000,013.38	Disclosure SEC source: 0000904454-18-000526 · edgar.xml · nonDerivative · entry 1 DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,634,329 F1 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. F2 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 49,908 shares of Common Stock held by DP VII Associates, L.P. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionConvertible Promissory Note · Derivative	Not disclosed	$0.00 Strike: $4.59	$11,048.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 8 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 2,505 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 principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D-1 Preferred Stock · Derivative	27,328	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 7 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 638 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D Preferred Stock · Derivative	47,460	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 6 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 1,109 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries C Preferred Stock · Derivative	40,268	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 5 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 941 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B-1 Preferred Stock · Derivative	22,161	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 4 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 518 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B Preferred Stock · Derivative	50,532	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 3 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 1,180 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	2,505	$4.59	$11,497.95	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 2 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,891 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:20 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	4,386	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 1 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,386 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	PurchaseWarrants to Purchase Common Stock · Derivative	15,000	Not disclosed Strike: $6.13	Not disclosed	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 10 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2023-09-20 F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F4 · derivative.exercise_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F4 · derivative.expiration_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionConvertible Promissory Note · Derivative	Not disclosed	$0.00 Strike: $4.59	$1,488,952.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 9 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 337,694 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 principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D-1 Preferred Stock · Derivative	3,682,919	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 8 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 86,050 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries D Preferred Stock · Derivative	6,396,105	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 7 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 149,441 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries C Preferred Stock · Derivative	5,426,808	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 6 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 126,794 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B-1 Preferred Stock · Derivative	2,986,762	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 5 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 69,784 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionSeries B Preferred Stock · Derivative	6,810,098	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 4 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 · 159,115 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	PurchaseCommon Stock	15,000	$6.13	$91,875.00	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 3 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 943,878 F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	337,694	$4.59	$1,550,015.46	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 2 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 929,878 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share. F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
August 23, 2018 Filed Aug 27, 2018 17:03 UTC	Bionano Genomics, Inc. BNGO · Entity 7831	ConversionCommon Stock	591,184	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 1 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591,184 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
May 21, 2018 Filed May 23, 2018 16:40 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	5,897	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000370 · edgar.xml · nonDerivative · entry 2 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,917 F1 · kind: Distribution of shares by Domain Associates, LLC to its members, a former member and an employee. F1 · price: Distribution of shares by Domain Associates, LLC to its members, a former member and an employee. Read SEC document
May 21, 2018 Filed May 23, 2018 16:40 UTC	Clovis Oncology, Inc. CLVS · Entity 122635	OtherCommon Stock	32,760	$0.00	$0.00	Disclosure SEC source: 0000904454-18-000370 · edgar.xml · nonDerivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Domain Associates, LLC Disclosed balance after: 0 F1 · kind: Distribution of shares by Domain Associates, LLC to its members, a former member and an employee. F1 · price: Distribution of shares by Domain Associates, LLC to its members, a former member and an employee. F2 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC, and of One Palmer Square Associates VII, LLC, the sole general partner of Domain Partners VII, L.P. and DP VII Associates, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him. Read SEC document
May 15, 2018 Filed May 17, 2018 17:15 UTC	aTYR PHARMA INC LIFE · Entity 7233	GrantStock Option (right to buy) · Derivative	20,000	$0.00 Strike: $1.35	$0.00	Disclosure SEC source: 0000904454-18-000360 · edgar.xml · derivative · entry 1 BLAIR JAMES C · CIK 0001024000 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-05-15 F1 · derivative.exercise_date: The option vests in full on the earlier of the one-year anniversary of the date of grant or the Issuer's 2019 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Board of Directors. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionRedeemable Convertible Preferred Stock · Derivative	368	$0.00 Strike: $3.19	$0.00	Disclosure SEC source: 0000904454-17-000741 · edgar.xml · derivative · entry 3 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 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 · 12,444 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_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F2 · derivative.underlying_shares: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantCommon Stock	282	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000741 · edgar.xml · nonDerivative · entry 2 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,730 F4 · price: The Reporting Person received an additional 282 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:51 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionCommon Stock	12,444	$3.19	$39,696.36	Disclosure SEC source: 0000904454-17-000741 · edgar.xml · nonDerivative · entry 1 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,448 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 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionRedeemable Convertible Preferred Stock · Derivative	49,632	$0.00 Strike: $3.19	$0.00	Disclosure SEC source: 0000904454-17-000739 · edgar.xml · derivative · entry 3 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 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 · 1,678,432 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_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F1 · derivative.expiration_date: The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date. F2 · derivative.underlying_shares: Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	GrantCommon Stock	37,890	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000739 · edgar.xml · nonDerivative · entry 2 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,469,029 F4 · price: The Reporting Person received an additional 37,890 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 18, 2017 Filed Dec 20, 2017 16:48 UTC	Dicerna Pharmaceuticals Inc DRNA · Entity 131951	ConversionCommon Stock	1,678,432	$3.19	$5,354,198.08	Disclosure SEC source: 0000904454-17-000739 · edgar.xml · nonDerivative · entry 1 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,431,139 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 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:58 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	47,963	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000727 · edgar.xml · nonDerivative · entry 1 DOMAIN ASSOCIATES · CIK 0001020733 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 10% owner Kamdar Kim P. · CIK 0001535065 · 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 F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:52 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	15,731	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000725 · edgar.xml · nonDerivative · entry 1 DP VI Associates, L.P. · CIK 0001298034 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 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 F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VI, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:42 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerWarrant to Purchase Common Stock · Derivative	20,150	$0.00 Strike: $0.67	$0.00	Disclosure SEC source: 0000904454-17-000722 · edgar.xml · derivative · entry 3 Domain Partners VI, L.P. · CIK 0001298033 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 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 · 20,150 shares Expires 2019-10-01 F4 · kind: At the effective time of the Merger, each warrant that was outstanding and unexercised immediately prior to the effective time of the Merger, with an exercise price less than $1.52, was cancelled and converted into the right of the holder of such warrant to receive, for each share of Common Stock underlying such warrant, (i) an amount in cash equal to the excess, if any, of $1.52 over the applicable exercise price for such share, and (ii) one CVR. F4 · derivative.expiration_date: At the effective time of the Merger, each warrant that was outstanding and unexercised immediately prior to the effective time of the Merger, with an exercise price less than $1.52, was cancelled and converted into the right of the holder of such warrant to receive, for each share of Common Stock underlying such warrant, (i) an amount in cash equal to the excess, if any, of $1.52 over the applicable exercise price for such share, and (ii) one CVR. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VI, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:42 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerWarrant to Purchase Common Stock · Derivative	20,150	$0.00 Strike: $0.67	$0.00	Disclosure SEC source: 0000904454-17-000722 · edgar.xml · derivative · entry 2 Domain Partners VI, L.P. · CIK 0001298033 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 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 · 20,150 shares Expires 2019-03-30 F4 · kind: At the effective time of the Merger, each warrant that was outstanding and unexercised immediately prior to the effective time of the Merger, with an exercise price less than $1.52, was cancelled and converted into the right of the holder of such warrant to receive, for each share of Common Stock underlying such warrant, (i) an amount in cash equal to the excess, if any, of $1.52 over the applicable exercise price for such share, and (ii) one CVR. F4 · derivative.expiration_date: At the effective time of the Merger, each warrant that was outstanding and unexercised immediately prior to the effective time of the Merger, with an exercise price less than $1.52, was cancelled and converted into the right of the holder of such warrant to receive, for each share of Common Stock underlying such warrant, (i) an amount in cash equal to the excess, if any, of $1.52 over the applicable exercise price for such share, and (ii) one CVR. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VI, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:42 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	1,857,036	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000722 · edgar.xml · nonDerivative · entry 1 Domain Partners VI, L.P. · CIK 0001298033 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 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 F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VI, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:38 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	7,333	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000720 · edgar.xml · nonDerivative · entry 1 DP VIII Associates, L.P. · CIK 0001465143 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. Read SEC document
December 11, 2017 Filed Dec 13, 2017 16:32 UTC	Ocera Therapeutics, Inc. OCRX · Entity 171193	Disposition to issuerCommon Stock	988,285	Not disclosed	Not disclosed	Disclosure SEC source: 0000904454-17-000718 · edgar.xml · nonDerivative · entry 1 Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner BLAIR JAMES C · CIK 0001024000 · 10% owner DOVEY BRIAN H · CIK 0001207786 · 10% owner TREU JESSE I · CIK 0001013425 · 10% owner VITULLO NICOLE · CIK 0001196863 · 10% owner Halak Brian K · CIK 0001354718 · 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 F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes. F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her. 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.