Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Everpure, Inc.PSTG · Entity 3140 | 10% owner | January 31, 2018 | February 23, 2018 |
| Mattersight CorpMATR · Entity 164107 | 10% owner | May 31, 2017 | June 02, 2017 |
| Molecular Templates, Inc.THLD · Entity 85987 | Director | May 31, 2017 | June 02, 2017 |
| PORTOLA PHARMACEUTICALS INCPTLA · Entity 147987 | Director | July 02, 2020 | July 07, 2020 |
| Venus Concept Inc.HAIR · Entity 55304 | Director | June 13, 2018 | June 15, 2018 |
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.
Everpure, Inc.
Report date January 31, 2018 · Filed February 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ltd Partnership (NEST) | 499,478 |
Reported balance
After 2018-01-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-01 · Gift · Disposed 0 · Balance 499,478 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F2: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein. F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 227,244 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 227,244 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Irrevocable Trust (BICT) | 85,404 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 85,404 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F4: Shares held by an irrevocable trust for the benefit of the reporting person's children, of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ltd Liability Company (SHA) | 1,024,538 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 1,024,538 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F5: Shares held by Sutter Hill Associates, LLC ("SHA"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a trustee of a trust which is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ltd Liability Company (SHM) | 77,100 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 77,100 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F6: Shares held by Sutter Hill Management Company, L.L.C ("SHM"). SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ltd Partnership (SHV As Nominee) | 318,750 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 318,750 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F7: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Ltd Partnership (SHV) | 17,102,128 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 17,102,128 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F8: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Trust (Trustees) | 1,281,244 |
Reported balance
Holding disclosure · report date 2018-01-31 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 1,281,244 F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F9: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.
F2: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.
F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F4: Shares held by an irrevocable trust for the benefit of the reporting person's children, of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.
F5: Shares held by Sutter Hill Associates, LLC ("SHA"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a trustee of a trust which is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F6: Shares held by Sutter Hill Management Company, L.L.C ("SHM"). SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F7: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F8: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F9: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
Mattersight Corp
Report date May 31, 2017 · Filed June 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (NEST) | 108,557 |
Reported balance
After 2017-06-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-06-01 · Purchase · Acquired 16,189 · Balance 108,557 F1: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 16,189 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F2: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (SHV) | 1,056,194 |
Last balance in matching sequence
After 2017-06-01 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2017-05-31 · Other · Disposed 271,391 · Balance 852,651 F3: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F4: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Row 3 · 2017-06-01 · Purchase · Acquired 203,543 · Balance 1,056,194 F5: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F4: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust (Trustees) | 71,840 |
Reported balance
Holding disclosure · report date 2017-05-31 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 71,840 F6: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 16,189 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.
F2: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F3: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").
F4: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F5: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.
F6: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
Molecular Templates, Inc.
Report date May 31, 2017 · Filed June 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (SHV) | 3,940,573 |
Last balance in matching sequence
After 2017-06-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-05-31 · Other · Disposed 630,770 · Balance 3,467,496 F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 630,770 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Row 2 · 2017-06-01 · Purchase · Acquired 473,077 · Balance 3,940,573 F3: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 473,077 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 377,782 |
Reported balance
After 2017-06-01 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-06-01 · Purchase · Acquired 37,626 · Balance 377,782 F4: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 37,626 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 919 |
Reported balance
Holding disclosure · report date 2017-05-31 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 919 |
Filing footnotes · ownership attribution and instrument terms
F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 630,770 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").
F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F3: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 473,077 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.
F4: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 37,626 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.
F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
PORTOLA PHARMACEUTICALS INC
Report date July 02, 2020 · Filed July 07, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-07-02 · Disposition to issuer · Disposed 20,475 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 5, 2020, by and among Portola Pharmaceuticals, Inc. (the "Issuer"), Alexion Pharmaceuticals, Inc. ("Alexion") and Odyssey Merger Sub Inc. ("Merger Sub") (the "Merger Agreement"), on July 2, 2020, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a direct, wholly owned subsidiary of Alexion (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $18.00 per share in cash, without interest and subject to any applicable withholding taxes. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Liability Company (SHM) | 0 |
Reported balance
After 2020-07-02 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-07-02 · Disposition to issuer · Disposed 10,007 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 5, 2020, by and among Portola Pharmaceuticals, Inc. (the "Issuer"), Alexion Pharmaceuticals, Inc. ("Alexion") and Odyssey Merger Sub Inc. ("Merger Sub") (the "Merger Agreement"), on July 2, 2020, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a direct, wholly owned subsidiary of Alexion (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $18.00 per share in cash, without interest and subject to any applicable withholding taxes. F3: Shares held by Sutter Hill Management Company, L.L.C. ("SHM"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (NEST) | 0 |
Reported balance
After 2020-07-02 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-07-02 · Disposition to issuer · Disposed 45,402 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 5, 2020, by and among Portola Pharmaceuticals, Inc. (the "Issuer"), Alexion Pharmaceuticals, Inc. ("Alexion") and Odyssey Merger Sub Inc. ("Merger Sub") (the "Merger Agreement"), on July 2, 2020, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a direct, wholly owned subsidiary of Alexion (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $18.00 per share in cash, without interest and subject to any applicable withholding taxes. F4: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership of these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust (Trustees) | 0 |
Reported balance
After 2020-07-02 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-07-02 · Disposition to issuer · Disposed 458,569 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 5, 2020, by and among Portola Pharmaceuticals, Inc. (the "Issuer"), Alexion Pharmaceuticals, Inc. ("Alexion") and Odyssey Merger Sub Inc. ("Merger Sub") (the "Merger Agreement"), on July 2, 2020, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a direct, wholly owned subsidiary of Alexion (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $18.00 per share in cash, without interest and subject to any applicable withholding taxes. F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.19 · Expires 2026-06-01 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-07-02 · Disposition to issuer · Disposed 6,000 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.74 · Expires 2023-06-04 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-07-02 · Disposition to issuer · Disposed 14,101 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $42.81 · Expires 2028-06-07 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-07-02 · Disposition to issuer · Disposed 6,000 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.09 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-07-02 · Disposition to issuer · Disposed 6,991 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.94 · Expires 2030-06-12 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-07-02 · Disposition to issuer · Disposed 11,377 · Balance 0 F7: At the Effective Time, this unvested and outstanding option was accelerated, canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $44.39 · Expires 2025-06-16 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-07-02 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.06 · Expires 2027-06-16 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-07-02 · Disposition to issuer · Disposed 6,000 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.19 · Expires 2024-06-27 | Direct | 0 |
Reported balance
After 2020-07-02 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-07-02 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: In connection with the Merger, these options were canceled without payment. F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of May 5, 2020, by and among Portola Pharmaceuticals, Inc. (the "Issuer"), Alexion Pharmaceuticals, Inc. ("Alexion") and Odyssey Merger Sub Inc. ("Merger Sub") (the "Merger Agreement"), on July 2, 2020, Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a direct, wholly owned subsidiary of Alexion (the "Merger"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $18.00 per share in cash, without interest and subject to any applicable withholding taxes.
F2: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
F3: Shares held by Sutter Hill Management Company, L.L.C. ("SHM"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F4: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership of these shares except as to the reporting person's pecuniary interest therein.
F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
F6: In connection with the Merger, these options were canceled without payment.
F7: At the Effective Time, this unvested and outstanding option was accelerated, canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law.
Venus Concept Inc.
Report date June 13, 2018 · Filed June 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.89 · Expires 2028-06-13 | Direct | 13,708 |
Reported balance
After 2018-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-13 · Grant · Acquired 13,708 · Balance 13,708 F1: The option will vest in full on the earlier of (A) June 13, 2019 or (B) immediately prior to the next annual meeting of the Company's stockholders, subject to continued service on the board of directors through each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest in full on the earlier of (A) June 13, 2019 or (B) immediately prior to the next annual meeting of the Company's stockholders, subject to continued service on the board of directors through each applicable vesting date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Forty Seven, Inc.
Report date April 07, 2020 · Filed April 07, 2020
Section 16 reporting ended · disclosed 2020-04-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (BBV) | 0 |
Reported balance
After 2020-04-07 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-04-07 · Disposition to issuer · Disposed 562,500 · Balance 0 F1: Disposed of pursuant to an agreement and plan of merger by and between the Issuer, Gilead Sciences, Inc. ("Gilead") and Toro Merger Sub, Inc. ("Purchaser") (the "Merger") in exchange for $95.50 per share, net to the holder in cash, without interest and subject to any withholding of taxes, upon the terms and subject to the conditions described in the Offer to Purchase dated March 10, 2020 (together with any amendments or supplements thereto, the "Offer to Purchase") and in the accompanying Letter of Transmittal (together with any amendments or supplements thereto), which are annexed to and filed with the Schedule TO as Exhibits (a)(1)(A) and (a)(1)(B), respectively. F2: Shares held by Bluebird Ventures I, L.P. of which the Reporting Person is the managing director of the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 0 |
Reported balance
After 2020-04-07 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-04-07 · Disposition to issuer · Disposed 233,564 · Balance 0 F1: Disposed of pursuant to an agreement and plan of merger by and between the Issuer, Gilead Sciences, Inc. ("Gilead") and Toro Merger Sub, Inc. ("Purchaser") (the "Merger") in exchange for $95.50 per share, net to the holder in cash, without interest and subject to any withholding of taxes, upon the terms and subject to the conditions described in the Offer to Purchase dated March 10, 2020 (together with any amendments or supplements thereto, the "Offer to Purchase") and in the accompanying Letter of Transmittal (together with any amendments or supplements thereto), which are annexed to and filed with the Schedule TO as Exhibits (a)(1)(A) and (a)(1)(B), respectively. F3: Shares held by the Jeffrey W. and Christina R. Bird Trust of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (NEST) | 0 |
Reported balance
After 2020-04-07 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-04-07 · Disposition to issuer · Disposed 215,375 · Balance 0 F1: Disposed of pursuant to an agreement and plan of merger by and between the Issuer, Gilead Sciences, Inc. ("Gilead") and Toro Merger Sub, Inc. ("Purchaser") (the "Merger") in exchange for $95.50 per share, net to the holder in cash, without interest and subject to any withholding of taxes, upon the terms and subject to the conditions described in the Offer to Purchase dated March 10, 2020 (together with any amendments or supplements thereto, the "Offer to Purchase") and in the accompanying Letter of Transmittal (together with any amendments or supplements thereto), which are annexed to and filed with the Schedule TO as Exhibits (a)(1)(A) and (a)(1)(B), respectively. F4: Shares held by NestEgg Holdings, LP of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy LLC (SHM) | 0 |
Reported balance
After 2020-04-07 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-04-07 · Disposition to issuer · Disposed 6,596 · Balance 0 F1: Disposed of pursuant to an agreement and plan of merger by and between the Issuer, Gilead Sciences, Inc. ("Gilead") and Toro Merger Sub, Inc. ("Purchaser") (the "Merger") in exchange for $95.50 per share, net to the holder in cash, without interest and subject to any withholding of taxes, upon the terms and subject to the conditions described in the Offer to Purchase dated March 10, 2020 (together with any amendments or supplements thereto, the "Offer to Purchase") and in the accompanying Letter of Transmittal (together with any amendments or supplements thereto), which are annexed to and filed with the Schedule TO as Exhibits (a)(1)(A) and (a)(1)(B), respectively. F5: Shares held by SHM Investments, LLC, a limited liability company of which the Reporting Person is a member. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.76 · Expires 2028-04-26 | Direct | 0 |
Reported balance
After 2020-04-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-04-07 · Disposition to issuer · Disposed 20,645 · Balance 0 F6: This option, which provided for vesting over a three-year period as follows: 1/36th of the shares subject to the option vest in a series of 36 successive equal monthly installments beginning on the date of the closing of the Issuer's initial public offering, subject to Reporting Person's continuous service as of each such date, was accelerated and canceled in the Merger in exchange for a cash payment of $1,790,798.91, representing the difference between the market value of the common stock underlying the option on the effective date of the Merger ($95.50 per share) and the exercise price applicable to each share of common stock underlying the option, which difference is multiplied by the total number of shares of common stock subject to the option. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.81 · Expires 2029-06-11 | Direct | 0 |
Reported balance
After 2020-04-07 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-04-07 · Disposition to issuer · Disposed 10,322 · Balance 0 F7: This option, which provided for vesting on the one-year anniversary of the grant date, subject to Reporting Person's continuous service on such date, was canceled in the Merger in exchange for a cash payment of $874,170.18, representing the difference between the market value of the common stock underlying the option on the effective date of the Merger ($95.50 per share) and the exercise price applicable to each share of common stock underlying the option, which difference is multiplied by the total number of shares of common stock subject to the option. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to an agreement and plan of merger by and between the Issuer, Gilead Sciences, Inc. ("Gilead") and Toro Merger Sub, Inc. ("Purchaser") (the "Merger") in exchange for $95.50 per share, net to the holder in cash, without interest and subject to any withholding of taxes, upon the terms and subject to the conditions described in the Offer to Purchase dated March 10, 2020 (together with any amendments or supplements thereto, the "Offer to Purchase") and in the accompanying Letter of Transmittal (together with any amendments or supplements thereto), which are annexed to and filed with the Schedule TO as Exhibits (a)(1)(A) and (a)(1)(B), respectively.
F2: Shares held by Bluebird Ventures I, L.P. of which the Reporting Person is the managing director of the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.
F3: Shares held by the Jeffrey W. and Christina R. Bird Trust of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.
F4: Shares held by NestEgg Holdings, LP of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.
F5: Shares held by SHM Investments, LLC, a limited liability company of which the Reporting Person is a member. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.
F6: This option, which provided for vesting over a three-year period as follows: 1/36th of the shares subject to the option vest in a series of 36 successive equal monthly installments beginning on the date of the closing of the Issuer's initial public offering, subject to Reporting Person's continuous service as of each such date, was accelerated and canceled in the Merger in exchange for a cash payment of $1,790,798.91, representing the difference between the market value of the common stock underlying the option on the effective date of the Merger ($95.50 per share) and the exercise price applicable to each share of common stock underlying the option, which difference is multiplied by the total number of shares of common stock subject to the option.
F7: This option, which provided for vesting on the one-year anniversary of the grant date, subject to Reporting Person's continuous service on such date, was canceled in the Merger in exchange for a cash payment of $874,170.18, representing the difference between the market value of the common stock underlying the option on the effective date of the Merger ($95.50 per share) and the exercise price applicable to each share of common stock underlying the option, which difference is multiplied by the total number of shares of common stock subject to the option.
Yext, Inc.
Report date December 01, 2017 · Filed December 05, 2017
Section 16 reporting ended · disclosed 2017-12-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Liability Company (SHM) | 78,140 |
Reported balance
After 2017-12-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-12-01 · Other · Acquired 78,140 · Balance 78,140 F1: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F2: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (SHV As Nominee) | 323,049 |
Reported balance
After 2017-12-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-12-01 · Other · Acquired 323,049 · Balance 323,049 F3: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F4: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (SHV) | 0 |
Reported balance
After 2017-12-01 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-12-01 · Other · Disposed 8,614,633 · Balance 0 F5: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F6: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV. F7: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Irrevocable Trust (BICT) | 35,602 |
Reported balance
Holding disclosure · report date 2017-12-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 35,602 F8: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares. |
| Common StockSEC Table I · non-derivative | IndirectBy Ltd Partnership (NEST) | 377,280 |
Reported balance
Holding disclosure · report date 2017-12-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 377,280 F9: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 311,959 |
Reported balance
Holding disclosure · report date 2017-12-01 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 311,959 F10: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV").
F2: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F3: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV.
F4: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F5: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.
F6: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV.
F7: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F8: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.
F9: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F10: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 01, 2018 Filed Feb 23, 2018 22:01 UTC | Everpure, Inc. PSTG · Entity 3140 | GiftClass B Common Stock · Derivative | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-004028 · doc5.xml · derivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 499,478 Underlying: Class A Common Stock · 0 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F2 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| January 01, 2018 Filed Feb 11, 2019 19:17 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | GiftCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-002199 · doc5.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 45,402 F1 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein. F1 · price: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein. F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership of these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:58 UTC | Yext, Inc. YEXT · Entity 5265 | OtherCommon Stock | 8,614,633 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018255 · doc4.xml · nonDerivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 0 F5 · kind: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F5 · shares: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F5 · price: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F6 · balance_after: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV. F7 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:58 UTC | Yext, Inc. YEXT · Entity 5265 | OtherCommon Stock | 323,049 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018255 · doc4.xml · nonDerivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV As Nominee) Disclosed balance after: 323,049 F3 · kind: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F3 · shares: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F3 · price: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F3 · balance_after: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F4 · ownership.nature: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 21:58 UTC | Yext, Inc. YEXT · Entity 5265 | OtherCommon Stock | 78,140 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018255 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Liability Company (SHM) Disclosed balance after: 78,140 F1 · kind: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F1 · shares: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F1 · price: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F1 · balance_after: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F2 · ownership.nature: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:49 UTC | Everpure, Inc. PSTG · Entity 3140 | OtherClass B Common Stock · Derivative | 8,500,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-018104 · doc4.xml · derivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 17,102,128 Underlying: Class A Common Stock · 8,500,000 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F6 · kind: Effective November 30, 2017, SHV effected a pro rata distribution of 8,500,000 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 6,375,000 shares were distributed to the limited partners and 2,125,000 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F6 · shares: Effective November 30, 2017, SHV effected a pro rata distribution of 8,500,000 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 6,375,000 shares were distributed to the limited partners and 2,125,000 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F6 · price: Effective November 30, 2017, SHV effected a pro rata distribution of 8,500,000 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 6,375,000 shares were distributed to the limited partners and 2,125,000 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F6 · derivative.underlying_shares: Effective November 30, 2017, SHV effected a pro rata distribution of 8,500,000 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 6,375,000 shares were distributed to the limited partners and 2,125,000 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares. F7 · balance_after: Excludes shares of Class B Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV. F8 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:49 UTC | Everpure, Inc. PSTG · Entity 3140 | OtherClass B Common Stock · Derivative | 318,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-018104 · doc4.xml · derivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV As Nominee) Disclosed balance after: 318,750 Underlying: Class A Common Stock · 318,750 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F4 · kind: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F4 · shares: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F4 · price: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F4 · derivative.underlying_shares: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F4 · balance_after: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. F5 · ownership.nature: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 21:49 UTC | Everpure, Inc. PSTG · Entity 3140 | OtherClass B Common Stock · Derivative | 77,100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-018104 · doc4.xml · derivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Liability Company (SHM) Disclosed balance after: 77,100 Underlying: Class A Common Stock · 77,100 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F2 · kind: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F2 · shares: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F2 · price: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F2 · derivative.underlying_shares: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F2 · balance_after: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV"). F3 · ownership.nature: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 71,498 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 20 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 71,498 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 31,476 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 19 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 31,476 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 66,684 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 18 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 66,684 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | 12,936 | Not disclosed Strike: $7.00 | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 17 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 12,936 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person. F7 · price: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F7 · derivative.exercise_date: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F7 · derivative.expiration_date: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F6 · derivative.underlying_shares: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 888,690 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 16 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 0 Underlying: Common Stock · 888,690 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 606,386 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 15 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 0 Underlying: Common Stock · 606,386 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries A Preferred Stock · Derivative | 479,145 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 14 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 0 Underlying: Common Stock · 479,145 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionConvertible Promissory Note · Derivative | 105,369 | Not disclosed Strike: $7.00 | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 13 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 0 Underlying: Common Stock · 105,369 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · shares: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person. F7 · price: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F7 · derivative.exercise_date: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F7 · derivative.expiration_date: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering. F6 · derivative.underlying_shares: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries B Preferred Stock · Derivative | 31,747 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 12 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 0 Underlying: Common Stock · 31,747 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionSeries C Preferred Stock · Derivative | 40,982 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · derivative · entry 11 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust (BICT) Disclosed balance after: 0 Underlying: Common Stock · 40,982 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.exercise_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F1 · derivative.expiration_date: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 12,936 | $7.00 | $90,552.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 10 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 182,594 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 31,476 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 9 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 169,658 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 66,684 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 8 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 138,182 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 71,498 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 7 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 71,498 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 105,369 | $7.00 | $737,583.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 6 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 2,079,590 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 479,145 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 5 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 1,974,221 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 606,386 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 4 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 1,495,076 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 888,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 888,690 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 31,747 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 31,747 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 16, 2017 Filed Oct 18, 2017 18:59 UTC | Venus Concept Inc. HAIR · Entity 55304 | ConversionCommon Stock | 40,982 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-016386 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust (BICT) Disclosed balance after: 40,982 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date. F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 22:32 UTC | Venus Concept Inc. HAIR · Entity 55304 | OtherConvertible Promissory Note · Derivative | Not disclosed | $90,065.00 Strike: $7.00 | $90,065.00 |
DisclosureSEC source: 0001209191-17-056936 · doc4.xml · derivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · kind: The Subordinated Convertible Promissory Note (the "Note") was originally acquired from the issuer on September 6, 2017. The conversion price was set upon the pricing of the issuer's initial public offering (the "IPO"). F2 · reported_value: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F2 · price: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F3 · derivative.exercise_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F3 · derivative.expiration_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F3 · derivative.underlying_shares: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F2 · valueOwnedAfter: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F5 · ownership.nature: Securities held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these securities except as to the reporting person's pecuniary interest therein. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 22:32 UTC | Venus Concept Inc. HAIR · Entity 55304 | OtherConvertible Promissory Note · Derivative | Not disclosed | $733,569.00 Strike: $7.00 | $733,569.00 |
DisclosureSEC source: 0001209191-17-056936 · doc4.xml · derivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · kind: The Subordinated Convertible Promissory Note (the "Note") was originally acquired from the issuer on September 6, 2017. The conversion price was set upon the pricing of the issuer's initial public offering (the "IPO"). F2 · reported_value: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F2 · price: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F3 · derivative.exercise_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F3 · derivative.expiration_date: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F3 · derivative.underlying_shares: The outstanding principal and accrued interest of the Note automatically converts into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the IPO upon the closing of the IPO; if not so converted, the Note has a maturity date of September 6, 2018, at which time it will automatically convert into shares of the issuer's common stock. F2 · valueOwnedAfter: The amount reported represents the principal amount of the reporting person's Note only. Accrued interest of 5% per year based on the actual number of days elapsed through the conversion date will also convert into shares of the issuer's common stock. F4 · ownership.nature: Securities held by Sutter Hill Ventures, a California Limited Partnership ("Sutter Hill"). The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill. The reporting person disclaims beneficial ownership in these securities except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 16, 2017 Filed Jul 14, 2017 19:27 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | GrantStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $35.06 | $0.00 |
DisclosureSEC source: 0001225208-17-012614 · doc4.xml · derivative · entry 5 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2027-06-16 F6 · derivative.exercise_date: The option shares shall vest as follows: 1/12th of the shares subject to such option shall vest each month after June 1, 2017, subject to the reporting person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of each such date. F2 · ownership.direct: The reporting person shares pecuniary interest in these shares with other individuals pursuant to a contractual relationship. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. Read SEC document |
| June 16, 2017 Filed Jul 14, 2017 19:27 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | GrantCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-012614 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Grant of Restricted Stock Units ("RSU") in consideration of services rendered. The RSUs will vest fully on March 1, 2018, subject to the reporting person's Continuous Service (as defined in the Issuer's 2013 Equity Incentive Plan) as of such date. F2 · ownership.direct: The reporting person shares pecuniary interest in these shares with other individuals pursuant to a contractual relationship. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | Mattersight Corp MATR · Entity 164107 | PurchaseCommon Stock | 203,543 | $3.65 | $742,789.47 |
DisclosureSEC source: 0001225208-17-010832 · doc4.xml · nonDerivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 1,056,194 F5 · kind: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F5 · price: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F4 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | Mattersight Corp MATR · Entity 164107 | PurchaseCommon Stock | 16,189 | $3.65 | $59,078.52 |
DisclosureSEC source: 0001225208-17-010832 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 108,557 F1 · kind: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 16,189 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F1 · price: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 16,189 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 22:24 UTC | Everpure, Inc. PSTG · Entity 3140 | PurchaseClass B Common Stock · Derivative | 3,073,613 | $11.08 | $34,047,025.92 |
DisclosureSEC source: 0001225208-17-010837 · doc4.xml · derivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 25,602,128 Underlying: Class A Common Stock · 3,073,613 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F6 · kind: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 3,073,613 shares of the Issuer's Class B Common Stock from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices of the Issuer's Class A Common Stock, which is traded on the New York Stock Exchange, over the ninety (90)-day period ended March 31, 2017. F6 · price: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 3,073,613 shares of the Issuer's Class B Common Stock from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices of the Issuer's Class A Common Stock, which is traded on the New York Stock Exchange, over the ninety (90)-day period ended March 31, 2017. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F5 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 22:24 UTC | Everpure, Inc. PSTG · Entity 3140 | PurchaseClass B Common Stock · Derivative | 1,024,538 | $11.08 | $11,349,012.33 |
DisclosureSEC source: 0001225208-17-010837 · doc4.xml · derivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Liability Company (SHA) Disclosed balance after: 1,024,538 Underlying: Class A Common Stock · 1,024,538 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F2 · kind: In connection with the Liquidation, Sutter Hill Associates, LLC ("SHA") purchased 1,024,538 shares of the Issuer's Class B Common Stock from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices of the Issuer's Class A Common Stock, which is traded on the New York Stock Exchange, over the ninety (90)-day period ended March 31, 2017. F2 · price: In connection with the Liquidation, Sutter Hill Associates, LLC ("SHA") purchased 1,024,538 shares of the Issuer's Class B Common Stock from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices of the Issuer's Class A Common Stock, which is traded on the New York Stock Exchange, over the ninety (90)-day period ended March 31, 2017. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F3 · ownership.nature: Shares held by SHA. Sutter Hill Ventures, a California Limited Partnerhsip ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | PurchaseCommon Stock | 110,642 | $31.85 | $3,523,759.61 |
DisclosureSEC source: 0001225208-17-010828 · doc4.xml · nonDerivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 921,610 F5 · kind: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 110,642 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F5 · price: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 110,642 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F4 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | PurchaseCommon Stock | 8,800 | $31.85 | $280,265.04 |
DisclosureSEC source: 0001225208-17-010828 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (NEST) Disclosed balance after: 45,402 F1 · kind: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 8,800 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F1 · price: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 8,800 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership of these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | Molecular Templates, Inc. THLD · Entity 85987 | PurchaseCommon Stock | 37,626 | $0.57 | $21,348.99 |
DisclosureSEC source: 0001225208-17-010827 · doc4.xml · nonDerivative · entry 3 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 377,782 F4 · kind: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 37,626 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F4 · price: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 37,626 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 18:17 UTC | Molecular Templates, Inc. THLD · Entity 85987 | PurchaseCommon Stock | 473,077 | $0.57 | $268,423.89 |
DisclosureSEC source: 0001225208-17-010827 · doc4.xml · nonDerivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 3,940,573 F3 · kind: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 473,077 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F3 · price: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 473,077 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017. F2 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 18:17 UTC | Mattersight Corp MATR · Entity 164107 | OtherCommon Stock | 271,391 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-010832 · doc4.xml · nonDerivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 852,651 F3 · kind: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F3 · price: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F4 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 22:24 UTC | Everpure, Inc. PSTG · Entity 3140 | OtherClass B Common Stock · Derivative | 4,098,151 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-17-010837 · doc4.xml · derivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 22,528,515 Underlying: Class A Common Stock · 4,098,151 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F4 · kind: On May 31, 2017, a limited partner (the "Limited Partner") of SHV liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 4,098,151 shares of the Issuer's Class B Common Stock (the "Liquidation"). F4 · price: On May 31, 2017, a limited partner (the "Limited Partner") of SHV liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 4,098,151 shares of the Issuer's Class B Common Stock (the "Liquidation"). F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. F5 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 18:17 UTC | PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 | OtherCommon Stock | 147,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-010828 · doc4.xml · nonDerivative · entry 2 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 810,968 F3 · kind: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 147,523 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F3 · price: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 147,523 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F4 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 18:17 UTC | Molecular Templates, Inc. THLD · Entity 85987 | OtherCommon Stock | 630,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-010827 · doc4.xml · nonDerivative · entry 1 BIRD JEFFREY W · CIK 0001250409 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Ltd Partnership (SHV) Disclosed balance after: 3,467,496 F1 · kind: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 630,770 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F1 · price: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 630,770 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation"). F2 · ownership.nature: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries F Preferred Stock · Derivative | 17,680 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 34 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 17,680 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries E Preferred Stock · Derivative | 20,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 33 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 20,150 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries D Preferred Stock · Derivative | 29,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 32 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 29,452 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries C Preferred Stock · Derivative | 69,717 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 31 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 69,717 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries B Preferred Stock · Derivative | 62,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 30 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 62,193 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:41 UTC | Yext, Inc. YEXT · Entity 5265 | ConversionSeries A Preferred Stock · Derivative | 105,129 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008262 · doc4.xml · derivative · entry 29 BIRD JEFFREY W · CIK 0001250409 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Stock · 105,129 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.