TapewireFind a company

organization · Reporting owner

Canaan IX L.P.

Disclosed activity across 3 companies

Tapewire entity
145934
SEC CIK
0001538676

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CytomX Therapeutics, Inc.CTMX · Entity 5124DirectorMarch 27, 2017March 28, 2017
TheRealReal, Inc.REAL · Entity 481710% ownerJanuary 14, 2020January 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.

CytomX Therapeutics, Inc.

Report date March 27, 2017 · Filed March 28, 2017

Jointly reported with Canaan Partners IX LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote2,494,381 Reported balance After 2017-03-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-03-27 · Other · Disposed 750,000 · Balance 2,494,381

F1: On March 27, 2017, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 750,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. Canaan IX, is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On March 27, 2017, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 750,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. Canaan IX, is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

TheRealReal, Inc.

Report date January 14, 2020 · Filed January 16, 2020

Jointly reported with Canaan Partners IX LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect7,925,919 Reported balance After 2020-01-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-01-14 · Other · Disposed 881,000 · Balance 7,925,919

F1: On January 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 881,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. The sole general partner of the Canaan Fund is Canaan IX, and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On January 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 881,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. The sole general partner of the Canaan Fund is Canaan IX, and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Past disclosures · reporting ended (1)

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

ARVINAS, INC.

Report date October 14, 2020 · Filed October 15, 2020

Jointly reported with Canaan Partners IX LLC

Section 16 reporting ended · disclosed 2020-10-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,589,554 Reported balance After 2020-10-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-10-14 · Other · Disposed 400,000 · Balance 3,589,554

F1: On October 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 400,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On October 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 400,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Transaction history

JSON API
Reset

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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 14, 2020 Filed Oct 15, 2020 16:15 UTC ARVINAS, INC. ARVN · Entity 5355 OtherCommon Stock 400,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-028308 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,589,554

F1 · kind: On October 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 400,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On October 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 400,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.direct: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 20, 2020 Filed Jul 21, 2020 16:10 UTC ARVINAS, INC. ARVN · Entity 5355 OtherCommon Stock 500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-019796 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,989,554

F1 · kind: On July 20, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On July 20, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.direct: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
January 14, 2020 Filed Jan 16, 2020 16:24 UTC TheRealReal, Inc. REAL · Entity 4817 OtherCommon Stock 881,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-001324 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,925,919

F1 · kind: On January 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 881,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On January 14, 2020, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 881,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.direct: The shares are held directly by the Canaan Fund. The sole general partner of the Canaan Fund is Canaan IX, and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries G Preferred Stock · Derivative 427,020 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 12

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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 · 213,510 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries E Preferred Stock · Derivative 654,298 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 11

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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 · 327,149 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries D Preferred Stock · Derivative 1,790,580 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 10

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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 · 895,290 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries C Preferred Stock · Derivative 4,120,823 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 9

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,060,411 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries B Preferred Stock · Derivative 2,214,825 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 8

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,107,412 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionSeries A Preferred Stock · Derivative 7,398,272 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · derivative · entry 7

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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 · 3,699,136 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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 213,510 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 6

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,806,919

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 327,149 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 5

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,593,409

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 895,290 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 4

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,266,260

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 2,060,411 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 3

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,370,970

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 1,107,412 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,310,559

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
July 02, 2019 Filed Jul 2, 2019 16:35 UTC TheRealReal, Inc. REAL · Entity 4817 ConversionCommon Stock 3,699,136 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-018885 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,203,147

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 Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock and Series G Preferred Stock (collectively, the "Preferred Stock") automatically converted into one-half of one share of the Issuer's Common Stock ("Shares") immediately prior to the completion of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan IX, collectively. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
June 10, 2019 Filed Jun 12, 2019 16:11 UTC ARVINAS, INC. ARVN · Entity 5355 OtherCommon Stock 500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-016634 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,489,554

F1 · kind: On June 10, 2019, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On June 10, 2019, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.direct: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:45 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries C Preferred Stock · Derivative 2,209,833 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026089 · doc4.xml · derivative · entry 4

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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 · 679,948 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: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:45 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries B Preferred Stock · Derivative 4,462,837 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026089 · doc4.xml · derivative · entry 3

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,373,180 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:45 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionSeries A Preferred Stock · Derivative 9,543,387 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026089 · doc4.xml · derivative · entry 2

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,936,426 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: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 17:45 UTC ARVINAS, INC. ARVN · Entity 5355 ConversionCommon Stock 4,989,554 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-026089 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,989,554

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: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners IX LLC ("Canaan IX", and together with the Canaan Fund, the "Canaan Entities"), and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
March 27, 2017 Filed Mar 28, 2017 17:36 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 OtherCommon Stock 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-008751 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director

Canaan Partners IX LLC · CIK 0001654586 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,494,381

F1 · kind: On March 27, 2017, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 750,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On March 27, 2017, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 750,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The shares are held directly by the Canaan Fund. Canaan IX, is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 30, 2016 Filed Dec 1, 2016 19:27 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 OtherCommon Stock 400,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-16-034627 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · Director

Canaan Partners IX LLC · CIK 0001654586 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,244,381

F3 · kind: On November 30, 2016, the Canaan Fund distributed, for no consideration, 400,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan IX, its general partner, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3 · price: On November 30, 2016, the Canaan Fund distributed, for no consideration, 400,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan IX, its general partner, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 29, 2016 Filed Dec 1, 2016 19:27 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 22,086 $11.18 $247,007.62
Disclosure

SEC source: 0000899243-16-034627 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director

Canaan Partners IX LLC · CIK 0001654586 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,644,381

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.06 - $11.37, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 28, 2016 Filed Nov 28, 2016 22:10 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 20,840 $11.33 $236,142.21
Disclosure

SEC source: 0000899243-16-034442 · doc4.xml · nonDerivative · entry 3

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,666,467

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.11 - $11.69, inclusive. The reporting persons undertake 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 in footnote (4) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 25, 2016 Filed Nov 28, 2016 22:10 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 6,729 $11.79 $79,340.97
Disclosure

SEC source: 0000899243-16-034442 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,687,307

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.67 - $12.07, inclusive. The reporting persons undertake 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 in footnote (3) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 23, 2016 Filed Nov 28, 2016 22:10 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 10,890 $11.84 $128,921.27
Disclosure

SEC source: 0000899243-16-034442 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,694,036

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.3950 - $12.05, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 22, 2016 Filed Nov 22, 2016 23:48 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 42,550 $11.71 $498,077.54
Disclosure

SEC source: 0000899243-16-034194 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,704,926

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.56 - $11.90, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 21, 2016 Filed Nov 21, 2016 23:48 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 13,548 $11.72 $158,785.27
Disclosure

SEC source: 0000899243-16-034052 · doc4.xml · nonDerivative · entry 3

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,747,476

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.55 - $11.835, inclusive. The reporting persons undertake 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 in footnote (4) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 18, 2016 Filed Nov 21, 2016 23:48 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 12,805 $11.64 $149,084.77
Disclosure

SEC source: 0000899243-16-034052 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,761,024

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.48 - $11.73, inclusive. The reporting persons undertake 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 in footnote (3) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 17, 2016 Filed Nov 21, 2016 23:48 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 18,971 $11.50 $218,217.72
Disclosure

SEC source: 0000899243-16-034052 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,773,829

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.02 - $11.70, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 16, 2016 Filed Nov 17, 2016 00:13 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 18,517 $11.55 $213,952.82
Disclosure

SEC source: 0000899243-16-033704 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,792,800

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.24 - $11.85, inclusive. The reporting persons undertake 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 in footnote (3) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 15, 2016 Filed Nov 17, 2016 00:13 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 33,064 $11.48 $379,475.53
Disclosure

SEC source: 0000899243-16-033704 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,811,317

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.23 - $11.60, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 14, 2016 Filed Nov 14, 2016 21:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 23,744 $11.21 $266,056.27
Disclosure

SEC source: 0000899243-16-033335 · doc4.xml · nonDerivative · entry 3

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,844,381

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.37, inclusive. The reporting persons undertake 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 in footnote (4) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 11, 2016 Filed Nov 14, 2016 21:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 35,391 $11.20 $396,460.60
Disclosure

SEC source: 0000899243-16-033335 · doc4.xml · nonDerivative · entry 2

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,868,125

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.44, inclusive. The reporting persons undertake 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 in footnote (3) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 10, 2016 Filed Nov 14, 2016 21:41 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 27,135 $11.07 $300,389.88
Disclosure

SEC source: 0000899243-16-033335 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,903,516

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.24, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
November 09, 2016 Filed Nov 10, 2016 21:36 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 SaleCommon Stock 13,730 $11.03 $151,498.19
Disclosure

SEC source: 0000899243-16-033178 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,930,651

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 - $11.15, inclusive. The reporting persons undertake 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 in footnote (1) of this Form 4.

F2 · ownership.nature: The shares are held directly by Canaan IX L.P. (the "Canaan Fund"). Canaan Partners IX LLC ("Canaan IX" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

Read SEC document
October 11, 2016 Filed Oct 12, 2016 19:27 UTC CytomX Therapeutics, Inc. CTMX · Entity 5124 OtherCommon Stock 300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-16-031602 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · Director · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 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: 3,944,381

F1 · kind: On October 11, 2016, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 300,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On October 11, 2016, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 300,000 shares of Common Stock of the issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: The shares are held directly by the Canaan Fund. Canaan IX, is the sole general partner of the Canaan Fund, and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Timothy Shannon, a non-managing member of Canaan IX, serves as representative of the Canaan Entities on the issuer's board of directors. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

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.