Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 4D Molecular Therapeutics, Inc.FDMT · Entity 2419 | Director | December 15, 2020 | December 17, 2020 |
| PRECISION BIOSCIENCES INCDTIL · Entity 6284 | Director | April 03, 2019 | April 04, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
4D Molecular Therapeutics, Inc.
Report date December 15, 2020 · Filed December 17, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,864 |
Reported balance
After 2020-12-15 transaction · row 1
1 source rowRow 1 · 2020-12-15 · Conversion · Acquired 2,864 · Balance 2,864 F1: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,060,880 |
Last balance in matching sequence
After 2020-12-15 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 2 · 2020-12-15 · Conversion · Acquired 455,326 · Balance 455,326 F1: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Row 3 · 2020-12-15 · Conversion · Acquired 180,554 · Balance 635,880 F3: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Row 4 · 2020-12-15 · Purchase · Acquired 425,000 · Balance 1,060,880 F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-12-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-12-15 · Conversion · Disposed 2,864 · Balance 0 F1: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-12-15 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-12-15 · Conversion · Disposed 455,326 · Balance 0 F1: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
| Series C Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-12-15 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-12-15 · Conversion · Disposed 180,554 · Balance 0 F3: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F2: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
F3: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
PRECISION BIOSCIENCES INC
Report date April 03, 2019 · Filed April 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy ArrowMark Life Science Fund, LP | 158,003 |
Reported balance
After 2019-04-03 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-04-03 · Purchase · Acquired 6,487 · Balance 158,003 F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.28 to $15.50, inclusive. The reporting person undertakes to provide to Precision BioSciences, Inc. (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 in this footnote (1). F2: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 4,450 |
Reported balance
Holding disclosure · report date 2019-04-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,450 |
| Common StockSEC Table I · non-derivative | IndirectBy THB Iron Rose, LLC Life Science Portfolio | 4,450 |
Reported balance
Holding disclosure · report date 2019-04-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 4,450 F3: These securities are held of record by the THB Iron Rose, LLC Life Science Portfolio (the "THB Fund"). ArrowMark Colorado is an investment advisor to the THB Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the THB Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.28 to $15.50, inclusive. The reporting person undertakes to provide to Precision BioSciences, Inc. (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 in this footnote (1).
F2: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
F3: These securities are held of record by the THB Iron Rose, LLC Life Science Portfolio (the "THB Fund"). ArrowMark Colorado is an investment advisor to the THB Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the THB Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionSeries C Preferred Stock · Derivative | 180,554 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 7 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 180,554 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · derivative.exercise_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F3 · derivative.expiration_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionSeries B Preferred Stock · Derivative | 455,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 6 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 455,326 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 B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionSeries B Preferred Stock · Derivative | 2,864 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 5 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,864 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 B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | PurchaseCommon Stock | 425,000 | $23.00 | $9,775,000.00 |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 4 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,060,880 F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionCommon Stock | 180,554 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 3 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 635,880 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionCommon Stock | 455,326 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 2 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 455,326 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 B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 22:39 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | ConversionCommon Stock | 2,864 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 1 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,864 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 B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date. Read SEC document |
| April 03, 2019 Filed Apr 4, 2019 21:00 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | PurchaseCommon Stock | 6,487 | $15.42 | $100,029.54 |
DisclosureSEC source: 0001209191-19-023673 · doc4.xml · nonDerivative · entry 1 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: 158,003 F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $15.28 to $15.50, inclusive. The reporting person undertakes to provide to Precision BioSciences, Inc. (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 in this footnote (1). F2 · ownership.nature: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionSeries B Preferred Stock · Derivative | 9,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · derivative · entry 8 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By THB Iron Rose, LLC Life Science Portfolio Disclosed balance after: 0 Underlying: Common Stock · 4,450 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · price: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F3 · ownership.nature: These securities are held of record by the THB Iron Rose, LLC Life Science Portfolio (the "THB Fund"). ArrowMark Colorado is an investment advisor to the THB Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the THB Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionSeries B Preferred Stock · Derivative | 244,572 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · derivative · entry 7 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 114,570 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · price: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F2 · ownership.nature: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionConvertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $13.60 | $502,466.00 |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · derivative · entry 6 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 36,946 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 · price: On March 1, 2019, the ArrowMark Fund acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from the Issuer. Effective upon the closing of the IPO on April 1, 2019, the 2019 Note, including accrued interest, converted into 36,946 shares of the Issuer's common stock at a price per share equal to $13.60, which represented 85% of the price per share in the IPO. F4 · derivative.exercise_date: On March 1, 2019, the ArrowMark Fund acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from the Issuer. Effective upon the closing of the IPO on April 1, 2019, the 2019 Note, including accrued interest, converted into 36,946 shares of the Issuer's common stock at a price per share equal to $13.60, which represented 85% of the price per share in the IPO. F4 · derivative.expiration_date: On March 1, 2019, the ArrowMark Fund acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from the Issuer. Effective upon the closing of the IPO on April 1, 2019, the 2019 Note, including accrued interest, converted into 36,946 shares of the Issuer's common stock at a price per share equal to $13.60, which represented 85% of the price per share in the IPO. F2 · ownership.nature: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionSeries B Preferred Stock · Derivative | 9,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · derivative · entry 5 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,450 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · price: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionCommon Stock | 4,450 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · nonDerivative · entry 4 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By THB Iron Rose, LLC Life Science Portfolio Disclosed balance after: 4,450 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F3 · ownership.nature: These securities are held of record by the THB Iron Rose, LLC Life Science Portfolio (the "THB Fund"). ArrowMark Colorado is an investment advisor to the THB Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the THB Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionCommon Stock | 114,570 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · nonDerivative · entry 3 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: 151,516 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). F2 · ownership.nature: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionCommon Stock | 36,946 | $13.60 | $502,465.60 |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · nonDerivative · entry 2 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: 36,946 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · ownership.nature: These securities are held of record by the ArrowMark Life Science Fund, LP (the "ArrowMark Fund"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Read SEC document |
| April 01, 2019 Filed Apr 2, 2019 21:19 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | ConversionCommon Stock | 4,450 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-022659 · doc4.xml · nonDerivative · entry 1 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,450 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 B Preferred Stock automatically converted into the common stock of Precision BioSciences, Inc. (the "Issuer") on a 2.134686-to-1 basis (after giving effect to the Issuer's previously completed reverse stock split) upon the closing of the Issuer's initial public offering (the "IPO"). Read SEC document |
| March 27, 2019 Filed Mar 29, 2019 22:37 UTC | PRECISION BIOSCIENCES INC DTIL · Entity 6284 | OtherConvertible Promissory Note · Derivative | Not disclosed | $500,000.00 Strike: $13.60 | $502,466.00 |
DisclosureSEC source: 0001209191-19-021849 · doc4.xml · derivative · entry 1 YAO TONY DUNG LING · CIK 0001771680 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By ArrowMark Life Science Fund, LP Disclosed balance after: Not disclosed Underlying: Common Stock · 36,946 shares Expires not disclosed F1 · kind: On March 1, 2019, ArrowMark Life Science Fund, LP (the "ArrowMark Fund") acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from Precision BioSciences, Inc. (the "Issuer"). In connection with the pricing of the Issuer's initial public offering on March 27, 2019 (the "IPO"), the conversion price of the 2019 Note became fixed at 85% of the price per share in the IPO, and the 2019 Note became automatically convertible into shares of the Issuer's common stock at the closing of the IPO. F1 · derivative.exercise_date: On March 1, 2019, ArrowMark Life Science Fund, LP (the "ArrowMark Fund") acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from Precision BioSciences, Inc. (the "Issuer"). In connection with the pricing of the Issuer's initial public offering on March 27, 2019 (the "IPO"), the conversion price of the 2019 Note became fixed at 85% of the price per share in the IPO, and the 2019 Note became automatically convertible into shares of the Issuer's common stock at the closing of the IPO. F1 · derivative.expiration_date: On March 1, 2019, ArrowMark Life Science Fund, LP (the "ArrowMark Fund") acquired a convertible promissory note in the principal amount of $500,000 (the "2019 Note") from Precision BioSciences, Inc. (the "Issuer"). In connection with the pricing of the Issuer's initial public offering on March 27, 2019 (the "IPO"), the conversion price of the 2019 Note became fixed at 85% of the price per share in the IPO, and the 2019 Note became automatically convertible into shares of the Issuer's common stock at the closing of the IPO. F2 · ownership.nature: The 2019 Note is held of record by the ArrowMark Fund. ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Fund. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Fund. The reporting person disclaims beneficial ownership of the 2019 Note, except to the extent of any pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.