Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PACIFIC BIOSCIENCES OF CALIFORNIA, INC.PACB · Entity 5650 | Director | February 26, 2021 | March 03, 2021 |
| Venus Concept Inc.HAIR · Entity 55304 | 10% owner | October 16, 2017 | October 17, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PACIFIC BIOSCIENCES OF CALIFORNIA, INC.
Report date February 26, 2021 · Filed March 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 848,405 |
Ending reported balance
After 2021-02-26 transaction · row 7
7 source rows · reconciled sequenceRow 1 · 2021-02-26 · Exercise / conversion · Acquired 109,749 · Balance 958,154 Row 2 · 2021-02-26 · Exercise / conversion · Acquired 79,363 · Balance 1,037,517 Row 3 · 2021-02-26 · Exercise / conversion · Acquired 45,134 · Balance 1,082,651 Row 4 · 2021-02-26 · Sale · Disposed 170,824 · Balance 911,827 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F2: This sale price represents the weighted average sale price of the shares sold ranging from $30.20 to $31.19 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Row 5 · 2021-02-26 · Sale · Disposed 43,946 · Balance 867,881 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F3: This sale price represents the weighted average sale price of the shares sold ranging from $31.20 to $32.18 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Row 6 · 2021-02-26 · Sale · Disposed 15,771 · Balance 852,110 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F4: This sale price represents the weighted average sale price of the shares sold ranging from $32.23 to $33.20 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Row 7 · 2021-02-26 · Sale · Disposed 3,705 · Balance 848,405 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F5: This sale price represents the weighted average sale price of the shares sold ranging from $33.23 to $33.43 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.72 · Expires 2025-03-16 | Direct | 0 |
Reported balance
After 2021-02-26 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-02-26 · Exercise / conversion · Disposed 109,749 · Balance 0 F6: The shares subject to the option are fully vested and exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2026-03-15 | Direct | 0 |
Reported balance
After 2021-02-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-02-26 · Exercise / conversion · Disposed 79,363 · Balance 0 F6: The shares subject to the option are fully vested and exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.27 · Expires 2027-02-15 | Direct | 0 |
Reported balance
After 2021-02-26 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-02-26 · Exercise / conversion · Disposed 45,134 · Balance 0 F6: The shares subject to the option are fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020.
F2: This sale price represents the weighted average sale price of the shares sold ranging from $30.20 to $31.19 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F3: This sale price represents the weighted average sale price of the shares sold ranging from $31.20 to $32.18 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F4: This sale price represents the weighted average sale price of the shares sold ranging from $32.23 to $33.20 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F5: This sale price represents the weighted average sale price of the shares sold ranging from $33.23 to $33.43 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F6: The shares subject to the option are fully vested and exercisable.
Venus Concept Inc.
Report date October 16, 2017 · Filed October 17, 2017
Jointly reported with ALLOY VENTURES 2002 LLC, KELLY DOUGLAS E, Shoch John, Di Bona Tony, Rubin Daniel, Hanafi Ammar
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 12,466 |
Reported balance
After 2017-10-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-10-16 · Conversion · Acquired 12,466 · Balance 12,466 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 26,116 |
Reported balance
After 2017-10-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-10-16 · Conversion · Acquired 13,650 · Balance 26,116 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 42,759 |
Reported balance
After 2017-10-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-10-16 · Conversion · Acquired 16,643 · Balance 42,759 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 45,041 |
Reported balance
After 2017-10-16 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-10-16 · Conversion · Acquired 2,282 · Balance 45,041 F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 461,717 |
Reported balance
After 2017-10-16 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-10-16 · Conversion · Acquired 461,717 · Balance 461,717 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 967,297 |
Reported balance
After 2017-10-16 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2017-10-16 · Conversion · Acquired 505,580 · Balance 967,297 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,583,743 |
Reported balance
After 2017-10-16 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2017-10-16 · Conversion · Acquired 616,446 · Balance 1,583,743 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,668,269 |
Reported balance
After 2017-10-16 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2017-10-16 · Conversion · Acquired 84,526 · Balance 1,668,269 F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 474,184 |
Reported balance
After 2017-10-16 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2017-10-16 · Conversion · Acquired 474,184 · Balance 474,184 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 993,414 |
Reported balance
After 2017-10-16 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2017-10-16 · Conversion · Acquired 519,230 · Balance 993,414 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,626,508 |
Reported balance
After 2017-10-16 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2017-10-16 · Conversion · Acquired 633,094 · Balance 1,626,508 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,713,317 |
Reported balance
After 2017-10-16 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2017-10-16 · Conversion · Acquired 86,809 · Balance 1,713,317 F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2017-10-16 · Conversion · Disposed 12,466 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2017-10-16 · Conversion · Disposed 461,717 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-10-16 · Conversion · Disposed 474,184 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-10-16 · Conversion · Disposed 13,650 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2017-10-16 · Conversion · Disposed 505,580 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2017-10-16 · Conversion · Disposed 519,230 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2017-10-16 · Conversion · Disposed 16,643 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2017-10-16 · Conversion · Disposed 616,446 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2017-10-16 · Conversion · Disposed 633,094 · Balance 0 F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5: The expiration date is not relevant to the conversion of these securities. F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2017-10-16 · Conversion · Disposed Not disclosed · Balance 0 F6: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2017-10-16 · Conversion · Disposed Not disclosed · Balance 0 F6: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 | IndirectSee Footnote | 0 |
Reported balance
After 2017-10-16 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2017-10-16 · Conversion · Disposed Not disclosed · Balance 0 F6: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO").
F2: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
F3: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
F4: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
F5: The expiration date is not relevant to the conversion of these securities.
F6: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionStock Option (right to buy) · Derivative | 135,549 | $0.00 Strike: $3.01 | $0.00 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · derivative · entry 16 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,451 Underlying: Common Stock · 135,549 shares Expires 2022-01-09 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. F11 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionStock Option (right to buy) · Derivative | 187,500 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · derivative · entry 15 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,500 Underlying: Common Stock · 187,500 shares Expires 2023-03-15 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. F11 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionStock Option (right to buy) · Derivative | 12,500 | $0.00 Strike: $10.58 | $0.00 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · derivative · entry 14 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2021-06-23 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. F11 · derivative.exercise_date: The shares subject to the option are fully vested and exercisable. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 8,514 | $24.01 | $204,421.14 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 8 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 898,215 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F6 · price: This sale price represents the weighted average sale price of the shares sold ranging from $23.97 to $24.09 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 243,544 | $23.29 | $5,671,409.13 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 7 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 906,729 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F5 · price: This sale price represents the weighted average sale price of the shares sold ranging from $22.97 to $23.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 52,923 | $22.68 | $1,200,029.03 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 6 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,150,273 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $21.97 to $22.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 16,698 | $21.55 | $359,825.20 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 5 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,203,196 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $20.97 to $21.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 13,870 | $20.38 | $282,642.86 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 4 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,219,894 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2020. F2 · price: This sale price represents the weighted average sale price of the shares sold ranging from $19.97 to $20.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionCommon Stock | 187,500 | $2.27 | $425,625.00 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233,764 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. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionCommon Stock | 135,549 | $3.01 | $408,002.49 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,046,264 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. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 23:34 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | Exercise / conversionCommon Stock | 12,500 | $10.58 | $132,250.00 |
DisclosureSEC source: 0001209191-20-065086 · doc4.xml · nonDerivative · entry 1 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 910,715 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. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 21:46 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 1,492 | $14.39 | $21,462.42 |
DisclosureSEC source: 0001209191-20-060531 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 0 F1 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 23, 2020 Filed Nov 24, 2020 21:44 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 251,837 | $15.03 | $3,785,613.78 |
DisclosureSEC source: 0001209191-20-060228 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 1,492 F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $14.85 to $15.28 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 21:44 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 147,799 | $15.11 | $2,233,538.49 |
DisclosureSEC source: 0001209191-20-060228 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 253,329 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $15.05 to $15.245 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 19, 2020 Filed Nov 20, 2020 22:16 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 2,201 | $15.55 | $34,225.55 |
DisclosureSEC source: 0001209191-20-059707 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 401,128 F2 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 18, 2020 Filed Nov 20, 2020 22:16 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 38,381 | $15.71 | $603,003.89 |
DisclosureSEC source: 0001209191-20-059707 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 403,329 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $15.55 to $16.02 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 21:05 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 42,488 | $15.90 | $675,346.76 |
DisclosureSEC source: 0001209191-20-059042 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 441,710 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $15.80 to $16.05 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 12, 2020 Filed Nov 13, 2020 22:17 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 200,000 | $16.73 | $3,345,800.00 |
DisclosureSEC source: 0001209191-20-058337 · doc4.xml · nonDerivative · entry 4 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 484,198 F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $16.56 to $17.005 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F3 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 22:17 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 250,000 | $16.46 | $4,116,000.00 |
DisclosureSEC source: 0001209191-20-058337 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 684,198 F2 · price: This sale price represents the weighted average sale price of the shares sold ranging from $16.34 to $16.86 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, Alloy Ventures 2005, L.P. will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F3 · ownership.nature: Shares held of record by Alloy Ventures 2005, L.P. where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by this fund except to the extent of his pecuniary interest therein. Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 22:17 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 195,652 | $14.25 | $2,788,041.00 |
DisclosureSEC source: 0001209191-20-058337 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 898,215 F1 · kind: The Reporting Person sold the shares pursuant to the Issuer's Registration Statement on Form S-3, as filed with the Securities and Exchange Commission on November 10, 2020. Read SEC document |
| November 10, 2020 Filed Nov 13, 2020 22:17 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 1,304,348 | $14.25 | $18,586,959.00 |
DisclosureSEC source: 0001209191-20-058337 · doc4.xml · nonDerivative · entry 1 Hunkapiller Michael · CIK 0001317102 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,093,867 F1 · kind: The Reporting Person sold the shares pursuant to the Issuer's Registration Statement on Form S-3, as filed with the Securities and Exchange Commission on November 10, 2020. Read SEC document |
| August 25, 2020 Filed Aug 26, 2020 21:08 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 228,632 | $6.44 | $1,472,618.71 |
DisclosureSEC source: 0001209191-20-048411 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 934,198 F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $6.315 to $6.72 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F5 · balance_after: Shares held by Alloy Ventures 2005, L.P. F3 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner of Alloy Ventures 2005, L.P. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| August 24, 2020 Filed Aug 26, 2020 21:08 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 259,164 | $6.63 | $1,719,475.39 |
DisclosureSEC source: 0001209191-20-048411 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 1,162,830 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $6.55 to $6.695 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Consists of (i) 934,198 shares held by Alloy Ventures 2005, L.P., (ii) 222,622 shares held by Alloy Ventures 2002, L.P., and (iii) 6,010 shares held by Alloy Partners 2002, L.P. F3 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner of Alloy Ventures 2005, L.P. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| August 21, 2020 Filed Aug 24, 2020 22:04 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 189,847 | $6.57 | $1,246,915.10 |
DisclosureSEC source: 0001209191-20-048131 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 1,421,994 F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $6.55 to $6.665 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F5 · balance_after: Consists of (i) 934,198 shares held by Alloy Ventures 2005, L.P., (ii) 474,973 shares held by Alloy Ventures 2002, L.P., and (iii) 12,823 shares held by Alloy Partners 2002, L.P. F3 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| August 20, 2020 Filed Aug 24, 2020 22:04 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 256,554 | $6.47 | $1,659,801.76 |
DisclosureSEC source: 0001209191-20-048131 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 1,611,841 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $6.415 to $6.50 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Consists of (i) 934,198 shares held by Alloy Ventures 2005, L.P., (ii) 659,829 shares held by Alloy Ventures 2002, L.P., and (iii) 17,814 shares held by Alloy Partners 2002, L.P. F3 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 21:00 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-019302 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,623,215 F2 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in two (2) equal annual installments on March 16 of each of 2021 and 2022, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 21:00 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 150,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-019302 · doc4.xml · nonDerivative · entry 1 Hunkapiller Michael · CIK 0001317102 · Director · CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,548,215 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in four (4) equal annual installments on March 16 of each of 2021, 2022, 2023, and 2024, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 21:15 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 166,575 | $4.50 | $749,754.08 |
DisclosureSEC source: 0001209191-20-011951 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 1,868,395 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $4.48 to $4.51 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · balance_after: Consists of (i) 934,198 shares held by Alloy Ventures 2005, L.P., (ii) 909,638 shares held by Alloy Ventures 2002, L.P., and (iii) 24,559 shares held by Alloy Partners 2002, L.P. F3 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2020 Filed Feb 20, 2020 22:33 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 76,281 | $4.49 | $342,349.13 |
DisclosureSEC source: 0001209191-20-011219 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 2,034,970 F3 · price: This sale price represents the weighted average sale price of the shares sold ranging from $4.48 to $4.50 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F4 · balance_after: Consists of (i) 1,017,486 shares held by Alloy Ventures 2005, L.P., (ii) 990,736 shares held by Alloy Ventures 2002, L.P., and (iii) 26,748 shares held by Alloy Partners 2002, L.P. F2 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 22:33 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 525,995 | $4.49 | $2,363,295.54 |
DisclosureSEC source: 0001209191-20-011219 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Indirect · By Alloy Ventures Disclosed balance after: 2,111,251 F1 · price: This sale price represents the weighted average sale price of the shares sold ranging from $4.48 to $4.56 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. F2 · ownership.nature: These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 01:44 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | SaleCommon Stock | 13,335 | $7.19 | $95,825.31 |
DisclosureSEC source: 0001209191-19-011846 · doc4.xml · nonDerivative · entry 3 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,398,215 F3 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units and performance awards. F4 · price: This sale price represents the weighted average sale price of the shares sold ranging from $7.16 to $7.21 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| February 15, 2019 Filed Feb 21, 2019 01:44 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 22,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011846 · doc4.xml · nonDerivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,411,550 F2 · shares: Represents the number of shares earned upon satisfaction of performance goals in connection with performance-based restricted stock units. Read SEC document |
| February 15, 2019 Filed Feb 21, 2019 01:44 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 38,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-011846 · doc4.xml · nonDerivative · entry 1 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,388,750 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of (i) the first anniversary of the Grant Date, or (ii) the completion of the proposed acquisition of the Issuer by Illumina, Inc., provided that the Reporting Person continues to serve through the vesting date. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 20:06 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0001209191-18-020136 · doc4.xml · derivative · entry 2 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2028-03-15 F2 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over the next four years, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 20:06 UTC | PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB · Entity 5650 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-020136 · doc4.xml · nonDerivative · entry 1 Hunkapiller Michael · CIK 0001317102 · Director · Chairman, CEO & President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350,000 F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in equal annual installments on February 15 of each of 2019, 2020, 2021, and 2022, provided that the Reporting Person continues to serve through each vesting date. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $7.00 | $604,351.76 |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 24 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 86,809 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $7.00 | $588,463.10 |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 23 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 84,526 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F3 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $7.00 | $15,888.66 |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 22 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,282 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · reported_value: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · price: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.exercise_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F6 · derivative.expiration_date: The amount reported in column 5 is the principal amount of Reporting Person's Convertible Promissory Note (the "Note"). The outstanding principal and accrued interest of the Note automatically converted into shares of the Issuer's Common Stock at the price per share available to the public as set forth in the final prospectus related to the Issuer's IPO upon the closing of the IPO. F2 · ownership.nature: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 633,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 21 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 633,094 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 616,446 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 20 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 616,446 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F3 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 16,643 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 19 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 16,643 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F2 · ownership.nature: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 519,230 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 18 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 519,230 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 505,580 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 17 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 505,580 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F3 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 13,650 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 16 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 13,650 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F2 · ownership.nature: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 474,184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 15 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 474,184 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 461,717 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 14 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 461,717 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F3 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2002, L.P. ("Alloy Ventures 2002"). Ventures 2002, as the sole general partner of Alloy Ventures 2002, may be deemed to beneficially own the securities held by Alloy Ventures 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 12,466 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · derivative · entry 13 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 12,466 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F5 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities. F2 · ownership.nature: See additional Form 4 filed by Alloy Ventures 2002, LLC ("Ventures 2002") for additional members of this joint filing. The securities are directly held by Alloy Partners 2002, L.P. ("Alloy Partners 2002"). Ventures 2002, as the sole general partner of Alloy Partners 2002, may be deemed to beneficially own the securities held by Alloy Partners 2002. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona and Daniel Rubin are managing directors of Ventures 2002, and as such may be deemed to beneficially own the securities held by Alloy Partners 2002. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 86,809 | $7.00 | $607,663.00 |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · nonDerivative · entry 12 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,713,317 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 633,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · nonDerivative · entry 11 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,626,508 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 17, 2017 18:47 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 519,230 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-038925 · doc1.xml · nonDerivative · entry 10 ALLOY VENTURES 2002 LLC · CIK 0001176013 · 10% owner KELLY DOUGLAS E · CIK 0001227887 · 10% owner Shoch John · CIK 0001316618 · 10% owner Di Bona Tony · CIK 0001316825 · 10% owner Rubin Daniel · CIK 0001316624 · 10% owner Hunkapiller Michael · CIK 0001317102 · 10% owner Hanafi Ammar · CIK 0001316968 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 993,414 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering (the "IPO"). F4 · ownership.nature: See additional Form 4 filed by Ventures 2002 for additional members of this joint filing. The securities are directly held by Alloy Ventures 2005, L.P. ("Alloy Ventures 2005"). Alloy Ventures 2005, LLC ("Ventures 2005"), as the sole general partner of Alloy Ventures 2005, may be deemed to beneficially own the securities held by Alloy Ventures 2005. Craig Taylor, Douglas Kelly, John Shoch, Tony DiBona, Daniel Rubin, Michael Hunkapiller and Ammar H. Hanafi are managing directors of Ventures 2005, and as such may be deemed to beneficially own the securities held by Alloy Ventures 2005. Each Reporting Person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.