organization · Reporting owner

Soleus Private Equity Fund I, L.P.

Disclosed activity across 2 companies

Tapewire entity: 144650
SEC CIK: 0001752427

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BioAtla, Inc.BCAB · Entity 879	10% owner	December 15, 2020	December 16, 2020

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.

BioAtla, Inc.

Report date December 15, 2020 · Filed December 16, 2020

Jointly reported with Levy Guy, Soleus Private Equity GP I, LLC, Soleus PE GP I, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	14,871	Reported balance Holding disclosure · report date 2020-12-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 14,871 F1: Includes 14,871 restricted stock units ("RSUs"). 33.3% of the RSUs vest on December 7, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's continued service through the applicable vesting dates.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2020-12-15 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: Each share of Series D Preferred Stock is convertible at any time, at the holder's election, into Common Stock, based on the then-applicable conversion rate and has no expiration date. F3: The shares of Series D Preferred Stock will convert automatically into 1,790,472 shares of Common Stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split which became effective on December 2, 2020. F4: The reportable securities are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 14,871 restricted stock units ("RSUs"). 33.3% of the RSUs vest on December 7, 2021, with the remainder vesting in 24 substantially equal monthly installments thereafter, subject to the reporting person's continued service through the applicable vesting dates.

F2: Each share of Series D Preferred Stock is convertible at any time, at the holder's election, into Common Stock, based on the then-applicable conversion rate and has no expiration date.

F3: The shares of Series D Preferred Stock will convert automatically into 1,790,472 shares of Common Stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split which became effective on December 2, 2020.

F4: The reportable securities are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

Past disclosures · reporting ended (1)

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

Lyra Therapeutics, Inc.

Report date May 05, 2020 · Filed May 15, 2020

Jointly reported with Soleus Private Equity GP I, LLC, Soleus PE GP I, LLC, Soleus Capital Master Fund, L.P., Soleus Capital, LLC, Soleus Capital Group, LLC, Levy Guy

Section 16 reporting ended · disclosed 2020-05-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	338,330	Reported balance After 2020-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-05-05 · Conversion · Acquired 338,330 · Balance 338,330 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	442,948	Reported balance After 2020-05-05 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-05-05 · Conversion · Acquired 104,608 · Balance 442,948 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Common StockSEC Table I · non-derivative	IndirectSee footnote	474,330	Reported balance After 2020-05-05 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-05-05 · Other · Acquired 31,382 · Balance 474,330 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share.
Common StockSEC Table I · non-derivative	IndirectSee footnote	457,421	Reported balance After 2020-05-05 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2020-05-05 · Sale · Disposed 16,909 · Balance 457,421 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share.
Common StockSEC Table I · non-derivative	IndirectSee footnote	155,000	Reported balance After 2020-05-05 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2020-05-05 · Purchase · Acquired 155,000 · Balance 155,000 F2: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2020-05-05 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-05-05 · Conversion · Disposed 11,666,666 · Balance 0 F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2020-05-05 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2020-05-05 · Conversion · Disposed 3,607,224 · Balance 0 F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
Common Stock WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2030-01-27	IndirectSee footnote	0	Reported balance After 2020-05-05 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2020-05-05 · Other · Disposed 31,382 · Balance 0 F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F2: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share.

F4: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	OtherCommon Stock Warrant · Derivative	31,382	$0.00 Strike: $8.63	$0.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 8 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 31,382 shares Expires 2030-01-27 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	ConversionSeries C Convertible Preferred Stock · Derivative	3,607,224	$0.00	$0.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 7 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 104,608 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 preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	ConversionSeries B Convertible Preferred Stock · Derivative	11,666,666	$0.00	$0.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · derivative · entry 6 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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 · 338,330 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 preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	PurchaseCommon Stock	155,000	$16.00	$2,480,000.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 5 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 155,000 F2 · ownership.nature: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	SaleCommon Stock	16,909	$16.00	$270,544.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 4 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 457,421 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	OtherCommon Stock	31,382	$8.63	$270,826.66	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 3 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 474,330 F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. F3 · ownership.nature: On May 5, 2020, Soleus PE exercised a warrant to purchase an aggregate of 31,382 shares of the Issuer's common stock for $16.00 a share, which represents the Issuer's initial public offering price. In connection with the automatic net exercise of the warrant immediately prior to the closing of the Issuer's initial public offering, the Issuer withheld 16,909 of the warrant shares to pay the exercise price and issued the remaining 14,473 shares of common stock to Soleus PE. The Issuer also paid $13.77 to Soleus PE in lieu of a fractional share. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	ConversionCommon Stock	104,608	$0.00	$0.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 2 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 442,948 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 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document
May 05, 2020 Filed May 15, 2020 22:16 UTC	Lyra Therapeutics, Inc. LYRA · Entity 46837	ConversionCommon Stock	338,330	$0.00	$0.00	Disclosure SEC source: 0001493152-20-009217 · ownership.xml · nonDerivative · entry 1 Soleus Private Equity GP I, LLC · CIK 0001812273 · 10% owner Soleus Private Equity Fund I, L.P. · CIK 0001752427 · 10% owner Soleus PE GP I, LLC · CIK 0001812274 · 10% owner Soleus Capital Master Fund, L.P. · CIK 0001812275 · 10% owner Soleus Capital, LLC · CIK 0001786724 · 10% owner Soleus Capital Group, LLC · CIK 0001812276 · 10% owner Levy Guy · CIK 0001812305 · 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: 338,330 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 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP I, LLC. Each of Mr. Guy Levy, Soleus PE GP I, LLC and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests 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.