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person · Reporting owner

BIRD JEFFREY W

Disclosed activity across 7 companies

Tapewire entity
147988
SEC CIK
0001250409

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Everpure, Inc.PSTG · Entity 314010% ownerJanuary 31, 2018February 23, 2018
Mattersight CorpMATR · Entity 16410710% ownerMay 31, 2017June 02, 2017
Molecular Templates, Inc.THLD · Entity 85987DirectorMay 31, 2017June 02, 2017
PORTOLA PHARMACEUTICALS INCPTLA · Entity 147987DirectorJuly 02, 2020July 07, 2020
Venus Concept Inc.HAIR · Entity 55304DirectorJune 13, 2018June 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table II · derivative / convertible securityIndirectBy 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 row

Row 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 securityDirect227,244 Reported balance Holding disclosure · report date 2018-01-31 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 securityIndirectBy 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 row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy Trust (Trustees)71,840 Reported balance Holding disclosure · report date 2017-05-31 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 rows

Row 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-derivativeIndirectBy Trust377,782 Reported balance After 2017-06-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeDirect919 Reported balance Holding disclosure · report date 2017-05-31 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2020-07-02 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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 2026-06-01Direct0 Reported balance After 2020-07-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2023-06-04Direct0 Reported balance After 2020-07-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2028-06-07Direct0 Reported balance After 2020-07-02 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2029-06-12Direct0 Reported balance After 2020-07-02 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2030-06-12Direct0 Reported balance After 2020-07-02 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2025-06-16Direct0 Reported balance After 2020-07-02 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2027-06-16Direct0 Reported balance After 2020-07-02 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2024-06-27Direct0 Reported balance After 2020-07-02 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.89 · Expires 2028-06-13Direct13,708 Reported balance After 2018-06-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy Trust0 Reported balance After 2020-04-07 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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 2028-04-26Direct0 Reported balance After 2020-04-07 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2029-06-11Direct0 Reported balance After 2020-04-07 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy Trust311,959 Reported balance Holding disclosure · report date 2017-12-01 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 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

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

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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May 31, 2017 Filed Jun 2, 2017 18:17 UTC PORTOLA PHARMACEUTICALS INC PTLA · Entity 147987 OtherCommon Stock 147,523 $0.00 $0.00
Disclosure

SEC 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.

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May 31, 2017 Filed Jun 2, 2017 18:17 UTC Molecular Templates, Inc. THLD · Entity 85987 OtherCommon Stock 630,770 $0.00 $0.00
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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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
Disclosure

SEC 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
Disclosure

SEC 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
Disclosure

SEC 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.

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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
Disclosure

SEC 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.