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Flagship Ventures Fund 2007, L.P.

Disclosed activity across 4 companies

Tapewire entity
154134
SEC CIK
0001508052

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Axcella Health Inc.AXLA · Entity 11605910% ownerMay 13, 2019May 15, 2019
Kaleido Biosciences, Inc.KLDO · Entity 12974510% ownerMarch 04, 2019March 06, 2019

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote1,430,301 Reported balance After 2019-05-13 transaction · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · 2019-05-13 · Conversion · Acquired 751,691 · Balance 1,430,301

F3: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,255,074 Reported balance After 2019-05-13 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2019-05-13 · Conversion · Acquired 2,255,074 · Balance 2,255,074

F3: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,640,234 Reported balance After 2019-05-13 transaction · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · 2019-05-13 · Conversion · Acquired 209,933 · Balance 1,640,234

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,758,914 Reported balance After 2019-05-13 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2019-05-13 · Conversion · Acquired 503,840 · Balance 2,758,914

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote545,826 Reported balance After 2019-05-13 transaction · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · 2019-05-13 · Conversion · Acquired 545,826 · Balance 545,826

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,761,029 Reported balance After 2019-05-13 transaction · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · 2019-05-13 · Conversion · Acquired 120,795 · Balance 1,761,029

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote3,094,371 Reported balance After 2019-05-13 transaction · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · 2019-05-13 · Conversion · Acquired 335,457 · Balance 3,094,371

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote628,150 Reported balance After 2019-05-13 transaction · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · 2019-05-13 · Conversion · Acquired 82,324 · Balance 628,150

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote3,288,780 Reported balance After 2019-05-13 transaction · row 11 Holding and transaction disclosures are not merged.
1 source row

Row 11 · 2019-05-13 · Conversion · Acquired 194,409 · Balance 3,288,780

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote676,752 Reported balance After 2019-05-13 transaction · row 12 Holding and transaction disclosures are not merged.
1 source row

Row 12 · 2019-05-13 · Conversion · Acquired 48,602 · Balance 676,752

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote486,023 Reported balance After 2019-05-13 transaction · row 13 Holding and transaction disclosures are not merged.
1 source row

Row 13 · 2019-05-13 · Conversion · Acquired 486,023 · Balance 486,023

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F9: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote986,023 Reported balance After 2019-05-13 transaction · row 14 Holding and transaction disclosures are not merged.
1 source row

Row 14 · 2019-05-13 · Purchase · Acquired 500,000 · Balance 986,023

F9: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote678,610 Reported balance Holding disclosure · report date 2019-05-13 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 678,610

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote2,035,830 Reported balance Holding disclosure · report date 2019-05-13 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 2,035,830

F2: Shares held by Flagship VentureLabs IV, LLC ("VentureLabs IV"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of VentureLabs IV and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by VentureLabs IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2019-05-13 · Conversion · Disposed 1,384,615 · Balance 0

F3: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2019-05-13 · Conversion · Disposed 4,153,847 · Balance 0

F3: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2019-05-13 · Conversion · Disposed 386,697 · Balance 0

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2019-05-13 · Conversion · Disposed 928,074 · Balance 0

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2019-05-13 · Conversion · Disposed 1,005,413 · Balance 0

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2019-05-13 · Conversion · Disposed 222,506 · Balance 0

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2019-05-13 · Conversion · Disposed 617,914 · Balance 0

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2019-05-13 · Conversion · Disposed 151,643 · Balance 0

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2019-05-13 · Conversion · Disposed 358,102 · Balance 0

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2019-05-13 · Conversion · Disposed 89,525 · Balance 0

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-05-13 transaction · row 25 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 25 · 2019-05-13 · Conversion · Disposed 895,255 · Balance 0

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F9: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

F2: Shares held by Flagship VentureLabs IV, LLC ("VentureLabs IV"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of VentureLabs IV and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by VentureLabs IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

F3: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

F5: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

F7: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F9: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote665,908 Reported balance After 2019-03-04 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2019-03-04 · Conversion · Acquired 665,908 · Balance 665,908

F4: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote216,451 Reported balance After 2019-03-04 transaction · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · 2019-03-04 · Conversion · Acquired 173,586 · Balance 216,451

F6: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote947,111 Reported balance After 2019-03-04 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2019-03-04 · Conversion · Acquired 281,203 · Balance 947,111

F6: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote42,865 Reported balance Holding disclosure · report date 2019-03-04 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 42,865

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote42,865 Reported balance Holding disclosure · report date 2019-03-04 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 42,865

F2: Shares held by Flagship VentureLabs IV, LLC ("VentureLabs IV"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of VentureLabs IV and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by VentureLabs IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,649,999 Reported balance Holding disclosure · report date 2019-03-04 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 1,649,999

F3: Shares held by Cadena LLC ("Cadena"). Noubar B. Afeyan, Ph.D. is the sole manager of Cadena, and may be deemed to possess sole voting and investment power with respect to all shares held by Cadena. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-03-04 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2019-03-04 · Conversion · Disposed 1,331,816 · Balance 0

F4: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-03-04 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2019-03-04 · Conversion · Disposed 347,173 · Balance 0

F6: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2019-03-04 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2019-03-04 · Conversion · Disposed 562,407 · Balance 0

F6: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

F2: Shares held by Flagship VentureLabs IV, LLC ("VentureLabs IV"). Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") is a member of VentureLabs IV and also serves as its manager. Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by VentureLabs IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein

F3: Shares held by Cadena LLC ("Cadena"). Noubar B. Afeyan, Ph.D. is the sole manager of Cadena, and may be deemed to possess sole voting and investment power with respect to all shares held by Cadena. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

F4: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

F6: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

Past disclosures · reporting ended (2)

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

Section 16 reporting ended · disclosed 2016-09-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect668,912 Reported balance After 2016-09-22 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2016-09-22 · Sale · Disposed 112,731 · Balance 668,912

F4: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.29. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect167,288 Reported balance After 2016-09-22 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2016-09-22 · Sale · Disposed 28,163 · Balance 167,288

F4: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.29. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect480,545 Reported balance After 2016-09-22 transaction · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · 2016-09-22 · Sale · Disposed 188,367 · Balance 480,545

F5: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.235. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect120,198 Reported balance After 2016-09-22 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2016-09-22 · Sale · Disposed 47,090 · Balance 120,198

F5: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.235. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect468,063 Reported balance After 2016-09-23 transaction · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · 2016-09-23 · Sale · Disposed 12,482 · Balance 468,063

F6: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect117,080 Reported balance After 2016-09-23 transaction · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · 2016-09-23 · Sale · Disposed 3,118 · Balance 117,080

F6: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect426,885 Reported balance After 2016-09-23 transaction · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · 2016-09-23 · Sale · Disposed 41,178 · Balance 426,885

F7: The transactions were executed in multiple trades at prices ranging from $3.10 to $3.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect106,787 Reported balance After 2016-09-23 transaction · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · 2016-09-23 · Sale · Disposed 10,293 · Balance 106,787

F7: The transactions were executed in multiple trades at prices ranging from $3.10 to $3.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeDirect1,833,802 Reported balance Holding disclosure · report date 2016-09-22 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 1,833,802

F3: Held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 LLC") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. Flagship 2007 LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the filing persons, other than Flagship 2007, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

F2: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

F3: Held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 LLC") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. Flagship 2007 LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the filing persons, other than Flagship 2007, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

F4: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.29. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F5: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.235. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F6: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F7: The transactions were executed in multiple trades at prices ranging from $3.10 to $3.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

Section 16 reporting ended · disclosed 2019-10-31. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2019-10-29 transaction · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · 2019-10-29 · Other · Disposed 1,469,173 · Balance 0

F1: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Dr. Afeyan is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein..

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2019-10-29 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2019-10-29 · Other · Disposed 1,061,102 · Balance 0

F3: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F4: Shares held by Flagship Fund 2007. Flagship Fund 2007 GP is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2019-10-29 transaction · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · 2019-10-29 · Other · Disposed 61,537 · Balance 0

F1: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F5: Held by Flagship Fund IV GP. Each of the filing persons other than Flagship Fund IV GP disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2019-10-29 transaction · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · 2019-10-29 · Other · Disposed 248,379 · Balance 0

F3: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F6: Held by Flagship Fund 2007 GP. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote120,595 Reported balance Holding disclosure · report date 2019-10-29 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 120,595

F1: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F7: Held by Dr. Afeyan. Each of the filing persons other than Dr. Afeyan disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Dr. Afeyan is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein..

F3: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F4: Shares held by Flagship Fund 2007. Flagship Fund 2007 GP is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

F5: Held by Flagship Fund IV GP. Each of the filing persons other than Flagship Fund IV GP disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

F6: Held by Flagship Fund 2007 GP. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

F7: Held by Dr. Afeyan. Each of the filing persons other than Dr. Afeyan disclaims beneficial ownership of the shares except to the extent, if any, of his or its 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.”

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 29, 2019 Filed Oct 31, 2019 23:00 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 248,379 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-026439 · doc4.xml · nonDerivative · entry 4

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · kind: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3 · price: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3 · balance_after: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F6 · ownership.nature: Held by Flagship Fund 2007 GP. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
October 29, 2019 Filed Oct 31, 2019 23:00 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 61,537 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-026439 · doc4.xml · nonDerivative · entry 3

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · balance_after: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F5 · ownership.nature: Held by Flagship Fund IV GP. Each of the filing persons other than Flagship Fund IV GP disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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October 29, 2019 Filed Oct 31, 2019 23:00 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 1,061,102 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-026439 · doc4.xml · nonDerivative · entry 2

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · kind: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F3 · price: On October 29, 2019, Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007") distributed to its limited partners and sole general partner, Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP"), pro rata and without consideration, 1,061,102 shares of the Issuer's common stock. Flagship Fund 2007 GP, in turn, distributed to its members, pro rata and without consideration, the 248,379 shares it received from Flagship Fund 2007. Dr. Afeyan, a manager of Flagship Fund 2007 GP, received 92,796 shares through Flagship Fund 2007 GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F4 · ownership.nature: Shares held by Flagship Fund 2007. Flagship Fund 2007 GP is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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October 29, 2019 Filed Oct 31, 2019 23:00 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 1,469,173 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-026439 · doc4.xml · nonDerivative · entry 1

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On October 29, 2019, Flagship Ventures Fund IV, L.P. ("Flagship Fund IV") distributed to its limited partners and sole general partner, Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP"), pro rata and without consideration, 1,469,173 shares of the Issuer's common stock. Flagship Fund IV GP, in turn, distributed to its members, pro rata and without consideration, the 61,537 shares it received from Flagship Fund IV. Noubar B. Afeyan, Ph.D., a manager of Flagship Fund IV GP, received 27,799 shares through Flagship Fund IV GP's distribution. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Dr. Afeyan is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein..

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries E Preferred Stock · Derivative 895,255 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 25

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 486,023 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.

F8 · derivative.exercise_price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.exercise_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.expiration_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F9 · ownership.nature: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries E Preferred Stock · Derivative 89,525 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 24

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 48,602 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.

F8 · derivative.exercise_price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.exercise_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.expiration_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries E Preferred Stock · Derivative 358,102 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 23

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 194,409 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.

F8 · derivative.exercise_price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.exercise_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F8 · derivative.expiration_date: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries C Preferred Stock · Derivative 151,643 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 22

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 82,324 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.

F7 · derivative.exercise_price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.exercise_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.expiration_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries C Preferred Stock · Derivative 617,914 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 21

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 335,457 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.

F7 · derivative.exercise_price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.exercise_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.expiration_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries C Preferred Stock · Derivative 222,506 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 20

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 120,795 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.

F7 · derivative.exercise_price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.exercise_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F7 · derivative.expiration_date: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries B Preferred Stock · Derivative 1,005,413 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 19

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 545,826 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.

F5 · derivative.exercise_price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.exercise_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.expiration_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries B Preferred Stock · Derivative 928,074 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 18

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 503,840 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.

F5 · derivative.exercise_price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.exercise_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.expiration_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries B Preferred Stock · Derivative 386,697 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 17

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 209,933 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.

F5 · derivative.exercise_price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.exercise_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F5 · derivative.expiration_date: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries A Preferred Stock · Derivative 4,153,847 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 16

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,255,074 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · derivative.exercise_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · derivative.expiration_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionSeries A Preferred Stock · Derivative 1,384,615 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · derivative · entry 15

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 751,691 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · derivative.exercise_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F3 · derivative.expiration_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 PurchaseCommon Stock 500,000 $20.00 $10,000,000.00
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 14

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 986,023

F9 · ownership.nature: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 486,023 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 13

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 486,023

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.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F9 · ownership.nature: Shares held by Flagship Ventures Opportunities Fund I, L.P. ("Flagship Opportunities I"). Flagship Ventures Opportunities Fund I General Partner LLC ("Flagship Opportunities GP") is the general partner of Flagship Opportunities I. Noubar B. Afeyan, Ph.D. serves as sole manager of Flagship Opportunities GP and may be deemed to possess sole voting and investment power with respect to all shares held by Flagship Opportunities I. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 48,602 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 12

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 676,752

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.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 194,409 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 11

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,288,780

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.

F8 · price: Each share of Series E Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 82,324 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 10

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 628,150

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.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 335,457 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 9

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,094,371

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.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 120,795 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 8

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,761,029

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.

F7 · price: Each share of Series C Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 545,826 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 7

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 545,826

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 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F6 · ownership.nature: Shares held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship Fund IV-Rx"). Flagship Fund IV GP is the general partner of Flagship Fund IV-Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV-Rx. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 503,840 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 6

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,758,914

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 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 209,933 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 5

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,640,234

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 · price: Each share of Series B Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 2,255,074 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 4

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,255,074

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

F3 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Flagship Fund IV. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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May 13, 2019 Filed May 15, 2019 20:18 UTC Axcella Health Inc. AXLA · Entity 116059 ConversionCommon Stock 751,691 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-19-029735 · a4.xml · nonDerivative · entry 3

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Opportunities Fund I General Partner LLC · CIK 0001725004 · 10% owner

Flagship Ventures Opportunities Fund I, L.P. · CIK 0001677345 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,430,301

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

F3 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") on a one-for-1.842 basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Fund 2007 GP") is the general partner of Flagship Fund 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Fund 2007 GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries B-1 Convertible Preferred Stock · Derivative 1,682,665 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 13

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 132,817 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries F Convertible Preferred Stock · Derivative 450,958 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 12

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 128,845 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries D Convertible Preferred Stock · Derivative 600,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 11

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 171,428 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries C Convertible Preferred Stock · Derivative 1,257,465 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 10

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 359,276 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries F Convertible Preferred Stock · Derivative 992,110 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 9

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 283,460 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries D Convertible Preferred Stock · Derivative 1,400,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 8

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 400,000 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionSeries C Convertible Preferred Stock · Derivative 2,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · derivative · entry 7

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 571,428 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.

F2 · derivative.exercise_price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.exercise_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · derivative.expiration_date: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionCommon Stock 792,366 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 6

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 1,061,102

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

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F3 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, each outstanding share of Series B-1 preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms, determined by dividing the original issue price of $3.416 per share by a conversion price of $12.365, and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 ConversionCommon Stock 1,254,888 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 5

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 1,469,173

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

F2 · kind: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F2 · price: The Preferred Stock reported herein is preferred stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Merger Agreement, such Series C, D and F preferred stock of TransMedics, Inc. was converted into shares of common stock of the Issuer based on (i) the one-for-one ratio on which such shares of preferred stock of TransMedics Inc. were convertible into shares of common stock of TransMedics Inc. according to their terms and (ii) the 3.5-for-one ratio on which shares of common stock of TransMedics, Inc. were converted into shares of common stock of the Issuer. The Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 268,736 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 4

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 268,736

F1 · kind: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F1 · price: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 940,579 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 3

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund 2007, L.P.

Disclosed balance after: 0

F1 · kind: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F1 · price: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F5 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship Fund 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship Fund 2007 GP") is the general partner of Flagship Fund 2007. Dr. Afeyan is a manager of Flagship Fund 2007 GP and, for purposes of Flagship Fund 2007's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

Read SEC document
May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 214,285 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 2

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 214,285

F1 · kind: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F1 · price: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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May 06, 2019 Filed May 6, 2019 22:47 UTC TransMedics Group, Inc. TMDX · Entity 4261 OtherCommon Stock 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-012303 · doc4.xml · nonDerivative · entry 1

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Flagship Ventures Fund IV, L.P.

Disclosed balance after: 0

F1 · kind: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F1 · price: The Common Stock reported herein being disposed of is common stock of TransMedics, Inc. Immediately prior to the closing of the Issuer's initial public offering, pursuant to the Agreement and Plan of Merger and Reorganization by and among the Issuer, TransMedics, Inc. and TMDX, Inc., dated April 15, 2019 (the "Merger Agreement") such common stock of TransMedics, Inc. was converted into shares of common stock of the Issuer on a 3.5-for-one basis.

F4 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. ("Flagship Fund IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship Fund IV GP") is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. is a manager of Flagship Fund IV GP and, for purposes of Flagship Fund IV's investment in the Issuer, Dr. Afeyan may be deemed to have voting and investment power with respect to all shares held by Flagship Fund IV. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent, if any, of his or its pecuniary interest therein.

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March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionSeries A-1 Preferred Stock · Derivative 562,407 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · derivative · entry 9

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 281,203 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 · derivative.exercise_price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · derivative.exercise_date: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · derivative.expiration_date: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionSeries A-1 Preferred Stock · Derivative 347,173 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · derivative · entry 8

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 173,586 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 · derivative.exercise_price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · derivative.exercise_date: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F6 · derivative.expiration_date: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionSeries A Preferred Stock · Derivative 1,331,816 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · derivative · entry 7

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 665,908 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F4 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F4 · derivative.exercise_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F4 · derivative.expiration_date: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionCommon Stock 281,203 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · nonDerivative · entry 6

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 947,111

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 · price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Read SEC document
March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionCommon Stock 173,586 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · nonDerivative · entry 5

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 216,451

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 · price: Each share of Series A-1 Preferred Stock converted into shares of the Issuer's Common Stock on a one-for-two basis upon the closing of the Issuer's initial public offering.

F1 · ownership.nature: Shares held by Flagship Ventures Fund 2007, L.P. ("Flagship 2007"). Flagship Ventures 2007 General Partner LLC ("Flagship 2007 GP") is the general partner of Flagship 2007. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship 2007 LLC. While Mr. Kania is retired from Flagship Pioneering, Inc., he continue to serve as a manager of Flagship 2007 GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship 2007. Each of the reporting persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

Read SEC document
March 04, 2019 Filed Mar 6, 2019 16:43 UTC Kaleido Biosciences, Inc. KLDO · Entity 129745 ConversionCommon Stock 665,908 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-006452 · doc4.xml · nonDerivative · entry 4

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · Director · 10% owner

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship VentureLabs IV, LLC · CIK 0001642578 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Cadena LLC · CIK 0001768776 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · Director · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 665,908

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

F4 · price: Each share of Series A Preferred Stock converted into shares of the Issuer's common stock, par value $0.001 ("Common Stock"), on a one-for-two basis upon the closing of the Issuer's initial public offering.

F5 · ownership.nature: Shares held by Flagship Ventures Fund IV, L.P. Flagship Fund IV GP is the general partner of Flagship Fund IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship Fund IV GP. While Mr. Kania is retired from Flagship Pioneering, Inc., he continues to serve as a manager of Flagship Fund IV GP. Each of these individuals and entities may be deemed to share voting and investment power with respect to all shares held by Flagship Fund IV. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein.

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September 23, 2016 Filed Sep 26, 2016 16:03 UTC Carisma Therapeutics Inc. EBIO · Entity 74418 SaleCommon Stock 10,293 $3.10 $31,908.30
Disclosure

SEC source: 0001012975-16-001507 · edgar.xml · nonDerivative · entry 8

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,787

F7 · price: The transactions were executed in multiple trades at prices ranging from $3.10 to $3.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2 · ownership.direct: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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September 23, 2016 Filed Sep 26, 2016 16:03 UTC Carisma Therapeutics Inc. EBIO · Entity 74418 SaleCommon Stock 41,178 $3.10 $127,651.80
Disclosure

SEC source: 0001012975-16-001507 · edgar.xml · nonDerivative · entry 7

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,885

F7 · price: The transactions were executed in multiple trades at prices ranging from $3.10 to $3.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1 · ownership.direct: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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September 23, 2016 Filed Sep 26, 2016 16:03 UTC Carisma Therapeutics Inc. EBIO · Entity 74418 SaleCommon Stock 3,118 $3.16 $9,852.88
Disclosure

SEC source: 0001012975-16-001507 · edgar.xml · nonDerivative · entry 6

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,080

F6 · price: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F2 · ownership.direct: Held by Flagship Ventures Fund IV-Rx, L.P. ("Flagship IV-Rx"). Flagship IV LLC is the general partner of Flagship IV Rx. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV-Rx. Each of the filing persons, other than Flagship IV-Rx, disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.

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September 23, 2016 Filed Sep 26, 2016 16:03 UTC Carisma Therapeutics Inc. EBIO · Entity 74418 SaleCommon Stock 12,482 $3.16 $39,443.12
Disclosure

SEC source: 0001012975-16-001507 · edgar.xml · nonDerivative · entry 5

Flagship Ventures Fund IV, L.P. · CIK 0001503559 · 10% owner

Flagship Ventures Fund 2007, L.P. · CIK 0001508052 · 10% owner

Flagship Ventures Fund IV-Rx, L.P. · CIK 0001590973 · 10% owner

Flagship Ventures 2007 General Partner LLC · CIK 0001508053 · 10% owner

Flagship Ventures Fund IV General Partner LLC · CIK 0001508051 · 10% owner

AFEYAN NOUBAR · CIK 0001222012 · 10% owner

KANIA EDWIN M JR · CIK 0001255927 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,063

F6 · price: The transactions were executed in multiple trades at prices ranging from $3.15 to $3.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

F1 · ownership.direct: Held by Flagship Ventures Fund IV, L.P. ("Flagship IV"). Flagship Ventures Fund IV General Partner LLC ("Flagship IV LLC") is the general partner of Flagship IV. Noubar B. Afeyan, Ph.D. and Edwin M. Kania, Jr. are the managers of Flagship IV LLC. Flagship IV LLC and each of these individuals may be deemed to share voting and investment power with respect to all shares held by Flagship IV. Each of the filing persons, other than Flagship IV, disclaims beneficial ownership of such shares except to the extent of his or its 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.