Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allakos Inc.ALLK · Entity 79644 | 10% owner | January 22, 2020 | January 24, 2020 |
| Population Health Investment Co., Inc.PHIC · Entity 136038 | Director | January 26, 2021 | January 26, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Allakos Inc.
Report date January 22, 2020 · Filed January 24, 2020
Jointly reported with Alta Partners NextGen Fund I Management, LLC, Alta Partners Management VIII, LLC, Alta Partners NextGen Fund I, L.P., Hudson Peter A, MORE ROBERT J, NOHRA GUY P, Alta Partners VIII, L.P., JANNEY DANIEL
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 10,519,200 |
Reported balance
After 2020-01-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-01-22 · Other · Disposed 1,000,000 · Balance 10,519,200 F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. F2: Consists of 2,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). F3: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their respective pecuniary interests therein. F4: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their respective pecuniary interests therein. |
| Common StockSEC Table I · non-derivative | IndirectBy APNG I Management | 34,615 |
Reported balance
After 2020-01-22 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-01-22 · Other · Acquired 34,615 · Balance 34,615 F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. |
| Common StockSEC Table I · non-derivative | IndirectBy APNG I Management | 0 |
Reported balance
After 2020-01-22 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2020-01-22 · Other · Disposed 34,615 · Balance 0 F5: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by APNG I Management, without consideration, to its members. |
| Common StockSEC Table I · non-derivative | Direct | 11,538 |
Reported balance
After 2020-01-22 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2020-01-22 · Other · Acquired 11,538 · Balance 11,538 F6: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein. |
| Common StockSEC Table I · non-derivative | Direct | 6,837 |
Reported balance
After 2020-01-22 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2020-01-22 · Other · Acquired 6,837 · Balance 6,837 F9: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein. |
| Common StockSEC Table I · non-derivative | IndirectBy Hudson Capital LLC | 11,538 |
Reported balance
After 2020-01-22 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2020-01-22 · Other · Acquired 11,538 · Balance 11,538 F7: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Alta Bioequities, L.P. | 11,539 |
Reported balance
After 2020-01-22 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2020-01-22 · Other · Acquired 11,539 · Balance 11,539 F8: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners.
F2: Consists of 2,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta Partners VIII, L.P. ("Alta VIII").
F3: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their respective pecuniary interests therein.
F4: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their respective pecuniary interests therein.
F5: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by APNG I Management, without consideration, to its members.
F6: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein.
F7: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F8: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F9: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein.
Population Health Investment Co., Inc.
Report date January 26, 2021 · Filed January 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table II · derivative / convertible security | Direct | 43,125 |
Reported balance
After 2021-01-26 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-01-26 · Other · Acquired 43,125 · Balance 43,125 F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249756) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2: In connection with Ms. Champsi's election as an independent director of the issuer, 43,125 Class B ordinary shares of the issuer were transferred by Population Health Investment Holding, Inc. to Ms. Champsi for $250.00, or approximately $0.0058 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249756) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.
F2: In connection with Ms. Champsi's election as an independent director of the issuer, 43,125 Class B ordinary shares of the issuer were transferred by Population Health Investment Holding, Inc. to Ms. Champsi for $250.00, or approximately $0.0058 per share.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Kite Pharma, Inc.
Report date October 03, 2017 · Filed October 05, 2017
Section 16 reporting ended · disclosed 2017-10-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-10-03 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-09-29 · Gift · Disposed 2,800 · Balance 63,274 Row 2 · 2017-10-03 · Other · Disposed 61,467 · Balance 1,807 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. Row 3 · 2017-10-03 · Disposition to issuer · Disposed 1,807 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F3: Represents shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units, held by a non-employee director of the Company (each a "Director Restricted Stock Unit"). Pursuant to the terms of the Merger Agreement, each Director Restricted Stock Unit held by the Reporting Person fully vested and was cancelled and converted into the right to receive a cash payment equal to the product of (A) $180.00, multiplied by (B) the total number of shares of Company common stock subject to such Director Restricted Stock Unit. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.35 · Expires 2024-03-24 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-10-03 · Disposition to issuer · Disposed 50,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F4: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $59.23 · Expires 2025-06-08 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-10-03 · Disposition to issuer · Disposed 10,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F6: This option provided for vesting in 12 equal monthly installments following June 9, 2015. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.87 · Expires 2026-05-31 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-10-03 · Disposition to issuer · Disposed 7,000 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F7: This option provided for vesting in 12 equal monthly installments following June 1, 2016. |
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $91.21 · Expires 2027-06-19 | Direct | 0 |
Reported balance
After 2017-10-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-10-03 · Disposition to issuer · Disposed 8,810 · Balance 0 F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F8: This option provided for vesting in 12 equal monthly installments following June 20, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes.
F2: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes.
F3: Represents shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units, held by a non-employee director of the Company (each a "Director Restricted Stock Unit"). Pursuant to the terms of the Merger Agreement, each Director Restricted Stock Unit held by the Reporting Person fully vested and was cancelled and converted into the right to receive a cash payment equal to the product of (A) $180.00, multiplied by (B) the total number of shares of Company common stock subject to such Director Restricted Stock Unit.
F4: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014.
F5: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option.
F6: This option provided for vesting in 12 equal monthly installments following June 9, 2015.
F7: This option provided for vesting in 12 equal monthly installments following June 1, 2016.
F8: This option provided for vesting in 12 equal monthly installments following June 20, 2017.
SUTRO BIOPHARMA, INC.
Report date October 01, 2018 · Filed October 01, 2018
Jointly reported with Alta Partners VIII, L.P., Alta Partners Management VIII, LLC, JANNEY DANIEL, NOHRA GUY P
Section 16 reporting ended · disclosed 2018-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,944,901 |
Last balance in matching sequence
After 2018-10-01 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2018-10-01 · Conversion · Acquired 589,661 · Balance 589,661 F1: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Row 2 · 2018-10-01 · Conversion · Acquired 458,331 · Balance 1,047,992 F3: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Row 3 · 2018-10-01 · Conversion · Acquired 382,698 · Balance 1,430,690 F4: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Row 4 · 2018-10-01 · Conversion · Acquired 514,211 · Balance 1,944,901 F5: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-10-01 · Conversion · Disposed 10,201,769 · Balance 0 F1: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-10-01 · Conversion · Disposed 12,387,324 · Balance 0 F3: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. |
| Series D Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-10-01 · Conversion · Disposed 9,449,318 · Balance 0 F4: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. |
| Series E Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-10-01 · Conversion · Disposed 18,698,578 · Balance 0 F5: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F2: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein.
F3: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F4: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F5: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 26, 2021 Filed Jan 26, 2021 20:55 UTC | Population Health Investment Co., Inc. PHIC · Entity 136038 | OtherClass B Ordinary Shares · Derivative | 43,125 | $250.00 | $10,781,250.00 |
DisclosureSEC source: 0000899243-21-003406 · doc4.xml · derivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,125 Underlying: Class A Ordinary Shares · 43,125 shares Expires not disclosed F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-249756) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2 · kind: In connection with Ms. Champsi's election as an independent director of the issuer, 43,125 Class B ordinary shares of the issuer were transferred by Population Health Investment Holding, Inc. to Ms. Champsi for $250.00, or approximately $0.0058 per share. F2 · price: In connection with Ms. Champsi's election as an independent director of the issuer, 43,125 Class B ordinary shares of the issuer were transferred by Population Health Investment Holding, Inc. to Ms. Champsi for $250.00, or approximately $0.0058 per share. F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-249756) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-249756) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares, par value $0.0001 per share, will automatically convert into Class A ordinary shares, par value $0.0001 per share, of the issuer at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2 · balance_after: In connection with Ms. Champsi's election as an independent director of the issuer, 43,125 Class B ordinary shares of the issuer were transferred by Population Health Investment Holding, Inc. to Ms. Champsi for $250.00, or approximately $0.0058 per share. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 6,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 7 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,837 F9 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein. F9 · ownership.direct: Represents the acquisition of the shares of Common Stock of the Issuer by Guy P. Nohra in connection with the pro-rata distribution described in footnote (1) herein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 6 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Alta Bioequities, L.P. Disclosed balance after: 11,539 F8 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F8 · ownership.nature: Represents the acquisition of the shares of Common Stock of the Issuer by Alta Bioequities, L.P. in connection with the pro-rata distribution described in footnote (5) herein. Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 5 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hudson Capital LLC Disclosed balance after: 11,538 F7 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F7 · ownership.nature: Represents the acquisition of the shares of Common Stock of the Issuer by Hudson Capital, LLC, a limited liability company of which Peter A. Hudson is the managing member, in connection with the pro-rata distribution described in footnote (5) herein. Mr. Hudson disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 11,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 4 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,538 F6 · kind: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein. F6 · ownership.direct: Represents the acquisition of the shares of Common Stock of the Issuer by Robert J. More in connection with the pro-rata distribution described in footnote (5) herein. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 34,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 3 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By APNG I Management Disclosed balance after: 0 F5 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by APNG I Management, without consideration, to its members. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 34,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 2 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By APNG I Management Disclosed balance after: 34,615 F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 18:24 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 1,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004922 · doc4.xml · nonDerivative · entry 1 Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 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: 10,519,200 F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners NextGen Fund I L.P. ("APNG I"), without consideration, to its general partner and limited partners. F2 · ownership.nature: Consists of 2,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). F3 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their respective pecuniary interests therein. F4 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their respective pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries E Preferred Stock · Derivative | 18,698,578 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 8 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 514,211 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. F5 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries D Preferred Stock · Derivative | 9,449,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 7 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 382,698 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries C Preferred Stock · Derivative | 12,387,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 6 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 458,331 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionSeries B Preferred Stock · Derivative | 10,201,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · derivative · entry 5 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 589,661 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 514,211 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 4 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,944,901 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. F5 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 382,698 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 3 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,430,690 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 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 458,331 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 2 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 17:12 UTC | SUTRO BIOPHARMA, INC. STRO · Entity 5797 | ConversionCommon Stock | 589,661 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-052831 · doc4.xml · nonDerivative · entry 1 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner JANNEY DANIEL · CIK 0001198325 · Director · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 589,661 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.direct: The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:01 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries B Preferred Stock · Derivative | 1,239,007 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043627 · doc4.xml · derivative · entry 4 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 1,239,007 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F8 · ownership.nature: APNG I owns 504,547 shares of Series B Preferred Stock. Alta VIII owns 734,460 shares of Series B Preferred Stock. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:01 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries A Preferred Stock · Derivative | 10,030,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043627 · doc4.xml · derivative · entry 3 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 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 · 10,030,193 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F7 · ownership.nature: APNG I owns 2,941,718 shares of Series A Preferred Stock. Alta VIII owns 7,088,475 shares of Series A Preferred Stock. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:01 UTC | Allakos Inc. ALLK · Entity 79644 | PurchaseCommon Stock | 250,000 | $18.00 | $4,500,000.00 |
DisclosureSEC source: 0001209191-18-043627 · doc4.xml · nonDerivative · entry 2 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 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: 11,519,200 F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. F6 · ownership.nature: Consists of 3,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta VIII. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:01 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionCommon Stock | 11,269,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-043627 · doc4.xml · nonDerivative · entry 1 Alta Partners VIII, L.P. · CIK 0001399763 · 10% owner Alta Partners Management VIII, LLC · CIK 0001399894 · 10% owner Alta Partners NextGen Fund I Management, LLC · CIK 0001736001 · 10% owner Alta Partners NextGen Fund I, L.P. · CIK 0001698110 · 10% owner CHAMPSI FARAH · CIK 0001198321 · 10% owner Hudson Peter A · CIK 0001674884 · 10% owner MORE ROBERT J · CIK 0001207792 · 10% owner NOHRA GUY P · CIK 0001198330 · 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: 11,269,200 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · price: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: Consists of 3,446,265 shares held of record by Alta Partners NextGen Fund I, L.P. ("APNG I") and 7,822,935 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). F4 · ownership.nature: The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. F5 · ownership.nature: The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 8,810 | $88.79 Strike: $91.21 | $782,239.90 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · derivative · entry 7 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,810 shares Expires 2027-06-19 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F8 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 20, 2017. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 7,000 | $129.13 Strike: $50.87 | $903,910.00 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · derivative · entry 6 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2026-05-31 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F7 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 1, 2016. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 10,000 | $120.77 Strike: $59.23 | $1,207,700.00 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · derivative · entry 5 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2025-06-08 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F6 · derivative.exercise_date: This option provided for vesting in 12 equal monthly installments following June 9, 2015. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerDirector Stock Option (Right to Buy) · Derivative | 50,000 | $178.65 Strike: $1.35 | $8,932,500.00 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · derivative · entry 4 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2024-03-24 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F5 · price: This option was cancelled at the effective time of the Merger in exchange for a cash payment equal to the per-share merger consideration less the exercise price of the option. F4 · derivative.exercise_date: This option provided for vesting of 1/36th of the shares subject thereto on February 28, 2014, and for vesting of the remaining shares subject thereto in 35 equal monthly installments commencing March 30, 2014. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | Disposition to issuerCommon Stock | 1,807 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · nonDerivative · entry 3 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. F3 · price: Represents shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units, held by a non-employee director of the Company (each a "Director Restricted Stock Unit"). Pursuant to the terms of the Merger Agreement, each Director Restricted Stock Unit held by the Reporting Person fully vested and was cancelled and converted into the right to receive a cash payment equal to the product of (A) $180.00, multiplied by (B) the total number of shares of Company common stock subject to such Director Restricted Stock Unit. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | OtherCommon Stock | 61,467 | $180.00 | $11,064,060.00 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · nonDerivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,807 F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Note 3 below, was validly tendered for $180.00 per share in cash, without interest and subject to any required withholding of taxes. F2 · date: On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation and becoming a wholly-owned subsidiary of Parent (the "Merger"), and, pursuant to the terms of the Merger Agreement, each share of Company common stock was converted into the right to receive an amount in cash equal to $180.00 (the "per-share merger consideration"), without interest and subject to any required withholding of taxes. Read SEC document |
| September 29, 2017 Filed Oct 5, 2017 20:20 UTC | Kite Pharma, Inc. KITE · Entity 172664 | GiftCommon Stock | 2,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-056230 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,274 Read SEC document |
| June 20, 2017 Filed Jun 22, 2017 14:49 UTC | Kite Pharma, Inc. KITE · Entity 172664 | GrantDirector Stock Option (Right to Buy) · Derivative | 8,810 | $0.00 Strike: $91.21 | $0.00 |
DisclosureSEC source: 0001209191-17-041312 · doc4.xml · derivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,810 Underlying: Common Stock · 8,810 shares Expires 2027-06-19 F1 · derivative.exercise_date: The stock option shall vest in 12 successive equal monthly installments following the date of grant. Read SEC document |
| June 20, 2017 Filed Jun 22, 2017 14:49 UTC | Kite Pharma, Inc. KITE · Entity 172664 | GrantCommon Stock | 2,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-041312 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,074 Read SEC document |
| June 16, 2017 Filed Jun 16, 2017 17:41 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 5,450 | $88.11 | $480,199.50 |
DisclosureSEC source: 0001209191-17-040610 · doc4.xml · nonDerivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F2 · shares: Reflects the transfer from the reporting person to APVIII of 488 shares of the Issuer's common stock on June 1, 2017. The reporting person has been awarded certain restricted stock units in her capacity as a director of the Company (the "RSUs"), and she is contractually obligated, as a managing director of APVIII, to transfer to APVIII, for no consideration, all shares of common stock that she receives upon the vesting of the RSUs. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.96 to $88.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F4 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| June 14, 2017 Filed Jun 16, 2017 17:41 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 15,000 | $90.40 | $1,356,000.00 |
DisclosureSEC source: 0001209191-17-040610 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,664 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.71, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · balance_after: Reflects the transfer from the reporting person to APVIII of 488 shares of the Issuer's common stock on June 1, 2017. The reporting person has been awarded certain restricted stock units in her capacity as a director of the Company (the "RSUs"), and she is contractually obligated, as a managing director of APVIII, to transfer to APVIII, for no consideration, all shares of common stock that she receives upon the vesting of the RSUs. Read SEC document |
| April 28, 2017 Filed May 1, 2017 18:52 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 2,617 | $82.59 | $216,138.03 |
DisclosureSEC source: 0001209191-17-029021 · doc4.xml · nonDerivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,962 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.50 to $82.67, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 27, 2017 Filed May 1, 2017 18:52 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 16,551 | $82.77 | $1,369,926.27 |
DisclosureSEC source: 0001209191-17-029021 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,579 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.50 to $83.24, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 26, 2017 Filed Apr 26, 2017 17:38 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 200 | $83.06 | $16,612.00 |
DisclosureSEC source: 0001209191-17-028231 · doc4.xml · nonDerivative · entry 5 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,130 F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 26, 2017 Filed Apr 26, 2017 17:38 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 51,112 | $82.72 | $4,227,984.64 |
DisclosureSEC source: 0001209191-17-028231 · doc4.xml · nonDerivative · entry 4 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 24,330 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.05 to $83.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 25, 2017 Filed Apr 26, 2017 17:38 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 15,316 | $83.29 | $1,275,669.64 |
DisclosureSEC source: 0001209191-17-028231 · doc4.xml · nonDerivative · entry 3 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 75,442 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.05 to $83.65, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 25, 2017 Filed Apr 26, 2017 17:38 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 31,467 | $82.56 | $2,597,915.52 |
DisclosureSEC source: 0001209191-17-028231 · doc4.xml · nonDerivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 90,758 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.05 to $83.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 17:38 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 25,818 | $82.34 | $2,125,854.12 |
DisclosureSEC source: 0001209191-17-028231 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 122,225 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.07 to $82.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 17, 2017 Filed Apr 17, 2017 21:24 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 100 | $83.06 | $8,306.00 |
DisclosureSEC source: 0001209191-17-027183 · doc4.xml · nonDerivative · entry 3 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 148,043 F3 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 17, 2017 Filed Apr 17, 2017 21:24 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 43,001 | $82.48 | $3,546,722.48 |
DisclosureSEC source: 0001209191-17-027183 · doc4.xml · nonDerivative · entry 2 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 148,143 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.05 to $83.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate pecuniary interest therein. Read SEC document |
| April 13, 2017 Filed Apr 17, 2017 21:24 UTC | Kite Pharma, Inc. KITE · Entity 172664 | SaleCommon Stock | 72,275 | $82.39 | $5,954,737.25 |
DisclosureSEC source: 0001209191-17-027183 · doc4.xml · nonDerivative · entry 1 CHAMPSI FARAH · CIK 0001198321 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 191,144 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.05 to $82.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F2 · balance_after: Reflects the disposition by Alta Partners VIII, L.P. ("APVIII") of 1,500,000 shares of the Issuer's common stock in a pro-rata distribution to its limited partners on October 19, 2016. Also reflects the transfer from the reporting person to APVIII of 487 shares of the Issuer's common stock on January 26, 2017 and 975 shares of the Issuer's common stock on March 23, 2017. The reporting person has been awarded certain restricted stock units in her capacity as a director of the Company (the "RSUs"), and she is contractually obligated, as a managing director of APVIII, to transfer to APVIII, for no consideration, all shares of common stock that she receives upon the vesting of the RSUs. F3 · ownership.nature: The securities are held of record by APVIII. Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. The reporting person is a managing director of APMVIII and exercises shared voting and investment power with respect to the shares owned by APVIII. The reporting person disclaims beneficial ownership of such securities, except to the extent of her proportionate 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.